DFX Intelligence
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Registered advisor
S•••• L••• J••••••
Chartered Financial Analyst
Feed of 09/15/2026
Also filed as S•••• L• J••••••••• L• J••••••
At current firm
1 y
since Sep 17, 2025
In the industry
13 y
since Mar 8, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 17, 2025 · Minneapolis, Mn
- A••••• A•• P••••••• S••••••• BD affiliatedNov 20, 2017 to Dec 4, 2020 · Bloomington, Mn
- R•• C•••••• M••••••• L•• national BDOct 6, 2015 to Jul 14, 2017 · Minneapolis, Mn
- E••••• J•••• national BDMay 6, 2013 to Oct 5, 2015 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to A••••• A•• P••••••• S•••••••left Jul 14, 2017, registered Nov 20, 2017 (129 days) · Other
- E••••• J•••• to R•• C•••••• M••••••• L••left Oct 5, 2015, registered Oct 6, 2015 (1 day) · Affiliated broker-dealer or bank to another
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address