DFX Intelligence
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Registered advisor
S•••• C•••••• M••••
Feed of 09/15/2026
Also filed as S•••• M•••• M••••••••• M•••• M••••••
At current firm
7 y
since Aug 6, 2019
In the industry
43 y
since Jun 28, 1983 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Aug 6, 2019 · Auburn, Al
- L•• F•••••••• L•• BD affiliatedNov 15, 2006 to Aug 16, 2019 · Auburn, Al
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMay 18, 1999 to Nov 15, 2006 · Alexander City, Al
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Aug 16, 2019, registered Aug 6, 2019 (-10 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 15, 2006, registered Nov 15, 2006 (0 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address