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.
Registered advisor
S•••••• K•••• K•••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as S•••••• K•••• K•••
At current firm
5 y
since Jan 4, 2021
In the industry
32 y
since Feb 22, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 4, 2021 · Bradenton, Fl
- O•••• W•••••• I••• BD affiliatedNov 16, 2011 to Jan 7, 2021 · Scottsdale, Az
- C••••• A••••••• L•• formerMay 13, 2011 to Oct 24, 2011 · Livonia, Mi
- H•••• F•••••••• S•••••••• I••• independent RIAFeb 2, 2011 to Jun 10, 2011 · Clinton Township, Mi
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 7, 2021, registered Jan 4, 2021 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• A••••••• L•• to O•••• W•••••• I•••left Oct 24, 2011, registered Nov 16, 2011 (23 days) · Other
- H•••• F•••••••• S•••••••• I••• to C••••• A••••••• L••left Jun 10, 2011, registered May 13, 2011 (-28 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
- 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