DFX Intelligence
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Feed of 09/14/2026
Also filed as J•••• W••••••••• P•••••• W•••••
At current firm
2 y
since Dec 13, 2023
In the industry
17 y
since Feb 6, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- E••••• J•••• national BD currentsince Dec 13, 2023 · Greer, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Oct 2, 2023 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 11, 2011 to Jul 13, 2018 · Greenville, Sc
- C•••• I••••••••• S••••••• C•••• formerDec 16, 2009 to Apr 29, 2010 · Alpharetta, Ga
- W•••• F•••• A••••••• wirehouseFeb 9, 2009 to Oct 5, 2009 · Landrum, Sc
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••left Oct 2, 2023, registered Dec 13, 2023 (72 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to S•••••••• A••••••• L••left Apr 29, 2010, registered Jul 11, 2011 (438 days) · Other
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Oct 5, 2009, registered Dec 16, 2009 (72 days) · Other
Signals
- ••• LockedOct 2, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address