DFX Intelligence
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Registered advisor
L••• P••• R••••
Feed of 09/14/2026
At current firm
9 y
since Oct 14, 2016
In the industry
33 y
since Apr 15, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Oct 14, 2016 · Oakland Park, Fl
- R•••••• J•••• • A••••••••• I••• national BDMar 23, 2005 to Oct 18, 2016 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJan 3, 2001 to Apr 21, 2004 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left Oct 18, 2016, registered Oct 14, 2016 (-4 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 21, 2004, registered Mar 23, 2005 (336 days) · Wirehouse to affiliated broker-dealer or bank
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address