DFX Intelligence
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Registered advisor
J••••••• K•••••
Feed of 09/14/2026
Also filed as J••••••• C••••• K•••••
At current firm
1 y
since Mar 31, 2025
In the industry
34 y
since Aug 21, 1992 (earliest exam, job or registration)
Prior registered firms
10
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Mount Prospect, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 18, 2022 to Mar 31, 2025 · Mount Prospect, Il
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Oct 10, 2022 · Schaumburg, Il
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 10, 2022 · Barrington, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Oct 10, 2022 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJun 28, 2016 to Feb 26, 2018 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 24, 2013 to Jul 28, 2014 · Northbrook, Il
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedDec 6, 2006 to Jun 3, 2013 · Oak Brook, Il
- E•••••• C•••••• M••••••••• L•• formerSep 28, 2006 to Oct 11, 2006 · Jersey City, Nj
- E•••••• C•••••• M••••••••• L•• formerFeb 19, 2003 to Aug 26, 2004 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDSep 12, 2000 to Feb 13, 2003 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 10, 2022, registered Jan 26, 2022 (-257 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 10, 2022, registered Feb 27, 2018 (-1686 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 10, 2022, registered Nov 18, 2022 (39 days) · Affiliated broker-dealer or bank to another
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Jul 28, 2014, registered Jun 28, 2016 (701 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 3, 2013, registered Jun 24, 2013 (21 days) · Other
- E•••••• C•••••• M••••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Oct 11, 2006, registered Dec 6, 2006 (56 days) · Other
- C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••left Feb 13, 2003, registered Feb 19, 2003 (6 days) · Other
Signals
- ••• LockedOct 10, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address