DFX Intelligence
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Registered advisor
J•••• R••••• K••••
Feed of 09/14/2026
At current firm
10 y
since May 12, 2016
In the industry
29 y
since Dec 5, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince May 12, 2016 · Dakota Dunes, Sd
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 16, 2009 to May 23, 2016 · Dakota Dunes, Sd
- R•• C•••••• M••••••• L•• national BDAug 24, 2007 to Sep 17, 2007 · Sioux City, Ia
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Oct 16, 2009 · Weehawken, Nj
- P•••• S•••••• • C•• institutionalMar 14, 2000 to Aug 12, 2006 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to R•• C•••••• M••••••• L••left May 23, 2016, registered May 12, 2016 (-11 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 16, 2009, registered Oct 16, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- R•• C•••••• M••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Sep 17, 2007, registered Oct 16, 2009 (760 days) · Affiliated broker-dealer or bank to another
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address