DFX Intelligence
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Registered advisor
T•••••• C•• N••••• T•••••••
Feed of 09/14/2026
Also filed as T•••••• N••••••••• N••••••••• T•••••• N••••••••• T••••••••• C•• N••••• T•••••••
At current firm
9 y
since Jan 5, 2017
In the industry
16 y
since May 29, 2010 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 5, 2017 · Westlake Village, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 1, 2011 to Dec 31, 2016 · Westlake Village, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 31, 2010 to Dec 21, 2011 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2016, registered Jan 5, 2017 (5 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 21, 2011, registered Dec 1, 2011 (-20 days) · Wirehouse to affiliated broker-dealer or bank
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address