DFX Intelligence
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Registered advisor
L••• A••• S•••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as L••• A••• S•••••••
At current firm
18 y
since Sep 27, 2007
In the industry
35 y
since Apr 26, 1991 (earliest exam, job or registration)
Prior registered firms
1
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 Sep 27, 2007 · Olney, Il
- S•• I••••••••• I••• formerMay 24, 1999 to Sep 27, 2007 · Olney, Il
Moves
a registration end followed by a registration begin elsewhere
- S•• I••••••••• I••• to E••••• J••••left Sep 27, 2007, registered Sep 27, 2007 (0 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address