DFX Intelligence
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Registered advisor
C•••••• R•••••• H••••••••
Feed of 09/15/2026
Also filed as Chuck H••••••••
At current firm
16 y
since Nov 10, 2009
In the industry
32 y
since Jul 8, 1994 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- J• W• C••• A•••••••• I••• BD affiliated currentsince Nov 10, 2009 · Clayton, Mo
- I••••••••• A••••••• I••••••••• I••• unclassifiedAug 16, 2006 to Nov 17, 2009 · Northbrook, Il
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJun 12, 2006 to Aug 29, 2006 · Philadelphia, Pa
- S••••••• F•••••••• S•••••••• I••• formerOct 1, 2001 to Nov 18, 2002 · St Louis, Mo
- R• A••••••• L•• unclassifiedDec 1, 1998 to Dec 5, 2002 · St. Louis, Mo
- R••••••••• F•••••••• C•••••••• E•••••••• L•• unclassifiedMay 26, 1998 to Dec 5, 2002 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• A••••••• I••••••••• I••• to J• W• C••• A•••••••• I•••left Nov 17, 2009, registered Nov 10, 2009 (-7 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• I••••••••• I•••left Aug 29, 2006, registered Aug 16, 2006 (-13 days) · corporate re-registration, not a move
- R• A••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Dec 5, 2002, registered Oct 1, 2001 (-430 days) · Other
- R••••••••• F•••••••• C•••••••• E•••••••• L•• to R• A••••••• L••left Dec 5, 2002, registered Dec 1, 1998 (-1465 days) · Other
- S••••••• F•••••••• S•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Nov 18, 2002, registered Jun 12, 2006 (1302 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address