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••••• C•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as L••••• A••• L•••••
At current firm
24 y
since Sep 24, 2002
In the industry
25 y
since Mar 29, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 24, 2002 · Falmouth, Me
- S••••••• F•••••••• S•••••••• I••• formerJul 9, 2002 to Aug 26, 2002 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Aug 26, 2002, registered Sep 24, 2002 (29 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address