DFX Intelligence
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Registered advisor
L••• G••• B••••••
Feed of 09/14/2026
Also filed as L••• A•• G•••••••• A•• B••••••••• G••• B••••••
At current firm
6 y
since Jun 25, 2020
In the industry
33 y
since Aug 10, 1993 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 25, 2020 · Wyomissing, Pa
- W•••• F•••• A••••••• wirehouseFeb 18, 2014 to Apr 22, 2014 · Wyomissing, Pa
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Apr 22, 2014, registered Jun 25, 2020 (2256 days) · Wirehouse to affiliated broker-dealer or bank
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address