DFX Intelligence
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Registered advisor
H••••• A•••• K••••••
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
17 y
since Jan 7, 2009
In the industry
36 y
since Sep 18, 1990 (earliest exam, job or registration)
Prior registered firms
2
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
- S•• BD affiliated currentsince Jan 7, 2009 · Scottsdale, Az
- E•••••••• I••••••••• A••••••• L•• unclassifiedJul 16, 2004 to Apr 1, 2009 · Northbrook, Il
- S••••••• F•••••••• S•••••••• I••• formerMay 11, 2001 to May 6, 2004 · Bannockburn, Il
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• I••••••••• A••••••• L•• to S••left Apr 1, 2009, registered Jan 7, 2009 (-84 days) · Other
- S••••••• F•••••••• S•••••••• I••• to E•••••••• I••••••••• A••••••• L••left May 6, 2004, registered Jul 16, 2004 (71 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address