DFX Intelligence
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Feed of 09/14/2026
Also filed as A••••• D•••• L•••
At current firm
8 y
since Sep 7, 2018
In the industry
30 y
since Jun 25, 1996 (earliest exam, job or registration)
Prior registered firms
3
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
- E••••• J•••• national BD currentsince Sep 7, 2018 · Honolulu, Hi
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 22, 2017 to Jul 6, 2018 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedJun 4, 2004 to Jun 9, 2017 · Honolulu, Hi
- C••••• A•••••• N••••••• L•• formerSep 15, 2000 to Jun 17, 2004 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to E••••• J••••left Jul 6, 2018, registered Sep 7, 2018 (63 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 9, 2017, registered May 22, 2017 (-18 days) · Other
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Jun 17, 2004, registered Jun 4, 2004 (-13 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address