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
C•••••• J•• D•••••••
Feed of 09/14/2026
At current firm
14 y
since Jul 24, 2012
In the industry
21 y
since Jan 20, 2005 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Jul 24, 2012 · Oklahoma City, Ok
- P•••• S••••••••• L•• no RAUMFeb 3, 2006 to Jul 26, 2012 · Oklahoma City, Ok
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Jul 26, 2012, registered Jul 24, 2012 (-2 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address