DFX Intelligence
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Registered advisor
M••• S•••••• K•••••••
Feed of 09/15/2026
At current firm
9 y
since Feb 1, 2017
In the industry
27 y
since Dec 16, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 1, 2017 · Bloomfield Hills, Mi
- U•• F•••••••• S••••••• I••• wirehouseOct 22, 2012 to Feb 13, 2017 · Troy, Mi
- R•••••• J•••• • A••••••••• I••• national BDFeb 14, 2003 to Nov 1, 2012 · Auburn Hills, Mi
- U•• F•••••••• S••••••• I••• wirehouseOct 21, 2002 to Jan 30, 2003 · Rochester, Mi
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 13, 2017, registered Feb 1, 2017 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Nov 1, 2012, registered Oct 22, 2012 (-10 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 30, 2003, registered Feb 14, 2003 (15 days) · Wirehouse to affiliated broker-dealer or bank
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