DFX Intelligence
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Feed of 09/14/2026
Also filed as L•••• J••••••••• R••• J•••••
At current firm
1 y
since Aug 29, 2025
In the industry
10 y
since Jul 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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Aug 29, 2025 · Bridgton, Me
- A••••••••• F•••••••• S•••••••• L•• national BDDec 6, 2023 to Aug 26, 2025 · Naples, Me
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Aug 26, 2025, registered Aug 29, 2025 (3 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedAug 26, 2025 · 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