DFX Intelligence
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Registered advisor
P•••• L• E••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as P•••• L••• K••••••••• L••• K••••••••• L••• K••••••••• L• K•••••••••
At current firm
14 y
since Dec 12, 2011
In the industry
29 y
since Nov 29, 1996 (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
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Dec 12, 2011 · Highland, Il
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 14, 2008 to Dec 31, 2009 · Highland, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 15, 2000 to Mar 5, 2007 · Highland, Il
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 5, 2007, registered Aug 14, 2008 (528 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address