DFX Intelligence
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Registered advisor
L•••• N•••• P•••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as L•••• J••••• N••••
At current firm
6 y
since Jan 31, 2020
In the industry
35 y
since Jun 19, 1991 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
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
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jan 31, 2020 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseFeb 12, 2009 to Feb 11, 2020 · Washington, Dc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 13, 2009 · Washington, Dc
- M••••• S•••••• D• I••• unclassifiedMar 4, 2002 to Apr 2, 2007 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left Feb 11, 2020, registered Jan 31, 2020 (-11 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Feb 13, 2009, registered Feb 12, 2009 (-1 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 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address