DFX Intelligence
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Registered advisor
K•••••• C•••••• N••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
3 y
since Jul 10, 2023
In the industry
26 y
since Nov 13, 1999 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 10, 2023 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDNov 3, 2000 to Jul 10, 2023 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 10, 2023, registered Jul 10, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJul 10, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address