DFX Intelligence
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Registered advisor
E• J••••• S•••••
Feed of 09/14/2026
Also filed as E• J••••• S••••••••• S•••••
At current firm
6 y
since Feb 21, 2020
In the industry
11 y
since Jul 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 21, 2020 · Providence, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 22, 2015 to Feb 24, 2020 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 24, 2020, registered Feb 21, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address