DFX Intelligence
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K•••• B• V•••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Frontenac, MoIAPD 2778073
As of · the IAPD feed; also filed as K•••• B• T••••••••• B•••••• T••••••••• B•••••• T••••••••• B•••••• V•••••
- At current firm
- 17 y
- In the industry
- 28 y
- Prior registered firms
- 2
- Signals
- 0
since Jul 16, 2009
As of · the IAPD feed; also filed as K•••• B• T••••••••• B•••••• T••••••••• B•••••• T••••••••• B•••••• V•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 16, 2009 · Frontenac, Mo
- L••••••••• L•• unclassifiedMar 17, 2009 to Jun 30, 2009 · Clayton, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 30, 2000 to Mar 19, 2007 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- L••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 30, 2009, registered Jul 16, 2009 (16 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••••••••• L••left Mar 19, 2007, registered Mar 17, 2009 (729 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote