DFX Intelligence
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Registered advisor
R••••• J••• K•••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
5 y
since Aug 3, 2021
In the industry
39 y
since Dec 6, 1986 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Aug 3, 2021 · Troy, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 30, 2015 to Feb 2, 2016 · Troy, Ny
- L•• F•••••••• L•• BD affiliatedMay 15, 2012 to Feb 2, 2015 · Latham, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 27, 2007 to May 15, 2012 · Troy, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Feb 2, 2016, registered Aug 3, 2021 (2009 days) · Other · moved with a team
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 2, 2015, registered Jan 30, 2015 (-3 days) · Other
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address