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Registered advisor
C••••••••• W•••••••• G••••
Feed of 09/14/2026
Also filed as Chris G••••
At current firm
1 y
since Apr 16, 2025
In the industry
28 y
since Oct 10, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 16, 2025 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 2, 2009 to Apr 21, 2025 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 3, 2004 to Jan 21, 2009 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Oct 4, 2004 · Dallas, Tx
- P••••••• L•• unclassifiedOct 13, 1997 to Jan 17, 2003 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 21, 2025, registered Apr 16, 2025 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 21, 2009, registered Jan 2, 2009 (-19 days) · Other
- C••••• S••••• S••••••••• •••• L•• to C•••••••• G••••• M•••••• I•••left Oct 4, 2004, registered Sep 3, 2004 (-31 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
Signals
- C••••••••• W•••••••• G•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2025-04-16)Apr 21, 2025 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address