DFX Intelligence
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Registered advisor
T•••• C••••••••
Feed of 09/15/2026
Also filed as T•••• C••••••••• G• C••••••••
At current firm
1 y
since Sep 27, 2024
In the industry
14 y
since Jun 1, 2012 (earliest exam, job or registration)
Prior registered firms
1
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 27, 2024 · Lincoln, Ca
- L•• F•••••••• L•• BD affiliatedJan 30, 2018 to Oct 21, 2019 · Danville, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 21, 2019, registered Sep 27, 2024 (1803 days) · Affiliated broker-dealer or bank to another
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address