DFX Intelligence
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Registered advisor
J•••• C••••••••• S•••
Feed of 09/14/2026
Also filed as C•••• S••••••••• C••••••••• S••••••••• C• S•••
At current firm
2 y
since Jun 20, 2024
In the industry
19 y
since Apr 4, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 20, 2024 · Duluth, Ga
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 15, 2020 to Apr 26, 2024 · Watkinsville, Ga
- P•••• S••••••••• L•• no RAUMAug 14, 2019 to Dec 16, 2019 · Myrtle Beach, Sc
- M••••• S•••••• wirehouseMay 10, 2011 to Aug 6, 2018 · Tampa, Fl
- C•••• I••••••••• S••••••• C•••• formerOct 21, 2008 to Feb 17, 2010 · Boonton, Nj
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Apr 26, 2024, registered Jun 20, 2024 (55 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 16, 2019, registered Jan 15, 2020 (30 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to P•••• S••••••••• L••left Aug 6, 2018, registered Aug 14, 2019 (373 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to M••••• S••••••left Feb 17, 2010, registered May 10, 2011 (447 days) · Other
Signals
- ••• LockedApr 26, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address