DFX Intelligence
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Registered advisor
K••• K• K••••••
Feed of 09/14/2026
Also filed as K••• K• F••••••••• K••••••• F••••••••• K••••••• K••••••••• K• F••••••
At current firm
3 y
since Mar 6, 2023
In the industry
27 y
since Feb 15, 1999 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Branch Managerreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 6, 2023 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 22, 2014 to May 13, 2022 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 5, 2014 · Philadelphia, Pa
- M••••• S•••••• • C•• L•• unclassifiedFeb 13, 2008 to Jun 1, 2009 · Purchase, Ny
- W•••• F•••• A••••••• wirehouseApr 24, 2007 to Jan 10, 2008 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2006 to Feb 5, 2007 · Wilmington, De
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left May 13, 2022, registered Mar 6, 2023 (297 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 5, 2014, registered Apr 22, 2014 (48 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Jan 10, 2008, registered Feb 13, 2008 (34 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 5, 2007, registered Apr 24, 2007 (78 days) · Wirehouse to wirehouse
Signals
- ••• LockedMay 13, 2022 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address