DFX Intelligence
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Registered advisor
G••• W•••••• J•••••
Feed of 09/14/2026
At current firm
1 y
since Apr 4, 2025
In the industry
33 y
since Sep 22, 1993 (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
0
dated events on this person
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Senior Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2025 · Chicago, Il
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 27, 2022 to Apr 7, 2025 · Chicago, Il
- B• R•••• W••••• M••••••••• formerOct 17, 2005 to Dec 31, 2022 · Memphis, Tn
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 21, 2005 · Orland Park, Il
- P••••••••• E••••• G••••• L•• unclassifiedJan 28, 1998 to Jul 1, 2003 · Orland Park, Il
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 7, 2025, registered Apr 4, 2025 (-3 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 27, 2022 (-126 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B• R•••• W••••• M•••••••••left Oct 21, 2005, registered Oct 17, 2005 (-4 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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