DFX Intelligence
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Registered advisor
R•••• L• W•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R•••• L•• W••••••••• L•• A•• W••••••••• L•• A•• W•••••••
At current firm
11 y
since Aug 28, 2015
In the industry
36 y
since Mar 12, 1990 (earliest exam, job or registration)
Prior registered firms
3
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
- E••••• J•••• national BD currentsince Aug 28, 2015 · North Kingstown, Ri
- M•• F•••••••• S•••••••• I••• formerJul 10, 2009 to Sep 8, 2015 · Warwick, Ri
- U•• F•••••••• S••••••• I••• wirehouseNov 4, 2005 to Jul 22, 2009 · Providence, Ri
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJan 1, 2000 to Nov 29, 2005 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to E••••• J••••left Sep 8, 2015, registered Aug 28, 2015 (-11 days) · Other
- U•• F•••••••• S••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 22, 2009, registered Jul 10, 2009 (-12 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 29, 2005, registered Nov 4, 2005 (-25 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address