DFX Intelligence
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Registered advisor
T•••• H•••••
Feed of 09/14/2026
Also filed as T•••• C••••••••• H•••••
At current firm
10 y
since Sep 30, 2015
In the industry
16 y
since Jun 14, 2010 (earliest exam, job or registration)
Prior registered firms
2
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 Sep 30, 2015 · Waukesha, Wi
- U•• F•••••••• S••••••• I••• wirehouseOct 18, 2011 to Oct 12, 2015 · Brookfield, Wi
- R•••••• J•••• • A••••••••• I••• national BDJun 16, 2010 to Oct 24, 2011 · Delafield, Wi
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 12, 2015, registered Sep 30, 2015 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 24, 2011, registered Oct 18, 2011 (-6 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address