DFX Intelligence
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Registered advisor
N••••• A•• O•••••
Feed of 09/14/2026
Also filed as N••••• O•••••
At current firm
1 y
since Nov 14, 2024
In the industry
30 y
since May 1, 1996 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Scranton, Pa
- P•••• S••••••••• L•• no RAUMFeb 3, 2011 to Nov 14, 2024 · Scranton, Pa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 21, 2003 to Jun 28, 2007 · Cherry Hill, Nj
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Jun 28, 2007, registered Feb 3, 2011 (1316 days) · Other
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address