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.
J•••• C•••••
As of · the IAPD feed; also filed as J•••• M• C••••••••• M• C••••••••• C•••••
- At current firm
- 1 y
- In the industry
- 20 y
- Prior registered firms
- 3
- Signals
- 0
since Mar 31, 2025
As of · the IAPD feed; also filed as J•••• M• C••••••••• M• C••••••••• C•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Knoxville, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 23, 2021 to Mar 31, 2025 · Knoxville, Tn
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 25, 2016 to Nov 13, 2020 · Ithaca, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 4, 2005 to Feb 2, 2016 · Syracuse, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 13, 2020, registered Sep 23, 2021 (314 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Feb 2, 2016, registered Feb 25, 2016 (23 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote