DFX Intelligence
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Registered advisor
L••••••• J••••• W•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
17 y
since Mar 23, 2009
In the industry
44 y
since May 6, 1982 (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
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
- O••••••••• • C•• I••• BD affiliated currentsince Mar 23, 2009 · Cincinnati, Oh
- U•• F•••••••• S••••••• I••• wirehouseAug 18, 1999 to Mar 25, 2009 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Mar 25, 2009, registered Mar 23, 2009 (-2 days) · Other
Signals
- ••• LockedSep 18, 2026 · Advisor registration ended · derived
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address