DFX 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
R••••••• E•••• K••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as R•• K••••••••• E• K••••••••• E•••• K••••••••• E•••• K••••••
At current firm
8 y
since Feb 21, 2018
In the industry
35 y
since Nov 30, 1990 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 21, 2018 · Hillsdale, Nj
- U•• F•••••••• S••••••• I••• wirehouseNov 24, 2009 to Jul 22, 2015 · Weehawken, Nj
- C•••• I••••••••• S••••••• C•••• formerJul 1, 2009 to Nov 18, 2009 · Greenwich, Ct
- U•• F•••••••• S••••••• I••• wirehouseMar 14, 2006 to May 13, 2009 · Weehawken, Nj
- C•••• I••••••••• S••••••• C•••• formerMay 6, 2005 to Mar 8, 2006 · Brooklyn, Ny
- C•••• I••••••••• S••••••• C•••• formerJan 14, 2003 to Dec 6, 2004 · New York, Ny
- N•• E•••••• S••••••••• C••••••••• formerJun 21, 2002 to Jan 28, 2003 · Secaucus, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to T••••• A••••••• S•••••••• I•••left Jul 22, 2015, registered Feb 21, 2018 (945 days) · Other
- C•••• I••••••••• S••••••• C•••• to U•• F•••••••• S••••••• I•••left Nov 18, 2009, registered Nov 24, 2009 (6 days) · Other
- U•• F•••••••• S••••••• I••• to C•••• I••••••••• S••••••• C••••left May 13, 2009, registered Jul 1, 2009 (49 days) · Other
- C•••• I••••••••• S••••••• C•••• to U•• F•••••••• S••••••• I•••left Mar 8, 2006, registered Mar 14, 2006 (6 days) · Other
- N•• E•••••• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jan 28, 2003, registered Jan 14, 2003 (-14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address