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
L••• L••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as L••••••• L••• L••••••••• L••• L••••••
At current firm
1 y
since Sep 5, 2025
In the industry
34 y
since Sep 1, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Homewood, Il
- A•••••• A••••••• S••••••• formerFeb 9, 2004 to Sep 5, 2025 · Homewood, Il
- V••••••• I••••••••• A•••••••• I••• unclassifiedSep 26, 2002 to Dec 19, 2003 · Desplaines, Il
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- V••••••• I••••••••• A•••••••• I••• to A•••••• A••••••• S•••••••left Dec 19, 2003, registered Feb 9, 2004 (52 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address