DFX Intelligence
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K•••••• R••••• H••••••••
As of · the IAPD feed; also filed as K•• H••••••••
- At current firm
- 23 y
- In the industry
- 31 y
- Prior registered firms
- 1
- Signals
- 0
since Feb 26, 2003
As of · the IAPD feed; also filed as K•• H••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Feb 26, 2003 · Irvine, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Nov 22, 2002 · Laguna Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to E•••••••• A•••••••• L••left Nov 22, 2002, registered Feb 26, 2003 (96 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address