DFX Intelligence
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Feed of 09/14/2026
Also filed as L•••• B••••••••• M•••••• B•••••
At current firm
1 y
since Jan 31, 2025
In the industry
14 y
since May 1, 2012 (earliest exam, job or registration)
Prior registered firms
4
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jan 31, 2025 · Peotone, Il
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Jul 9, 2024 · Grayville, Il
- S••••••••• A•••••• A•••••••• I••• formerJun 8, 2023 to Jun 14, 2024 · Grayville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2020 to Feb 8, 2023 · Evansville, In
- E••••• J•••• national BDJun 23, 2017 to Jul 28, 2020 · Grayville, Il
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to E••••• J••••left Jul 9, 2024, registered Jan 31, 2025 (206 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••••• A•••••• A•••••••• I•••left Feb 8, 2023, registered Jun 8, 2023 (120 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 28, 2020, registered Jul 27, 2020 (-1 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJul 9, 2024 · Advisor changed firm · fact
- ••• LockedFeb 8, 2023 · Advisor changed firm · fact
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
- 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