DFX Intelligence
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Registered advisor
S•••••• K•• T•••
Feed of 09/14/2026
At current firm
4 y
since Oct 4, 2021
In the industry
22 y
since Jun 15, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Oct 4, 2021 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 15, 2011 to Sep 19, 2014 · Fort Worth, Tx
- T• A••••••••• I••• formerNov 15, 2011 to Oct 20, 2021 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 20, 2021, registered Oct 4, 2021 (-16 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 19, 2014, registered Nov 15, 2011 (-1039 days) · channel change inside one enterprise, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address