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
M•••••• C• L••••••
Feed of 09/14/2026
Also filed as M•••••• C• L••••••••• C••• L••••••••• L••••••
At current firm
2 y
since Feb 8, 2024
In the industry
18 y
since Mar 27, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
17
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P••• A••••• S••••••••• L•• BD affiliated currentsince Feb 8, 2024 · Melville, Ny
- M••••• S•••••• wirehouseMay 15, 2020 to Sep 23, 2020 · New York, Ny
- W•••• F•••• A••••••• wirehouseMar 27, 2008 to Apr 29, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to P••• A••••• S••••••••• L••left Sep 23, 2020, registered Feb 8, 2024 (1233 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Apr 29, 2008, registered May 15, 2020 (4399 days) · Wirehouse 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address