DFX Intelligence
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Registered advisor
S••••• L•• C•••••
Feed of 09/14/2026
Also filed as S•••• L•• C••••••••• L•• C••••••••• L• C•••••
At current firm
8 y
since Jun 29, 2018
In the industry
43 y
since Apr 27, 1983 (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, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 29, 2018 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseMar 30, 2010 to Jul 5, 2018 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 5, 2018, registered Jun 29, 2018 (-6 days) · Wirehouse to affiliated broker-dealer or bank
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address