DFX Intelligence
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Registered advisor
T••• E••••• G•••••••
Feed of 09/14/2026
At current firm
11 y
since Aug 5, 2015
In the industry
30 y
since Feb 16, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, 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
- C•••••• S••••• • C••• I••• national BD currentsince Aug 5, 2015 · Northbrook, Il
- P•• W••••• M••••••••• BD affiliatedApr 25, 2013 to Jul 9, 2015 · Buffalo Grove, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 13, 2009 to Apr 19, 2013 · Chicago, Il
- T• A••••••••• I••• formerMay 13, 2009 to Apr 19, 2013 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to C•••••• S••••• • C••• I•••left Jul 9, 2015, registered Aug 5, 2015 (27 days) · Other
- T• A••••••••• I••• to P•• W••••• M•••••••••left Apr 19, 2013, registered Apr 25, 2013 (6 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to P•• W••••• M•••••••••left Apr 19, 2013, registered Apr 25, 2013 (6 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address