DFX Intelligence
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Registered advisor
G••••• L•••••• B••••
Feed of 09/14/2026
At current firm
7 y
since Jan 3, 2019
In the industry
42 y
since Aug 31, 1984 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 3, 2019 · Terre Haute, In
- W•••• F•••• A••••••• wirehouseMay 29, 2009 to Nov 21, 2018 · Terre Haute, In
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 10, 2005 to Jun 4, 2009 · Terre Haute, In
- I••••• F•••••••• C••••••••• formerAug 31, 1998 to Nov 9, 2005 · Terre Haute, In
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 21, 2018, registered Jan 3, 2019 (43 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jun 4, 2009, registered May 29, 2009 (-6 days) · Other
- I••••• F•••••••• C••••••••• to C•••••••• G••••• M•••••• I•••left Nov 9, 2005, registered Nov 10, 2005 (1 day) · Other
Signals
No dated event on this person.
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address