DFX Intelligence
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Registered advisor
J••••••• A••• D•••••
Feed of 09/15/2026
At current firm
2 y
since Mar 15, 2024
In the industry
21 y
since Sep 9, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 15, 2024 · Stamford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 7, 2018 to Mar 15, 2024 · Chattanooga, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDSep 1, 2009 to Aug 8, 2018 · Chattanooga, Tn
- E••••• J•••• national BDJan 22, 2007 to Sep 2, 2009 · Ooltewah, Tn
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Mar 15, 2024, registered Mar 15, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 8, 2018, registered Aug 7, 2018 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Sep 2, 2009, registered Sep 1, 2009 (-1 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMar 15, 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