DFX Intelligence
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Feed of 09/14/2026
Also filed as K•••• T••••••••• S••••••••• T•••••••• S••••••••• T• S••••
At current firm
3 y
since Mar 24, 2023
In the industry
33 y
since Nov 20, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2023 · Boston, Ma
- L•• F•••••••• L•• BD affiliatedOct 10, 2018 to Apr 9, 2019 · Boston, Ma
- L•• F•••••••• L•• BD affiliatedAug 25, 2015 to Nov 27, 2017 · Newburyport, Ma
- M••••• S•••••• wirehouseApr 11, 2013 to Sep 8, 2015 · Middleton, Ma
- E••••• J•••• national BDMay 8, 2012 to Apr 1, 2013 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to L•• F•••••••• L••left Sep 8, 2015, registered Aug 25, 2015 (-14 days) · Other
- E••••• J•••• to M••••• S••••••left Apr 1, 2013, registered Apr 11, 2013 (10 days) · Affiliated broker-dealer or bank to wirehouse
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address