DFX Intelligence
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K•••• R••••• J•••••
As of · the IAPD feed; also filed as J••• J••••••••• J•••••
- At current firm
- 17 y
- In the industry
- 30 y
- Prior registered firms
- 1
- Signals
- 0
since Sep 1, 2009
As of · the IAPD feed; also filed as J••• J••••••••• J•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Sep 1, 2009 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDJul 28, 2006 to Aug 3, 2009 · Henderson, Nv
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Aug 3, 2009, registered Sep 1, 2009 (29 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