DFX Intelligence
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Registered advisor
M•••••• O••••• L•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as L••••••••• O••••• L••••••••• C•• O••••• L••••••••• O••••• L•••••• C••
At current firm
1 y
since Nov 14, 2024
In the industry
25 y
since Feb 15, 2001 (earliest exam, job or registration)
Prior registered firms
6
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Crown Point, In
- P•••• S••••••••• L•• no RAUMAug 31, 2020 to Nov 14, 2024 · Frankfort, Il
- L•• F•••••••• L•• BD affiliatedMar 29, 2018 to Aug 12, 2020 · Schererville, In
- I••••••••• F•••••••• P••••••• BD affiliatedOct 18, 2016 to Apr 5, 2018 · Schererville, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 30, 2016 · Merrillville, In
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 1, 2012 · Hammond, In
- B••• O•• S••••••••• C••••••••• unclassifiedSep 22, 2003 to Jul 6, 2005 · Merrillville, In
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to P•••• S••••••••• L••left Aug 12, 2020, registered Aug 31, 2020 (19 days) · Affiliated broker-dealer or bank to another
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left Apr 5, 2018, registered Mar 29, 2018 (-7 days) · RIA to RIA
- J••• M••••• S••••••••• L•• to I••••••••• F•••••••• P•••••••left Sep 30, 2016, registered Oct 18, 2016 (18 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address