DFX Intelligence
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K•••• F•••••• D••••••••
As of · the IAPD feed; also filed as K•••• F• D••••••••
- At current firm
- 5 y
- In the industry
- 30 y
- Prior registered firms
- 1
- Signals
- 0
since Jun 29, 2021
As of · the IAPD feed; also filed as K•••• F• D••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 29, 2021 · Pleasantville, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDJan 15, 2008 to Dec 31, 2011 · Valhalla, Ny
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Dec 31, 2011, registered Jun 29, 2021 (3468 days) · Affiliated broker-dealer or bank to another
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address