DFX Intelligence
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Registered advisor
J•••••• C•••••••• C••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J•••••• C••••••
At current firm
0 y
since Aug 5, 2026
In the industry
10 y
since May 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Aug 5, 2026 · Upland, Ca
- P•••• S••••••••• L•• no RAUMMar 25, 2021 to Sep 6, 2022 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 6, 2022, registered Aug 5, 2026 (1429 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedSep 6, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address