DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A•• J••• L••
Feed of 09/14/2026
Also filed as A•• J••• K••••
At current firm
12 y
since Dec 11, 2013
In the industry
18 y
since Feb 28, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- W•••• F•••• A••••••• wirehouse currentsince Dec 11, 2013 · Cedar Rapids, Ia
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 21, 2011 to Oct 22, 2013 · Cedar Rapids, Ia
- W•••• F•••• A••••••• wirehouseMar 7, 2008 to Sep 7, 2011 · Cedar Rapids, Ia
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••left Oct 22, 2013, registered Dec 11, 2013 (50 days) · Other
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 7, 2011, registered Sep 21, 2011 (14 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address