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Registered advisor
D•••• L• L•••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as D•••• L• L•••••
At current firm
4 y
since Mar 25, 2022
In the industry
26 y
since Dec 18, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 25, 2022 · Jersey City, Nj
- A••••••• F•••••••• A•••••••• L•• BD affiliatedApr 1, 2020 to Jan 31, 2022 · Point Pleasant, Nj
- P•••• S••••••••• L•• no RAUMFeb 27, 2018 to Jan 7, 2020 · East Brunswick, Nj
- S••••••• F•••••••• S•••••••• I••• formerJun 12, 2002 to May 14, 2003 · Neptune, Nj
Moves
a registration end followed by a registration begin elsewhere
- A••••••• F•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Jan 31, 2022, registered Mar 25, 2022 (53 days) · Affiliated broker-dealer or bank to wirehouse
- P•••• S••••••••• L•• to A••••••• F•••••••• A•••••••• L••left Jan 7, 2020, registered Apr 1, 2020 (85 days) · Affiliated broker-dealer or bank to another
- S••••••• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left May 14, 2003, registered Feb 27, 2018 (5403 days) · Other
Signals
- D•••• L• L••••• left A••••••• F•••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-03-25)Jan 31, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address