DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••••• K••• D•••••••
Feed of 09/14/2026
Also filed as M•••••• K••• D•••••••
At current firm
14 y
since Jan 6, 2012
In the industry
43 y
since Jul 28, 1983 (earliest exam, job or registration)
Prior registered firms
4
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•• C•••••• M••••••• L•• national BD currentsince Jan 6, 2012 · Atlanta, Ga
- M••••• K••••• • C••••••• L•• formerFeb 19, 2009 to Dec 16, 2011 · Atlanta, Ga
- C••••• S••••• S••••••••• •••• L•• formerJul 10, 2006 to Jan 9, 2009 · Atlanta, Ga
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 5, 2004 to Jun 23, 2006 · Savannah, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 14, 2000 to Apr 30, 2004 · Lexington, Ky
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to R•• C•••••• M••••••• L••left Dec 16, 2011, registered Jan 6, 2012 (21 days) · Other
- C••••• S••••• S••••••••• •••• L•• to M••••• K••••• • C••••••• L••left Jan 9, 2009, registered Feb 19, 2009 (41 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••• S••••• S••••••••• •••• L••left Jun 23, 2006, registered Jul 10, 2006 (17 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 30, 2004, registered May 5, 2004 (5 days) · Other
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address