DFX Intelligence
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D••••• S••••• L••••••
As of · the IAPD feed; also filed as D••••• L••••••
- At current firm
- 8 y
- In the industry
- 23 y
- Prior registered firms
- 2
- Signals
- 0
since Aug 7, 2018
As of · the IAPD feed; also filed as D••••• L••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 7, 2018 · Rockford, Il
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Aug 20, 2018 · Byron, Il
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 20, 2004 to Jul 5, 2011 · Byron, Il
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 20, 2018, registered Aug 7, 2018 (-13 days) · RIA to affiliated broker-dealer or bank
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address