DFX Intelligence
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Registered advisor
E••• A••••• R••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as E••• L•• A•••••
At current firm
5 y
since Apr 14, 2021
In the industry
17 y
since Aug 1, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 14, 2021 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDJan 18, 2017 to Mar 26, 2021 · Indianapolis, In
- I••••••••• N••••••••• H•••••• P••••••••• unclassifiedNov 19, 2010 to Jun 30, 2011 · I•••••••••, In
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Mar 26, 2021, registered Apr 14, 2021 (19 days) · Affiliated broker-dealer or bank to wirehouse
- I••••••••• N••••••••• H•••••• P••••••••• to C•••••• S••••• • C••• I•••left Jun 30, 2011, registered Jan 18, 2017 (2029 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address