DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• S•• L•••
Feed of 09/14/2026
Also filed as R••••• Sue Seipel
At current firm
13 y
since Jun 25, 2013
In the industry
23 y
since May 17, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••••• A•••••••• L•• BD affiliated currentsince Jun 25, 2013 · Alpharetta, Ga
- S••••••• I••••••••• S•••••••• I••• formerJun 30, 2005 to Jun 10, 2013 · Alpharetta, Ga
- T••••• S••••••••• I••• unclassifiedJun 3, 2003 to Jun 30, 2005 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 21, 2003 to Jun 4, 2003 · Alpharetta, Ga
Moves
a registration end followed by a registration begin elsewhere
- S••••••• I••••••••• S•••••••• I••• to H•••••••• A•••••••• L••left Jun 10, 2013, registered Jun 25, 2013 (15 days) · Other
- T••••• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jun 30, 2005, registered Jun 30, 2005 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• S••••••••• I•••left Jun 4, 2003, registered Jun 3, 2003 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address