DFX Intelligence
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Registered advisor
J••••• P•••••••
Feed of 09/14/2026
Also filed as J••••• A• P••••••••• P••••••••• P••••••••• A• P•••••••
At current firm
3 y
since Sep 6, 2023
In the industry
18 y
since Nov 9, 2007 (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
S63, 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
- P•• W••••• M••••••••• BD affiliated currentsince Sep 6, 2023 · Louisville, Ky
- J••• M••••• S••••••••• L•• wirehouseFeb 16, 2022 to Aug 26, 2023 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••left Aug 26, 2023, registered Sep 6, 2023 (11 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedAug 26, 2023 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address