DFX Intelligence
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Registered advisor
J••• C•••••• A•••••
Feed of 09/14/2026
Also filed as C•••••• A••••••••• A••••••••• C• A••••••••• S•••••• A•••••
At current firm
7 y
since Mar 6, 2019
In the industry
18 y
since Sep 12, 2008 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, 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 Mar 6, 2019 · Tulsa, Ok
- T• A••••••••• I••• formerFeb 28, 2018 to Oct 9, 2018 · Albuquerque, Nm
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Oct 9, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMar 10, 2017 to Feb 26, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 21, 2011 to Apr 16, 2014 · Ft Worth, Tx
- T• A••••••••• I••• formerOct 21, 2011 to Apr 16, 2014 · Westlake, Tx
- C•••• I••••••••• S••••••• C•••• formerMar 31, 2011 to Oct 7, 2011 · Allen, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 9, 2018, registered Feb 28, 2018 (-223 days) · Other · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 9, 2018, registered Mar 6, 2019 (148 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 16, 2014, registered Oct 21, 2011 (-908 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to S•••••••• I••••••••• M•••••••••left Apr 16, 2014, registered Mar 10, 2017 (1059 days) · Other
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 7, 2011, registered Oct 21, 2011 (14 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