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•••• A•• B•••••••
Feed of 09/15/2026
Also filed as L•••• A•• B•••••••
At current firm
19 y
since Apr 20, 2007
In the industry
20 y
since Feb 26, 2006 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Apr 20, 2007 · Newport Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 31, 2006 to Apr 13, 2007 · Shelton, Ct
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Apr 13, 2007, registered Apr 20, 2007 (7 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address