DFX Intelligence

RIA 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.

G•••••• J• K•••••

Registered advisorat C•••••• S••••• • C••• I•••Dual registrant· Cincinnati, OhIAPD 2420736
At current firm
20 y
since Aug 15, 2006
In the industry
32 y
Prior registered firms
2
Signals
0
As of · the IAPD feed; also filed as G•••••• J••••• K•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
  • N•••••• I••••••••• I••• unclassified
    Jan 25, 2005 to Jul 24, 2006 · Cleveland, Oh
  • Q•••• • R•••••• I••• unclassified
    Dec 13, 2002 to May 29, 2003 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
  • N•••••• I••••••••• I••• to C•••••• S••••• • C••• I•••
    left Jul 24, 2006, registered Aug 15, 2006 (22 days) · Other
  • Q•••• • R•••••• I••• to N•••••• I••••••••• I•••
    left May 29, 2003, registered Jan 25, 2005 (607 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
32derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address