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
J••• S••••• H•••••
Feed of 09/14/2026
Also filed as J•• H••••••••• S••••• H••••••••• H••••••••• S• H•••••
At current firm
6 y
since Feb 26, 2020
In the industry
20 y
since Nov 2, 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
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 26, 2020 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 25, 2017 to Dec 9, 2019 · Raleigh, Nc
- P•••••••• S••••••••• I••• BD affiliatedDec 23, 2008 to Jul 1, 2011 · Raleigh, Nc
- O•••• F•• I••• formerNov 2, 2005 to Dec 17, 2008 · Morrisville, Nc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Dec 9, 2019, registered Feb 26, 2020 (79 days) · Wirehouse to affiliated broker-dealer or bank
- P•••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 1, 2011, registered May 25, 2017 (2155 days) · Other
- O•••• F•• I••• to P•••••••• S••••••••• I•••left Dec 17, 2008, registered Dec 23, 2008 (6 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address