DFX Intelligence
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Registered advisor
B•••• D• K•••••••••
Feed of 09/14/2026
Also filed as B•••• D•••• K•••••••••
At current firm
17 y
since Sep 1, 2009
In the industry
26 y
since Jan 11, 2000 (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
S66
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 Sep 1, 2009 · Orange Village, Oh
- U•• F•••••••• S••••••• I••• wirehouseJan 23, 2009 to Aug 18, 2009 · Beachwood, Oh
- R•••••• J•••• • A••••••••• I••• national BDMar 16, 2004 to Jan 28, 2009 · Beachwood, Oh
- A•••••• I••• unclassifiedApr 2, 2001 to Jan 29, 2004 · Beachwood, Oh
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left Aug 18, 2009, registered Sep 1, 2009 (14 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 28, 2009, registered Jan 23, 2009 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 29, 2004, registered Mar 16, 2004 (47 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address