DFX Intelligence
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K•••• L• D••••••••
As of · the IAPD feed
- At current firm
- 12 y
- In the industry
- 23 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 1, 2013
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 1, 2013 · Cleveland, Oh
- N••••••••• M••••• I••••••••• S••••••••• no RAUMAug 20, 2007 to Nov 1, 2013 · Cleveland, Oh
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to C••••••••• F•••••••• N••••••left Nov 1, 2013, registered Nov 1, 2013 (0 days) · Other
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address