DFX Intelligence
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Registered advisor
C•••••• G•••••••••
Feed of 09/14/2026
Also filed as C•••••• L•• G•••••••••
At current firm
3 y
since Jun 1, 2023
In the industry
11 y
since Nov 1, 2014 (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
S63, 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 Jun 1, 2023 · Phoenix, Az
- T• A••••••••• I••• formerApr 30, 2018 to Dec 31, 2020 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 26, 2018 to Jan 11, 2021 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jan 11, 2021, registered Jun 1, 2023 (871 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Dec 31, 2020, registered Jun 1, 2023 (882 days) · channel change inside one enterprise, not a move · moved with a team
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address