DFX Intelligence
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Feed of 09/14/2026
Also filed as J•••• L• J••••••••• J••••••••• L•••• J•••••••
At current firm
9 y
since Sep 1, 2017
In the industry
18 y
since Jun 13, 2008 (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
- E••••• J•••• national BD currentsince Sep 1, 2017 · Tipp City, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedDec 6, 2010 to Sep 8, 2017 · Tipp City, Oh
- C•••• I••••••••• S••••••• C•••• formerJun 3, 2010 to Dec 10, 2010 · Beavercreek, Oh
- P•• W••••• M••••••••• BD affiliatedApr 2, 2010 to May 24, 2010 · Englewood, Oh
Moves
a registration end followed by a registration begin elsewhere
- F•••• T•••• S••••••••• I••• to E••••• J••••left Sep 8, 2017, registered Sep 1, 2017 (-7 days) · Other
- C•••• I••••••••• S••••••• C•••• to F•••• T•••• S••••••••• I•••left Dec 10, 2010, registered Dec 6, 2010 (-4 days) · Other
- P•• W••••• M••••••••• to C•••• I••••••••• S••••••• C••••left May 24, 2010, registered Jun 3, 2010 (10 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
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