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Registered advisor
D•••• G•••••••• C••••••
Feed of 09/14/2026
Also filed as D•••• G•••••••• C••••••
At current firm
4 y
since Jun 7, 2022
In the industry
29 y
since Aug 19, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 7, 2022 · Durham, Nc
- E••••• J•••• national BDJun 3, 2009 to Jun 6, 2022 · Durham, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 30, 2004 to Jun 3, 2009 · Durham, Nc
- W•••• F•••• A••••••• wirehouseJul 1, 2002 to May 4, 2004 · Durham, Nc
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 6, 2022, registered Jun 7, 2022 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jun 3, 2009, registered Jun 3, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 4, 2004, registered Apr 30, 2004 (-4 days) · Wirehouse to wirehouse
Signals
- D•••• G•••••••• C•••••• left E••••• J•••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-06-07)Jun 6, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address