DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••• E• K•••••••••
Feed of 09/14/2026
Also filed as S•••• E• K•••••••••
At current firm
2 y
since Mar 7, 2024
In the industry
28 y
since Dec 22, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Mar 7, 2024 · New York, Ny
- W•••• F•••• A••••••• wirehouseApr 15, 2021 to Jan 26, 2023 · Virginia Beach, Va
- J••• M••••• S••••••••• L•• wirehouseFeb 19, 2020 to Mar 23, 2021 · Richmond, Va
- W•••• F•••• A••••••• wirehouseApr 24, 2019 to Dec 17, 2019 · Glen Allen, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 16, 2013 to Feb 28, 2019 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Jan 26, 2023, registered Mar 7, 2024 (406 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 23, 2021, registered Apr 15, 2021 (23 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Dec 17, 2019, registered Feb 19, 2020 (64 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Feb 28, 2019, registered Apr 24, 2019 (55 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- S•••• E• K••••••••• left W•••• F•••• A••••••• for C•••••••• G••••• M•••••• I••• (registered 2024-03-07)Jan 26, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address