DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J•••••• M• S••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J•••••• M•••••• S••••••
At current firm
7 y
since Aug 13, 2019
In the industry
19 y
since Nov 16, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•••• W••••• P••••••• L•• state registered currentsince Aug 13, 2019 · Wake Forest, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedSep 22, 2015 to May 23, 2019 · Durham, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 25, 2011 to Sep 14, 2015 · Boca Raton, Fl
- E•••••• C•••••• M••••••••• L•• formerFeb 2, 2009 to Oct 11, 2011 · Fort Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to L•••• W••••• P••••••• L••left May 23, 2019, registered Aug 13, 2019 (82 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Sep 14, 2015, registered Sep 22, 2015 (8 days) · Other
- E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 11, 2011, registered Oct 25, 2011 (14 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address