DFX Intelligence
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Registered advisor
J••••••• C• N•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as J••••••• N••••••••• C• L••••••••• C••••• L••••••••• C••••• L•••••• N••••••••• C• N•••••
At current firm
6 y
since Oct 21, 2019
In the industry
17 y
since Jun 11, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Oct 21, 2019 · Tucson, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 23, 2012 to Dec 20, 2017 · Tucson, Az
- W•••••• • R••• formerAug 18, 2009 to Feb 28, 2012 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Dec 20, 2017, registered Oct 21, 2019 (670 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 28, 2012, registered Mar 23, 2012 (24 days) · Other
Signals
No dated event on this person.
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