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.
Registered advisor
S••• G•••••• S••••••
Feed of 09/14/2026
Also filed as S••• G•••••• S••••••••• G• S••••••
At current firm
8 y
since Jul 10, 2018
In the industry
45 y
since Sep 14, 1981 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 10, 2018 · Pepper Pike, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJul 6, 2018 to Jul 11, 2018 · Pepper Pike, Oh
- S•••••• N••••••• • C••••••• I••••••••• national BDMay 15, 2009 to Jul 9, 2018 · Beachwood, Oh
- J••••• M••••••••• S•••• L•• BD affiliatedJun 25, 2005 to Jun 12, 2009 · Painesville, Oh
- P••••••••• I••••••••• unclassifiedMay 2, 2005 to Jun 25, 2005 · Painesville, Oh
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jul 11, 2018, registered Jul 10, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 9, 2018, registered Jul 6, 2018 (-3 days) · Affiliated broker-dealer or bank to another
- J••••• M••••••••• S•••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jun 12, 2009, registered May 15, 2009 (-28 days) · Other
- P••••••••• I••••••••• to J••••• M••••••••• S•••• L••left Jun 25, 2005, registered Jun 25, 2005 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address