DFX Intelligence
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Registered advisor
J••• P• M•••••
Feed of 09/15/2026
Also filed as J••• M••••••••• M••••••••• P•••••• M••••••••• M••••••••• P•••••• M••••••••• P• M•••••
At current firm
5 y
since Jul 12, 2021
In the industry
19 y
since Mar 23, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- L•• F•••••••• L•• BD affiliated currentsince Jul 12, 2021 · Cornelius, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 23, 2020 to May 10, 2021 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 24, 2013 to Dec 19, 2019 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseAug 21, 2007 to Apr 17, 2013 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left May 10, 2021, registered Jul 12, 2021 (63 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••left Dec 19, 2019, registered Jun 23, 2020 (187 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 17, 2013, registered Apr 24, 2013 (7 days) · Wirehouse 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
- 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