DFX Intelligence
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Registered advisor
K•••• L• T•••
Certified Financial Planner
Feed of 09/15/2026
Also filed as K••• L•
At current firm
9 y
since Jun 9, 2017
In the industry
27 y
since Jul 26, 1999 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
6
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••••••• S••••••••• I••• BD affiliated currentsince Jun 9, 2017 · Portsmouth, Nh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 28, 2015 to May 26, 2017 · York, Me
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 12, 2014 to Nov 19, 2014 · New Castle, Pa
- N••••• F•••••••• S•••••••• I••• unclassifiedMar 8, 2012 to Oct 9, 2012 · Cumberland Foreside, Me
- C••••••••• F•••••••• N•••••• national BDApr 1, 2010 to Oct 9, 2012 · Portsmouth, Nh
- S•••••••• A••••••• L•• national BDApr 25, 2005 to Mar 22, 2010 · Merrimack, Nh
All 6 prior registrationsShow fewer
- W•••••• • R••• formerJan 22, 2004 to Oct 21, 2004 · Portsmouth, Nh
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left May 26, 2017, registered Jun 9, 2017 (14 days) · Other
- M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 19, 2014, registered Jan 28, 2015 (70 days) · Other
- N••••• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Oct 9, 2012, registered Nov 12, 2014 (764 days) · Other
- C••••••••• F•••••••• N•••••• to M•• I•••••••• S•••••••• L••left Oct 9, 2012, registered Nov 12, 2014 (764 days) · Other
- S•••••••• A••••••• L•• to C••••••••• F•••••••• N••••••left Mar 22, 2010, registered Apr 1, 2010 (10 days) · Affiliated broker-dealer or bank to another
All 6 movesShow fewer
- W•••••• • R••• to S•••••••• A••••••• L••left Oct 21, 2004, registered Apr 25, 2005 (186 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address