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E••••• C••• K••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

E••••• C••• K••••••••

Advisor at R•••••• J•••• • A••••••••• I•••

ST. PETERSBURG, FL | MEMPHIS, TN

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Search this name across graphsid dfx:ria:386c690a-9ed4-f065-4fce-c998e34f5b48

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 18, 1985 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 26, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Apr 4, 2012	n/a	yes	MEMPHIS, TN\|MEMPHIS, TN\|ST. PETERSBURG, FL	Current employment
M••••• K••••• • C••••••• L••	Former SEC adviser	Sep 18, 1985	Mar 14, 2013	no	MEMPHIS, TN\|MEMPHIS, TN\|MEMPHIS, TN\|MEMPHIS, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• K••••• • C••••••• L••	R•••••• J•••• • A••••••••• I•••	Mar 14, 2013	Apr 4, 2012	-344	Bulk transfer	Other

Relationships

Registered with (2)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Apr 4, 2012 to presentfactForm ADV
→ M••••• K••••• • C••••••• L••Registered adviserregistration: previous registration
Sep 18, 1985 to Mar 14, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:386c690a-9ed4-f065-4fce-c998e34f5b48
First observed: Sep 18, 1985
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.