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Registered advisor
D••••• G•••• O••••
Feed of 09/15/2026
Also filed as D••••• Kay G••••
At current firm
1 y
since Jan 6, 2025
In the industry
42 y
since Jan 26, 1984 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jan 6, 2025 · Bradenton, Fl
- A••••••• P••••••••• A•••••••• I•• formerJan 31, 2012 to Oct 11, 2024 · Holbrook, Ny
- F•••• N•••• W••••• M••••••••• L•• unclassifiedSep 30, 2010 to Mar 20, 2012 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 17, 2010 · Fairfield, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Fairfield, Nj
- M••••• S•••••• D• I••• unclassifiedJul 1, 2005 to Apr 2, 2007 · Fairfield, Nj
- A• G• E•••••• • S•••• I••• unclassifiedSep 24, 2003 to Jul 18, 2005 · Rockaway, Nj
Moves
a registration end followed by a registration begin elsewhere
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Jan 6, 2025 (87 days) · corporate re-registration, not a move
- F•••• N•••• W••••• M••••••••• L•• to A••••••• P••••••••• A•••••••• I••left Mar 20, 2012, registered Jan 31, 2012 (-49 days) · Other
- M••••• S•••••• to F•••• N•••• W••••• M••••••••• L••left Aug 17, 2010, registered Sep 30, 2010 (44 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to M••••• S•••••• D• I•••left Jul 18, 2005, registered Jul 1, 2005 (-17 days) · Other
Signals
No dated event on this person.
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address