DFX Intelligence
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Registered advisor
J•••• J••••• S••••
Feed of 09/14/2026
Also filed as J•••• J••••• C••••••••
At current firm
14 y
since Feb 8, 2012
In the industry
19 y
since Dec 8, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Feb 8, 2012 · Golden, Co
- O•••• F•• I••• formerNov 7, 2011 to Feb 7, 2012 · Denver, Co
- L•• F•••••••• L•• BD affiliatedAug 19, 2009 to Jul 29, 2011 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to L•• F•••••••• L••left Feb 7, 2012, registered Feb 8, 2012 (1 days) · Other
- L•• F•••••••• L•• to O•••• F•• I•••left Jul 29, 2011, registered Nov 7, 2011 (101 days) · Other
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address