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5233 W Dock St, South Jordan, UT 84009 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-04-01 |
| UT | RA | APPROVED | 2024-04-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Securities Llc | Sandy | UT | 05/2013 | 07/2018 |
| Dfpg Investments, Llc | Sandy | UT | 07/2018 | 12/2023 |
| Dfpg Investments, Llc | Sandy | UT | 09/2019 | 12/2023 |
| Encore Retirement Planning | South Jordan | UT | 01/2024 | Present |
1. Encore Tax Services; Non-Investment Related; South Jordan, Utah; Tax Preparation Services; Owner/Operator; 12/2023; 50% during business hours; prepare taxes, customer communication, and other administrative tasks. Receives compensation for these services. 2. Allegis Advisor Group; Non-Investment related; Sandy, Utah; Providing life, health, disability, annuities, and long term care insurance services; Independent agent; 1/1/2021; 5% during business hours; Sale and servicing of insurance products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 2013-07-02 |
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