DFX Intelligence
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Registered advisor
G•••• S••••• L•••
Feed of 09/14/2026
At current firm
7 y
since Aug 9, 2019
In the industry
16 y
since Dec 29, 2009 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 9, 2019 · Las Vegas, Nv
- M••••• S•••••• wirehouseMar 9, 2012 to Aug 12, 2019 · Las Vegas, Nv
- R•• C•••••• M••••••• L•• national BDJan 1, 2010 to Mar 15, 2012 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Aug 12, 2019, registered Aug 9, 2019 (-3 days) · Wirehouse to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to M••••• S••••••left Mar 15, 2012, registered Mar 9, 2012 (-6 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address