DFX Intelligence
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Registered advisor
E••••• A••• B•••••
Feed of 09/14/2026
At current firm
10 y
since Jul 19, 2016
In the industry
15 y
since Oct 15, 2010 (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, 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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 19, 2016 · Hoover, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 26, 2013 to Jul 18, 2016 · Birmingham, Al
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Nov 25, 2013 · Birmingham, Al
- M••••• K••••• • C••••••• L•• formerSep 7, 2011 to Feb 13, 2013 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• I••••••••• A••••••• L••left Jul 18, 2016, registered Jul 19, 2016 (1 day) · Other
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 25, 2013, registered Nov 26, 2013 (1 day) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address