DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J•••• D••••• S••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J•••• S••••
At current firm
3 y
since Aug 11, 2023
In the industry
22 y
since Jun 18, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 11, 2023 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 19, 2015 to Jun 29, 2023 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseSep 19, 2011 to Feb 25, 2015 · Indianapolis, In
- C•••• I••••••••• S••••••• C•••• formerFeb 12, 2007 to Sep 19, 2011 · Indianapolis, In
- W••••••• F•••••••• S•••••••• I••• formerApr 21, 2006 to Feb 8, 2007 · Carmel, In
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 29, 2023, registered Aug 11, 2023 (43 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 25, 2015, registered Feb 19, 2015 (-6 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Sep 19, 2011, registered Sep 19, 2011 (0 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Feb 8, 2007, registered Feb 12, 2007 (4 days) · Other
Signals
- ••• LockedJun 29, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address