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

K•••••• L• C••••

S•••••••• A••••••• L••national BDLondonderry, NhIA-onlyIAPD 4050654

Feed of 09/14/2026

Also filed as K•••••• L• S••••••••• L• C••••••••• C••••••••• S••••••••• L• C••••••••• L•• C••••

At current firm

1 y

since Mar 31, 2025

In the industry

26 y

since Nov 20, 1999 (earliest exam, job or registration)

Prior registered firms

5

IAPD previous registrations

State registrations

2

current, as an IAR

Firms today

1

current registrations

Exams

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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Londonderry, Nh

F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Mar 31, 2025 · Boston, Ma
S•••••••• A••••••• L•• national BD
Nov 23, 2011 to Jul 13, 2018 · Merrimack, Nh
M•• F•••••••• S•••••••• I••• former
Aug 14, 2009 to Jun 7, 2010 · Exeter, Nh
S•••••••• A••••••• L•• national BD
Apr 13, 2007 to Dec 2, 2008 · Merrimack, Nh
S•••••••• A••••••• L•• national BD
Mar 5, 2002 to Feb 23, 2007 · Merrimack, Nh

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
M•• F•••••••• S•••••••• I••• to S•••••••• A••••••• L••
left Jun 7, 2010, registered Nov 23, 2011 (534 days) · Other
S•••••••• A••••••• L•• to M•• F•••••••• S•••••••• I•••
left Dec 2, 2008, registered Aug 14, 2009 (255 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: National broker-dealer RIAderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address