DFX Intelligence
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Registered advisor
N••••••• C••• J••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
Also filed as N••• J••••••••• C• J••••
At current firm
13 y
since Feb 28, 2013
In the industry
17 y
since Oct 2, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 28, 2013 · Charleston, Sc
- P•••••••• S••••••••• I••• BD affiliatedAug 4, 2010 to Nov 30, 2011 · Mt Pleasant, Sc
- E••••• J•••• national BDJul 8, 2009 to Jan 8, 2010 · Charleston, Sc
- P••• A••••• S••••••••• L•• BD affiliatedFeb 10, 2009 to Apr 22, 2009 · Wilmington, De
Moves
a registration end followed by a registration begin elsewhere
- P•••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Nov 30, 2011, registered Feb 28, 2013 (456 days) · Other
- E••••• J•••• to P•••••••• S••••••••• I•••left Jan 8, 2010, registered Aug 4, 2010 (208 days) · Other
- P••• A••••• S••••••••• L•• to E••••• J••••left Apr 22, 2009, registered Jul 8, 2009 (77 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address