DFX Intelligence
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F••••• A• K•••
As of · the IAPD feed; also filed as F••••• K••••••••• K••••••••• A••••••••• A•• K••••••••• A•• K••••••••• A•• K•••
- At current firm
- 6 y
- In the industry
- 20 y
- Prior registered firms
- 3
- Signals
- 0
since Jan 6, 2020
As of · the IAPD feed; also filed as F••••• K••••••••• K••••••••• A••••••••• A•• K••••••••• A•• K••••••••• A•• K•••
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 Jan 6, 2020 · Newport Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 13, 2009 to Mar 9, 2011 · Paramus, Nj
- T• A••••••••• I••• formerAug 13, 2009 to Mar 9, 2011 · Paramus, Nj
- S•••••••• A••••••• L•• national BDApr 1, 2008 to Aug 5, 2009 · Paramus, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 9, 2011, registered Jan 6, 2020 (3225 days) · Other
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 9, 2011, registered Jan 6, 2020 (3225 days) · Other
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Aug 5, 2009, registered Aug 13, 2009 (8 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address