DFX Intelligence
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Registered advisor
S••••• A••• G••••
Feed of 09/14/2026
At current firm
3 y
since Jul 12, 2023
In the industry
41 y
since Sep 13, 1985 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince Jul 12, 2023 · Springfield, Mo
- O•••• W•••••• I••• BD affiliatedNov 18, 2014 to Jul 11, 2023 · Springfield, Mo
- L•• F•••••••• L•• BD affiliatedFeb 19, 2004 to Nov 11, 2014 · Springfield, Mo
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 2, 2002 to Oct 27, 2003 · Springfield, Mo
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Jul 11, 2023, registered Jul 12, 2023 (1 day) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to O•••• W•••••• I•••left Nov 11, 2014, registered Nov 18, 2014 (7 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 27, 2003, registered Feb 19, 2004 (115 days) · Other
Signals
- ••• LockedJul 11, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address