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
M•••••• L••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M•••••• Scott L••••
At current firm
1 y
since Mar 31, 2025
In the industry
24 y
since Jun 17, 2002 (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, S65
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 currentsince Mar 31, 2025 · Overland Park, Ks
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 11, 2010 to Jul 13, 2018 · Overland Park, Ks
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 4, 2009 to Jul 16, 2010 · Pasadena, Ca
- T••••••••• F•••••••• A•••••••• I••• unclassifiedJan 22, 2008 to Sep 4, 2009 · Overland Park, Ks
- N•• E•••••• S••••••••• C••••••••• formerDec 1, 2005 to Aug 15, 2006 · Overland Park, Ks
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
- T••••••••• F•••••••• A•••••••• L•• to S•••••••• A••••••• L••left Jul 16, 2010, registered Aug 11, 2010 (26 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Sep 4, 2009, registered Sep 4, 2009 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to T••••••••• F•••••••• A•••••••• I•••left Aug 15, 2006, registered Jan 22, 2008 (525 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address