DFX Intelligence
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K•••• A••• J••••••
Certified Financial Planner
As of · the IAPD feed; also filed as K•••• A••• R•••••••
- At current firm
- 3 y
- In the industry
- 17 y
- Prior registered firms
- 2
- Signals
- 1
since Jun 22, 2023
As of · the IAPD feed; also filed as K•••• A••• R•••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 22, 2023 · Hampstead, Nc
- E••••• J•••• national BDMar 16, 2018 to Jun 23, 2023 · Wilmington, Nc
- E••••• J•••• national BDJan 13, 2009 to Jul 7, 2009 · Wilmington, Nc
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C••••••••• F•••••••• N••••••left Jun 23, 2023, registered Jun 22, 2023 (-1 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJun 23, 2023 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address