DFX Intelligence
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N•• K•••••••
As of · the IAPD feed
- At current firm
- 14 y
- In the industry
- 21 y
- Prior registered firms
- 2
- Signals
- 0
since Jun 7, 2012
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jun 7, 2012 · Fresno, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 21, 2012 · Fresno, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 18, 2007 to Oct 23, 2009 · Fresno, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left May 21, 2012, registered Jun 7, 2012 (17 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address