DFX Intelligence
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Registered advisor
K•••• E• S••••
Feed of 09/14/2026
Also filed as K•••• E••••• S••••
At current firm
13 y
since Oct 1, 2012
In the industry
34 y
since Sep 16, 1992 (earliest exam, job or registration)
Prior registered firms
3
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Powell, Oh
- C•••• I••••••••• S••••••• C•••• formerOct 13, 2009 to Oct 1, 2012 · Columbus, Oh
- O•••• W•••••• I••• BD affiliatedNov 7, 2003 to Jan 25, 2006 · Dublin, Oh
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 10, 2001 to Aug 26, 2003 · Dublin, Oh
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- O•••• W•••••• I••• to C•••• I••••••••• S••••••• C••••left Jan 25, 2006, registered Oct 13, 2009 (1357 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Aug 26, 2003, registered Nov 7, 2003 (73 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address