DFX Intelligence
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Feed of 09/14/2026
At current firm
6 y
since Jul 6, 2020
In the industry
39 y
since Dec 11, 1986 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 6, 2020 · Lakeland, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 2, 2011 to Sep 12, 2013 · Princeton, Nj
- U•• F•••••••• S••••••• I••• wirehouseMay 24, 2006 to Dec 9, 2011 · Princeton, Nj
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left Sep 12, 2013, registered Jul 6, 2020 (2489 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 9, 2011, registered Dec 2, 2011 (-7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address