DFX Intelligence
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Feed of 09/14/2026
Also filed as L••• C•••• M••
At current firm
1 y
since Mar 31, 2025
In the industry
18 y
since Jul 26, 2008 (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 · Oviedo, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 6, 2021 to Mar 31, 2025 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 10, 2020 to Aug 12, 2021 · Pensacola, Fl
- C••• F•••••••• S•••••••• L••• formerJul 20, 2017 to Apr 5, 2019 · Orlando, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 26, 2011 to Jun 15, 2016 · Orlando, Fl
- C•••• I••••••••• S••••••• C•••• formerApr 21, 2010 to Oct 5, 2011 · Winter Park, Fl
- P•••• S••••••••• L•• no RAUMAug 12, 2009 to Mar 25, 2010 · Orlando, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJul 29, 2008 to Sep 22, 2008 · Orlando, Fl
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 12, 2021, registered Oct 6, 2021 (55 days) · Wirehouse to affiliated broker-dealer or bank
- C••• F•••••••• S•••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 5, 2019, registered Jun 10, 2020 (432 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Jun 15, 2016, registered Jul 20, 2017 (400 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 5, 2011, registered Oct 26, 2011 (21 days) · Other
- P•••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Mar 25, 2010, registered Apr 21, 2010 (27 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••• S••••••••• L••left Sep 22, 2008, registered Aug 12, 2009 (324 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address