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
N••••• L••••• T•••••••••
Feed of 09/15/2026
Also filed as N••••• L Trottier
At current firm
10 y
since Mar 9, 2016
In the industry
25 y
since Nov 27, 2000 (earliest exam, job or registration)
Prior registered firms
5
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 9, 2016 · Portland, Me
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Mar 10, 2016 · Saco, Me
- C••••• I••••••••• S••••••• L•• formerJun 2, 2011 to Jan 21, 2014 · Saco, Me
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 17, 2009 to May 28, 2010 · Portland, Me
- C••••• I••••••••• S••••••• L•• formerSep 14, 2005 to Nov 17, 2009 · Portland, Me
- U•• F•••••••• S••••••• I••• wirehouseJun 11, 2003 to Sep 2, 2005 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 10, 2016, registered Mar 9, 2016 (-1 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- T• W••••• M••••••••• S••••••• I••• to C••••• I••••••••• S••••••• L••left May 28, 2010, registered Jun 2, 2011 (370 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C••••• I••••••••• S••••••• L••left Sep 2, 2005, registered Sep 14, 2005 (12 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address