DFX Intelligence
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Registered advisor
M•••••• J• G•••••
Feed of 09/14/2026
At current firm
4 y
since Sep 9, 2022
In the industry
23 y
since Aug 25, 2003 (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
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 Sep 9, 2022 · Westlake, Tx
- T• A••••••••• I••• formerOct 20, 2006 to Oct 14, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedApr 15, 2004 to Jun 6, 2006 · San Diego, Ca
- A• G• E•••••• • S•••• I••• unclassifiedAug 26, 2003 to Mar 25, 2004 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Sep 9, 2022 (-35 days) · channel change inside one enterprise, not a move · moved with a team
- L•• F•••••••• L•• to T• A••••••••• I•••left Jun 6, 2006, registered Oct 20, 2006 (136 days) · Other
- A• G• E•••••• • S•••• I••• to L•• F•••••••• L••left Mar 25, 2004, registered Apr 15, 2004 (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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address