DFX Intelligence
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C•••••• E••••• K•••••••
As of · the IAPD feed; also filed as C•••• K•••••••
- At current firm
- 19 y
- In the industry
- 27 y
- Prior registered firms
- 1
- Signals
- 0
since Dec 20, 2006
As of · the IAPD feed; also filed as C•••• K•••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Dec 20, 2006 · Walnut Creek, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 1, 2000 to Dec 8, 2006 · Berkeley, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to C•••••• S••••• • C••• I•••left Dec 8, 2006, registered Dec 20, 2006 (12 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address