DFX Intelligence
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Registered advisor
K••••••• S•• T•••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as K••••••• S•• I••••
At current firm
1 y
since Nov 14, 2024
In the industry
23 y
since Jan 17, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Charlotte, Nc
- P•••• S••••••••• L•• no RAUMJul 6, 2009 to Nov 14, 2024 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseMay 15, 2009 to Jul 2, 2009 · Weehawken, Nj
- P•••• S••••••••• L•• no RAUMFeb 27, 2004 to Jan 18, 2008 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to P•••• S••••••••• L••left Jul 2, 2009, registered Jul 6, 2009 (4 days) · Other
- P•••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Jan 18, 2008, registered May 15, 2009 (483 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address