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Registered advisor
T••••• D••••• G••••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedWalnut Creek, Ca dual registrantIAPD 1990002
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Dennis G••••
At current firm
2 y
since Dec 1, 2023
In the industry
35 y
since Feb 28, 1991 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Dec 1, 2023 · Walnut Creek, Ca
- I• A••••••• S•••••••• I••• formerOct 30, 2020 to Dec 1, 2023 · Bedminster, Nj
- H• B•••• I••• formerMay 14, 2013 to Oct 30, 2020 · W••••• Creek, Ca
- W••••• S••••• S••••••••• I••• formerOct 22, 2004 to May 15, 2013 · W••••• Creek, Ca
- W••••• S••••• A••••••• I•• unclassifiedFeb 6, 2001 to Nov 2, 2006 · W••••• Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- I• A••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 1, 2023, registered Dec 1, 2023 (0 days) · Affiliated broker-dealer or bank to another
- H• B•••• I••• to I• A••••••• S•••••••• I•••left Oct 30, 2020, registered Oct 30, 2020 (0 days) · Affiliated broker-dealer or bank to another
- W••••• S••••• S••••••••• I••• to H• B•••• I•••left May 15, 2013, registered May 14, 2013 (-1 days) · Other
- W••••• S••••• A••••••• I•• to W••••• S••••• S••••••••• I•••left Nov 2, 2006, registered Oct 22, 2004 (-741 days) · corporate re-registration, not a move
Signals
- T••••• D••••• G•••• left I• A••••••• S•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-12-01)Dec 1, 2023 · Advisor changed firm · fact
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address