DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as T••••• V••••••••• J••••••••• R•••• V••••••••• R•••• V•• T••••••••• R•••• J••••
At current firm
7 y
since Apr 18, 2019
In the industry
33 y
since Sep 9, 1993 (earliest exam, job or registration)
Prior registered firms
5
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Apr 18, 2019 · Monterey, Ca
- C•••••• S••••• • C••• I••• national BDOct 21, 2009 to Mar 25, 2019 · Carmel, Ca
- L•• F•••••••• L•• BD affiliatedAug 5, 2009 to Oct 12, 2009 · Salinas, Ca
- S•••••••• F••••••••• I••• formerDec 15, 2006 to Jun 3, 2008 · La Crosse, Wi
- U••• B•••••• A•••••••• L•• BD affiliatedJan 5, 2005 to Dec 18, 2006 · Gilroy, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Dec 31, 2004 · Salinas, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to E••••• J••••left Mar 25, 2019, registered Apr 18, 2019 (24 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Oct 12, 2009, registered Oct 21, 2009 (9 days) · Other
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jun 3, 2008, registered Aug 5, 2009 (428 days) · Other
- U••• B•••••• A•••••••• L•• to S•••••••• F••••••••• I•••left Dec 18, 2006, registered Dec 15, 2006 (-3 days) · Other
- C•••••••• G••••• M•••••• I••• to U••• B•••••• A•••••••• L••left Dec 31, 2004, registered Jan 5, 2005 (5 days) · Other
Signals
No dated event on this person.
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
- 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