DFX Intelligence
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Registered advisor
L••• H•••
Feed of 09/15/2026
Also filed as L••• Marie H•••
At current firm
7 y
since Apr 15, 2019
In the industry
17 y
since Sep 15, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Apr 15, 2019 · Long Island City, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 16, 2018 to Mar 11, 2019 · St. Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BDJun 19, 2012 to Jan 11, 2018 · St. Petersburg, Fl
- M••••• S•••••• wirehouseFeb 8, 2010 to Jun 14, 2012 · Tampa, Fl
- L•• F•••••••• L•• BD affiliatedSep 22, 2009 to Jan 27, 2010 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••••• G••••• M•••••• I•••left Mar 11, 2019, registered Apr 15, 2019 (35 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 11, 2018, registered Jan 16, 2018 (5 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Jun 14, 2012, registered Jun 19, 2012 (5 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to M••••• S••••••left Jan 27, 2010, registered Feb 8, 2010 (12 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address