DFX Intelligence
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K•••• A•• S•••••
As of · the IAPD feed; also filed as K•••• A•• S•••••
- At current firm
- 16 y
- In the industry
- 24 y
- Prior registered firms
- 2
- Signals
- 0
since Oct 16, 2009
As of · the IAPD feed; also filed as K•••• A•• S•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 16, 2009 · Ames, Ia
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Oct 16, 2009 · West Des Moines, Ia
- P•••• S•••••• • C•• institutionalApr 15, 2002 to Aug 12, 2006 · Ames, Ia
Moves
a registration end followed by a registration begin elsewhere
- 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
- 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address