DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

M•••••• L••••••

P•••••••• S••••••••• I•••BD affiliatedMelville, Nydual registrantIAPD 2025717

Feed of 09/14/2026

Also filed as M•••••• L••••••••• J• L••••••

At current firm

3 y

since May 16, 2023

In the industry

18 y

since Mar 28, 2008 (earliest exam, job or registration)

Prior registered firms

4

IAPD previous registrations

State registrations

2

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

P•••••••• S••••••••• I••• BD affiliated current
since May 16, 2023 · Melville, Ny

A••••••••• F•••••••• S•••••••• L•• national BD
Feb 10, 2014 to May 23, 2023 · East Meadow, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Dec 16, 2013 · Long Beach, Ny
C•••• I••••••••• S••••••• C•••• former
Nov 6, 2009 to Oct 1, 2012 · Baldwin, Ny
E•••••••• A•••••••• L•• national BD
Jul 30, 2008 to Dec 9, 2008 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••
left May 23, 2023, registered May 16, 2023 (-7 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Dec 16, 2013, registered Feb 10, 2014 (56 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••
left Dec 9, 2008, registered Nov 6, 2009 (332 days) · Other

Signals

••• Locked
May 23, 2023 · Advisor changed firm · fact

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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address