DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J••••• M• S••••
Feed of 09/14/2026
Also filed as J••••• S••••••••• M•••••• S•••••••• S••••
At current firm
4 y
since Apr 25, 2022
In the industry
14 y
since Jan 27, 2012 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Apr 25, 2022 · Fairfield, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 8, 2021 to Mar 24, 2022 · West Hartford, Ct
- C•••••• S••••• • C••• I••• national BDAug 27, 2014 to Feb 26, 2021 · Henderson, Nv
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Mar 24, 2022, registered Apr 25, 2022 (32 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 26, 2021, registered Apr 8, 2021 (41 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMar 24, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address