DFX Intelligence
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Registered advisor
S•••• D• K•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as S•••• D•••• K•••••
At current firm
2 y
since Feb 13, 2024
In the industry
25 y
since Apr 17, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 13, 2024 · Fort Myers, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDNov 3, 2023 to Feb 22, 2024 · Fort Myers, Fl
- E••••• J•••• national BDMay 30, 2018 to Nov 8, 2023 · St James City, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 7, 2013 to May 31, 2018 · St. Joseph, Mi
- W•••• F•••• A••••••• wirehouseAug 4, 2006 to Jun 17, 2013 · St. Joseph, Mi
- A• G• E•••••• • S•••• I••• unclassifiedJul 27, 2006 to Aug 21, 2006 · St. Joseph, Mi
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Feb 22, 2024, registered Feb 13, 2024 (-9 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Nov 8, 2023, registered Nov 3, 2023 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to E••••• J••••left May 31, 2018, registered May 30, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 17, 2013, registered Jun 7, 2013 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Aug 21, 2006, registered Aug 4, 2006 (-17 days) · Other
Signals
- ••• LockedFeb 22, 2024 · Advisor changed firm · fact
- ••• LockedNov 8, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address