DFX Intelligence
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K•••• F•••••
As of · the IAPD feed; also filed as K•••• L• F•••••
- At current firm
- 5 y
- In the industry
- 20 y
- Prior registered firms
- 2
- Signals
- 0
since Apr 30, 2021
As of · the IAPD feed; also filed as K•••• L• F•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 30, 2021 · Friendswood, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 13, 2009 to May 3, 2021 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 12, 2006 to Mar 4, 2009 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left May 3, 2021, registered Apr 30, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 4, 2009, registered Feb 13, 2009 (-19 days) · Wirehouse to wirehouse
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