DFX Intelligence
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Registered advisor
J••••••• S••••• C•••••
Feed of 09/14/2026
Also filed as J••••••• C•••••
At current firm
2 y
since Mar 26, 2024
In the industry
21 y
since Jun 16, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 26, 2024 · Woodmere, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 10, 2014 to Apr 2, 2024 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDAug 4, 2014 to Sep 29, 2014 · Melville, Ny
- M••••• S•••••• D• I••• unclassifiedJan 3, 2006 to Jan 4, 2006 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2006 to Jan 29, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Apr 2, 2024, registered Mar 26, 2024 (-7 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 29, 2014, registered Sep 10, 2014 (-19 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 29, 2008, registered Aug 4, 2014 (2379 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 4, 2006, registered Jan 3, 2006 (-1 days) · Other
Signals
- J••••••• S••••• C••••• left C•••••••• G••••• M•••••• I••• for L•• F•••••••• L•• (registered 2024-03-26)Apr 2, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address