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••••••• M•••••• G••••••••• M•••••• S••••••••• M•••••• S••••••••• S••••••••• M• S•••••
At current firm
3 y
since Jan 3, 2023
In the industry
14 y
since Nov 7, 2011 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jan 3, 2023 · Leesburg, Va
- L•• F•••••••• L•• BD affiliatedSep 22, 2014 to Feb 22, 2022 · Columbia, Md
- P•• W••••• M••••••••• BD affiliatedOct 23, 2013 to May 22, 2014 · Vienna, Va
- W•••• F•••• A••••••• wirehouseNov 28, 2011 to Oct 18, 2013 · Bethesda, Md
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Feb 22, 2022, registered Jan 3, 2023 (315 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to L•• F•••••••• L••left May 22, 2014, registered Sep 22, 2014 (123 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Oct 18, 2013, registered Oct 23, 2013 (5 days) · Other
Signals
- ••• LockedFeb 22, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address