DFX Intelligence
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Feed of 09/14/2026
Also filed as K•••• E••••• L••••
At current firm
3 y
since Jul 11, 2023
In the industry
32 y
since Nov 30, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, 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•••• S••••••••• L•• BD affiliated currentsince Jul 11, 2023 · Frisco, Tx
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedApr 26, 2005 to Dec 18, 2006 · Westlake, Tx
- S•••••••• A••••••• L•• national BDJun 30, 2000 to Dec 18, 2006 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• T•••• C••••••• F•• to E•••• S••••••••• L••left Dec 18, 2006, registered Jul 11, 2023 (6049 days) · Other
- S•••••••• A••••••• L•• to E•••• S••••••••• L••left Dec 18, 2006, registered Jul 11, 2023 (6049 days) · Affiliated broker-dealer or bank to another
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address