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
P••• T••• G••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as P••• G••••••••• T••• G••••••••• G••••••
At current firm
2 y
since Mar 15, 2024
In the industry
20 y
since Oct 14, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 15, 2024 · Stamford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 21, 2018 to Mar 15, 2024 · Chattanooga, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDApr 15, 2013 to Aug 21, 2018 · Chattanooga, Tn
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 27, 2009 to Apr 23, 2013 · Chattanooga, Tn
- E••••• J•••• national BDFeb 9, 2007 to Aug 25, 2009 · Chattanooga, Tn
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Mar 15, 2024, registered Mar 15, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 21, 2018, registered Aug 21, 2018 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 23, 2013, registered Apr 15, 2013 (-8 days) · Other
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Aug 25, 2009, registered Aug 27, 2009 (2 days) · Other
Signals
- ••• LockedMar 15, 2024 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address