DFX Intelligence
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Feed of 09/14/2026
At current firm
13 y
since May 31, 2013
In the industry
22 y
since Sep 21, 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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince May 31, 2013 · Raleigh, Nc
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Jun 12, 2013 · Raleigh, Nc
- M••••• K••••• • C••••••• L•• formerApr 26, 2005 to Feb 13, 2013 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Jun 12, 2013, registered May 31, 2013 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address