DFX Intelligence
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Registered advisor
J••• L••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J••• L• L••••
At current firm
1 y
since Jun 18, 2025
In the industry
19 y
since Apr 4, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
2
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jun 18, 2025 · Ponte Vedra Beach, Fl
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jun 18, 2025 · Ponte Vedra Beach, Fl
- U•• F•••••••• S••••••• I••• wirehouseMar 11, 2016 to Jun 27, 2025 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 23, 2016 · White Plains, Ny
- C•••• I••••••••• S••••••• C•••• formerApr 26, 2010 to Oct 1, 2012 · White Plains, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 5, 2007 to Oct 6, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left Jun 27, 2025, registered Jun 18, 2025 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Mar 23, 2016, registered Mar 11, 2016 (-12 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Oct 6, 2009, registered Apr 26, 2010 (202 days) · Other
Signals
- ••• LockedJun 27, 2025 · 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