DFX Intelligence
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Registered advisor
K•••• M•••••• C••••••
Feed of 09/15/2026
At current firm
12 y
since Aug 4, 2014
In the industry
22 y
since Sep 23, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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••••••••• F•••••••• N•••••• national BD currentsince Aug 4, 2014 · Glen Carbon, Il
- W•••• F•••• A••••••• wirehouseSep 24, 2007 to Aug 5, 2014 · Glen Carbon, Il
- E••••• J•••• national BDJun 6, 2007 to Sep 26, 2007 · Collinsville, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Aug 5, 2014, registered Aug 4, 2014 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left Sep 26, 2007, registered Sep 24, 2007 (-2 days) · Affiliated broker-dealer or bank to wirehouse
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