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.
B•••••• G••••••
As of · the IAPD feed
- At current firm
- 3 y
- In the industry
- 11 y
- Prior registered firms
- 2
- Signals
- 1
since Sep 18, 2023
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Sep 18, 2023 · Cumming, Ga
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 19, 2019 to Sep 12, 2023 · Peachtree Corners, Ga
- E••••• J•••• national BDDec 7, 2015 to Jul 24, 2019 · Chandler, Az
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Sep 12, 2023, registered Sep 18, 2023 (6 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Jul 24, 2019, registered Aug 19, 2019 (26 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedSep 12, 2023 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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