DFX Intelligence
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Registered advisor
L••••••• S•••••
Chartered Financial Consultant
Feed of 09/15/2026
Also filed as L•••• S•••••
At current firm
5 y
since Aug 3, 2021
In the industry
35 y
since Oct 18, 1990 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 Aug 3, 2021 · Melville, Ny
- I••••• F•••••••• C••••••••• formerJul 26, 2012 to Feb 20, 2018 · Westbury, Ny
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 13, 2007 to Apr 13, 2007 · Elmont, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Apr 27, 2007 · Melville, Ny
- M••••• S•••••• D• I••• unclassifiedDec 14, 2005 to Apr 2, 2007 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 20, 2018, registered Aug 3, 2021 (1260 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to U•••• F•••••••• S••••••• G••••• I•••left Apr 27, 2007, registered Apr 13, 2007 (-14 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to I••••• F•••••••• C•••••••••left Apr 13, 2007, registered Jul 26, 2012 (1931 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address