DFX Intelligence
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Registered advisor
C•••••••• L•••••• A•••••••
Feed of 09/14/2026
Also filed as Mary Catherine Leeming
At current firm
0 y
since Jul 9, 2026
In the industry
10 y
since Feb 1, 2016 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Jul 9, 2026 · Shelton, Ct
- L•• E••••••••• L•• BD affiliatedDec 22, 2025 to Jan 21, 2026 · Shelton, Ct
- W•••• F•••• A••••••• wirehouseSep 23, 2022 to Feb 27, 2025 · Melville, Ny
- J••• M••••• S••••••••• L•• wirehouseJun 14, 2022 to Aug 13, 2022 · Greenwich, Ct
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 3, 2022 to Apr 1, 2022 · Austin, Tx
- W•••• F•••• A••••••• wirehouseAug 12, 2021 to Oct 22, 2021 · Melville, Ny
- W•••• F•••• A••••••• wirehouseSep 23, 2019 to Apr 23, 2021 · Purchase, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• E••••••••• L••left Feb 27, 2025, registered Dec 22, 2025 (298 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Aug 13, 2022, registered Sep 23, 2022 (41 days) · Wirehouse to wirehouse
- K••••• A••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Apr 1, 2022, registered Jun 14, 2022 (74 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to K••••• A••••••• S•••••••• L••left Oct 22, 2021, registered Mar 3, 2022 (132 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- C•••••••• L•••••• A••••••• left W•••• F•••• A••••••• for L•• E••••••••• L•• (registered 2025-12-22)Feb 27, 2025 · Advisor changed firm · fact
- C•••••••• L•••••• A••••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-09-23)Aug 13, 2022 · Advisor changed firm · fact
- C•••••••• L•••••• A••••••• left K••••• A••••••• S•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-06-14)Apr 1, 2022 · Advisor changed firm · fact
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address