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
T••••• R••• C•••••••
Feed of 09/14/2026
At current firm
11 y
since Sep 11, 2015
In the industry
25 y
since Dec 5, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 11, 2015 · Gilbert, Az
- C•••••• S••••• • C••• I••• national BDNov 16, 2012 to Sep 21, 2015 · Phoenix, Az
- S•••••••• A••••••• L•• national BDOct 25, 2007 to Oct 25, 2012 · Chandler, Az
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 21, 2015, registered Sep 11, 2015 (-10 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Oct 25, 2012, registered Nov 16, 2012 (22 days) · Affiliated broker-dealer or bank to another
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address