DFX Intelligence
RIA 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
C••••••••• G•• N•••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Chris N•••••
At current firm
4 y
since Apr 20, 2022
In the industry
10 y
since Mar 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 20, 2022 · Huntington Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 23, 2019 to Apr 6, 2022 · Huntington Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 25, 2018 to Sep 11, 2019 · Westminster, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedApr 12, 2018 to May 14, 2018 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Apr 6, 2022, registered Apr 20, 2022 (14 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 11, 2019, registered Sep 23, 2019 (12 days) · Wirehouse to wirehouse
- U••• B•••••• A•••••••• L•• to J••• M••••• S••••••••• L••left May 14, 2018, registered May 25, 2018 (11 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- C••••••••• G•• N••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2022-04-20)Apr 6, 2022 · 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address