DFX Intelligence
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Registered advisor
R••••• L•••••• C••••••
Feed of 09/14/2026
Also filed as B•• C••••••
At current firm
19 y
since Feb 9, 2007
In the industry
35 y
since Feb 19, 1991 (earliest exam, job or registration)
Prior registered firms
2
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
- E•••••••• A•••••••• L•• national BD currentsince Feb 9, 2007 · Charlotte, Nc
- T••••••••• F•••••••• A•••••••• I••• unclassifiedMay 25, 2006 to Jan 26, 2007 · Charlotte, Nc
- E•••••••• A•••••••• L•• national BDDec 31, 2001 to Jan 10, 2005 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- T••••••••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Jan 26, 2007, registered Feb 9, 2007 (14 days) · Other
- E•••••••• A•••••••• L•• to T••••••••• F•••••••• A•••••••• I•••left Jan 10, 2005, registered May 25, 2006 (500 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address