DFX Intelligence
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Registered advisor
J•••• L••• D••••••
Feed of 09/14/2026
Also filed as J•••• L• D••••••
At current firm
9 y
since Mar 1, 2017
In the industry
19 y
since Oct 11, 2006 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Mar 1, 2017 · Clayton, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 25, 2015 to Feb 15, 2017 · Chesterfield, Mo
- T• A••••••••• I••• formerFeb 25, 2015 to Feb 15, 2017 · Chesterfield, Mo
- F•••• T•••• S••••••••• I••• BD affiliatedJul 9, 2014 to Mar 6, 2015 · St. Louis, Mo
- P•• W••••• M••••••••• BD affiliatedJan 29, 2013 to Jun 23, 2014 · Chesterfield, Mo
- U••• B•••••• I••••••••• I••• formerOct 8, 2010 to Jan 2, 2013 · Saint Charles, Mo
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Oct 12, 2010 · Wentzville, Mo
- N•••••• I••••••••• I••• unclassifiedMar 6, 2009 to Nov 13, 2009 · O'Fallon, Mo
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 9, 2007 to Feb 23, 2009 · Chesterfield, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 6, 2006 to Nov 26, 2007 · Chesterfield, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 15, 2017, registered Feb 25, 2015 (-721 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 15, 2017, registered Feb 25, 2015 (-721 days) · channel change inside one enterprise, not a move
- F•••• T•••• S••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 6, 2015, registered Feb 25, 2015 (-9 days) · Other
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left Jun 23, 2014, registered Jul 9, 2014 (16 days) · Other
- U••• B•••••• I••••••••• I••• to P•• W••••• M•••••••••left Jan 2, 2013, registered Jan 29, 2013 (27 days) · Other
- P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••left Oct 12, 2010, registered Oct 8, 2010 (-4 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to N•••••• I••••••••• I•••left Feb 23, 2009, registered Mar 6, 2009 (11 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 26, 2007, registered Nov 9, 2007 (-17 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address