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
S••••• M•••••• K••••
Feed of 09/14/2026
Also filed as S••••• M• K••••••••• K••••
At current firm
5 y
since May 6, 2021
In the industry
33 y
since Oct 2, 1992 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 6, 2021 · Frisco, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jun 6, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 10, 2010 to Jul 13, 2018 · Westlake, Tx
- S•••••••• A••••••• L•• national BDSep 15, 2005 to Oct 28, 2009 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to A••••• A•• P••••••• S•••••••left Jun 6, 2019, registered May 6, 2021 (700 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address