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
T•••••• L•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as T•••••• Edward L•••••
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Oct 27, 2005 (earliest exam, job or registration)
Prior registered firms
7
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Francisco, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDSep 21, 2015 to Jul 13, 2018 · San Francisco, Ca
- E•••••• C•••••• M••••••••• L•• formerOct 23, 2012 to Sep 10, 2015 · Arlington, Va
- C••• F•••••••• S•••••••• L••• formerJul 23, 2012 to Nov 20, 2012 · Dublin, Ca
- C••• F•••••••• S•••••••• L••• formerSep 9, 2009 to Dec 1, 2011 · Fremont, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 23, 2009 to Sep 2, 2009 · Oakland, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 28, 2005 to Jun 12, 2007 · San Francisco, Ca
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
- E•••••• C•••••• M••••••••• L•• to S•••••••• A••••••• L••left Sep 10, 2015, registered Sep 21, 2015 (11 days) · Other
- C••• F•••••••• S•••••••• L••• to E•••••• C•••••• M••••••••• L••left Nov 20, 2012, registered Oct 23, 2012 (-28 days) · Other
- M•• I•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Sep 2, 2009, registered Sep 9, 2009 (7 days) · Other
- W•••• F•••• I••••••••• L•• to M•• I•••••••• S•••••••• L••left Jun 12, 2007, registered Feb 23, 2009 (622 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address