DFX Intelligence
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Registered advisor
C••••••••• J••••• L••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as C•••• L••••
At current firm
2 y
since Jun 14, 2024
In the industry
22 y
since Oct 8, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · St Louis P•••, Mn
- S••••••••• A•••••• A•••••••• I••• formerJan 31, 2014 to Jun 14, 2024 · Mendota Heights, Mn
- P••• A••••• S••••••••• L•• BD affiliatedMay 27, 2010 to Jun 21, 2011 · Bloomington, Mn
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jun 21, 2011, registered Jan 31, 2014 (955 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address