DFX Intelligence
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Registered advisor
J••• S•••••• C•••••
Feed of 09/14/2026
At current firm
8 y
since Nov 13, 2017
In the industry
16 y
since Dec 8, 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, 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
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Nov 13, 2017 · Morristown, Nj
- U•• F•••••••• S••••••• I••• wirehouseMay 13, 2016 to Nov 27, 2017 · Louisville, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedMay 28, 2012 to May 23, 2016 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to P•••••• A•••••• G••••• L••left Nov 27, 2017, registered Nov 13, 2017 (-14 days) · Other
- F•••• T•••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left May 23, 2016, registered May 13, 2016 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address