DFX Intelligence
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Registered advisor
T••••• J•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as T••••• M••••• J••••••••• M• J•••••
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Mar 2, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · New York City, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 2, 2014 to Jul 13, 2018 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 24, 2010 to Aug 6, 2012 · Pennington
- N•• A•••••• S•••••••• L•• formerSep 14, 2007 to Jan 28, 2008 · Mt Arlington, Nj
- E•••••••• A•••••••• L•• national BDMar 3, 2006 to Sep 18, 2007 · Chester, Nj
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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Aug 6, 2012, registered Jul 2, 2014 (695 days) · Wirehouse to affiliated broker-dealer or bank
- N•• A•••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 28, 2008, registered Aug 24, 2010 (939 days) · Other
- E•••••••• A•••••••• L•• to N•• A•••••• S•••••••• L••left Sep 18, 2007, registered Sep 14, 2007 (-4 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