DFX Intelligence
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Registered advisor
G•••••• E••• S•••••
Feed of 09/15/2026
At current firm
5 y
since Nov 6, 2020
In the industry
31 y
since Feb 9, 1995 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 6, 2020 · Missoula, Mt
- O•••• W•••••• I••• BD affiliatedOct 26, 2016 to Nov 10, 2020 · Butte, Mt
- E••••• J•••• national BDApr 23, 2012 to Oct 27, 2016 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 10, 2020, registered Nov 6, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to O•••• W•••••• I•••left Oct 27, 2016, registered Oct 26, 2016 (-1 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