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
S••••• L•••
Feed of 09/14/2026
Also filed as S••••• J••••• L•••
At current firm
3 y
since Jul 24, 2023
In the industry
20 y
since Apr 27, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 24, 2023 · New York, Ny
- M••••• S•••••• wirehouseAug 27, 2010 to Feb 8, 2011 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 26, 2007 to Oct 5, 2007 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 8, 2011, registered Jul 24, 2023 (4549 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 5, 2007, registered Aug 27, 2010 (1057 days) · Wirehouse to wirehouse
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address