DFX Intelligence
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Registered advisor
C••••• L•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C••••• H••••••••• L•••
At current firm
11 y
since Sep 11, 2015
In the industry
15 y
since Aug 27, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 11, 2015 · Chicago, Il
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 2, 2014 to Sep 11, 2015 · Chicago, Il
- M•• F•••••••• S•••••••• I••• formerSep 18, 2012 to Dec 8, 2014 · Buffalo Grove, Il
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Sep 11, 2015, registered Sep 11, 2015 (0 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 8, 2014, registered Dec 2, 2014 (-6 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address