DFX Intelligence
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Registered advisor
L••••••• W• B•••
Certified Financial Planner
Feed of 09/14/2026
At current firm
17 y
since Sep 4, 2009
In the industry
19 y
since Sep 27, 2006 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince Sep 4, 2009 · Purchase, Ny
- E•••••••• A•••••••• L•• national BDAug 20, 2007 to Sep 14, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to M••••• S••••••left Sep 14, 2009, registered Sep 4, 2009 (-10 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address