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Registered advisor
L•••• D• F•••••
Feed of 09/14/2026
Also filed as L•••• Dominic F•••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Jun 1, 2015 (earliest exam, job or registration)
Prior registered firms
5
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 · Lakewood, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 22, 2022 to Mar 31, 2025 · Cleveland, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedFeb 18, 2021 to Nov 1, 2021 · Brooklyn, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 15, 2018 to Jan 26, 2021 · Mentor, Oh
- T• A••••••••• I••• formerNov 15, 2018 to Jan 26, 2021 · Mentor, Oh
- P•• W••••• M••••••••• BD affiliatedDec 19, 2015 to Oct 12, 2018 · Kalamazoo, Mi
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
- K•• I••••••••• S••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 1, 2021, registered Mar 22, 2022 (141 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 26, 2021, registered Nov 15, 2018 (-803 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 26, 2021, registered Nov 15, 2018 (-803 days) · channel change inside one enterprise, not a move
- P•• W••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 12, 2018, registered Nov 15, 2018 (34 days) · Affiliated broker-dealer or bank to independent RIA
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address