DFX Intelligence
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Registered advisor
N••••• L•••• K•••••
Feed of 09/14/2026
At current firm
21 y
since Sep 19, 2005
In the industry
44 y
since Oct 16, 1981 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
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
- Sr. VP/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 19, 2005 · Crown Point, In
- M••••• S•••••• D• I••• unclassifiedDec 16, 1998 to Sep 20, 2005 · Schereville, In
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 20, 2005, registered Sep 19, 2005 (-1 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address