DFX Intelligence
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Feed of 09/14/2026
At current firm
9 y
since Dec 9, 2016
In the industry
14 y
since Aug 8, 2012 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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 Dec 9, 2016 · Prescott, Az
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 19, 2015 to May 27, 2016 · Peoria, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 6, 2014 to Nov 11, 2014 · Germantown Hills, Il
- E••••• J•••• national BDAug 9, 2012 to Jun 25, 2014 · Maryland Heights, Mo
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to E••••• J••••left May 27, 2016, registered Dec 9, 2016 (196 days) · Other
- M•• I•••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Nov 11, 2014, registered Nov 19, 2015 (373 days) · Other
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Jun 25, 2014, registered Aug 6, 2014 (42 days) · Other
Signals
No dated event on this person.
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