DFX 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
M••••• L•• C•••••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
Also filed as M•••• C•••••••••
At current firm
12 y
since Jan 21, 2014
In the industry
28 y
since Jul 29, 1998 (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
S65, S63, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 21, 2014 · Minneapolis, Mn
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Jan 3, 2014 · Memphis, Tn
- M••••• K••••• • C••••••• L•• formerSep 18, 2006 to Feb 13, 2013 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 3, 2014, registered Jan 21, 2014 (18 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address