DFX Intelligence
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K•••• L• R••
As of · the IAPD feed; also filed as K•••• L••• L••••••••• L••• M••••••••• L••• B••••••••• L••• S••••••
- At current firm
- 18 y
- In the industry
- 20 y
- Prior registered firms
- 2
- Signals
- 0
since Jun 5, 2008
As of · the IAPD feed; also filed as K•••• L••• L••••••••• L••• M••••••••• L••• B••••••••• L••• S••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 5, 2008 · Auburn, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jun 4, 2008 · Auburn, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMay 9, 2006 to Jan 1, 2008 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 4, 2008, registered Jun 5, 2008 (1 day) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address