DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Stephen Kent Liles
Certified Financial Planner
Feed of 09/14/2026
Also filed as Stephen K Liles
At current firm
10 y
since Apr 21, 2016
In the industry
18 y
since Sep 21, 2007 (earliest exam, job or registration)
Prior registered firms
3
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
- Newedge Advisors BD affiliated currentsince Apr 21, 2016 · Lake Charles, La
- Transamerica Financial Advisors, LLC BD affiliatedSep 4, 2009 to Apr 28, 2016 · Lake Charles, La
- Transamerica Financial Advisors, Inc. unclassifiedMar 6, 2008 to Sep 4, 2009 · Lake Charles, La
- Park Avenue Securities LLC BD affiliatedSep 21, 2007 to Feb 21, 2008 · Lake Charles, La
Moves
a registration end followed by a registration begin elsewhere
- Transamerica Financial Advisors, LLC to Newedge Advisorsleft Apr 28, 2016, registered Apr 21, 2016 (-7 days) · Other
- Transamerica Financial Advisors, Inc. to Transamerica Financial Advisors, LLCleft Sep 4, 2009, registered Sep 4, 2009 (0 days) · corporate re-registration, not a move
- Park Avenue Securities LLC to Transamerica Financial Advisors, Inc.left Feb 21, 2008, registered Mar 6, 2008 (14 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address