DFX Intelligence
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Registered advisor
D••••• S•••••• C•••••
Feed of 09/14/2026
Also filed as D••••• Lynn S••••••
At current firm
8 y
since Dec 4, 2017
In the industry
27 y
since Mar 12, 1999 (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
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 4, 2017 · Louisville, Ky
- M••••• S•••••• wirehouseMay 1, 2015 to Dec 5, 2017 · Louisville, Ky
- U•• F•••••••• S••••••• I••• wirehouseSep 20, 2006 to May 11, 2015 · Louisville, Ky
- B••• O•• S••••••••• C••••••••• unclassifiedApr 6, 2001 to Sep 21, 2006 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Dec 5, 2017, registered Dec 4, 2017 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 11, 2015, registered May 1, 2015 (-10 days) · Wirehouse to wirehouse · moved with a team
- B••• O•• S••••••••• C••••••••• to U•• F•••••••• S••••••• I•••left Sep 21, 2006, registered Sep 20, 2006 (-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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address