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.
Registered advisor
F•••• S• G•••••
Feed of 09/14/2026
Also filed as F•••• S••••• J• G•••••
At current firm
1 y
since Sep 30, 2024
In the industry
30 y
since Feb 7, 1996 (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••••••••• F•••••••• N•••••• national BD currentsince Sep 30, 2024 · Apharetta, Ga
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 11, 2010 to Oct 14, 2024 · Atlanta, Ga
- I••••• F•••••••• C••••••••• formerDec 5, 2007 to Dec 9, 2009 · Atlanta, Ga
- F•••••••• N•••••• A••••••••• I••• unclassifiedJun 29, 2005 to Dec 11, 2009 · Atalnta, Ga
- F•••••••• N•••••• C••• unclassifiedMay 1, 2003 to Feb 3, 2004 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Oct 14, 2024, registered Sep 30, 2024 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••••••• N•••••• A••••••••• I••• to I••••• F•••••••• C•••••••••left Dec 11, 2009, registered Dec 5, 2007 (-737 days) · Other
- I••••• F•••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 9, 2009, registered Jan 11, 2010 (33 days) · Other
- F•••••••• N•••••• C••• to F•••••••• N•••••• A••••••••• I•••left Feb 3, 2004, registered Jun 29, 2005 (512 days) · Other
Signals
- ••• LockedOct 14, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address