DFX Intelligence
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Registered advisor
T••••• S•• G••••••••
Feed of 09/14/2026
Also filed as T••••• S•• D••••••
At current firm
10 y
since Mar 9, 2016
In the industry
31 y
since Jun 19, 1995 (earliest exam, job or registration)
Prior registered firms
4
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
- E••••• J•••• national BD currentsince Mar 9, 2016 · Godfrey, Il
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 20, 2009 to Dec 31, 2015 · East Alton, Il
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Jan 2, 2008 · East Alton, Il
- C•••••••• I••••••••• R•••••••• I••• unclassifiedMay 19, 2003 to Mar 28, 2005 · East Alton, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 7, 2003 to May 28, 2003 · East Alton, Il
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to E••••• J••••left Dec 31, 2015, registered Mar 9, 2016 (69 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R•••••••• I•••left May 28, 2003, registered May 19, 2003 (-9 days) · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address