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•••• S• B•••••
Feed of 09/14/2026
At current firm
4 y
since Jan 26, 2022
In the industry
18 y
since Oct 15, 2007 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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 Jan 26, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 20, 2017 to Sep 7, 2023 · Fort Worth, Tx
- T• A••••••••• I••• formerJan 20, 2017 to Oct 14, 2022 · Westlake, Tx
- T• A••••••••• I••• formerFeb 29, 2012 to Aug 19, 2015 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 29, 2012 to Aug 19, 2015 · Forth Worth, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 15, 2010 to Feb 22, 2012 · Fort Worth, Tx
All 6 prior registrationsShow fewer
- E••••• J•••• national BDApr 22, 2009 to Jun 29, 2010 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 20, 2017 (-2093 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 19, 2015, registered Jan 20, 2017 (520 days) · channel change inside one enterprise, not a move
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 22, 2012, registered Feb 29, 2012 (7 days) · Other
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Jun 29, 2010, registered Jul 15, 2010 (16 days) · Other
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address