DFX Intelligence
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Registered advisor
C•••• J••• G•••••
Feed of 09/14/2026
At current firm
20 y
since Feb 7, 2006
In the industry
30 y
since Feb 8, 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
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
- C•••••• S••••• • C••• I••• national BD currentsince Feb 7, 2006 · Chandler, Az
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Feb 17, 2006 · Phoenix, Az
- S••••••••• S••••••••• I••• unclassifiedSep 27, 2005 to Oct 31, 2005 · Phoenix, Az
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Sep 6, 2005 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to C•••••• S••••• • C••• I•••left Feb 17, 2006, registered Feb 7, 2006 (-10 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to S••••••••• S••••••••• I•••left Sep 6, 2005, registered Sep 27, 2005 (21 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