DFX Intelligence
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J•••• M•••••• K••••••
As of · the IAPD feed; also filed as J•••• M•••••• K••••••
- At current firm
- 13 y
- In the industry
- 20 y
- Prior registered firms
- 3
- Signals
- 0
since Mar 6, 2013
As of · the IAPD feed; also filed as J•••• M•••••• K••••••
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•••••• S••••• • C••• I••• national BD currentsince Mar 6, 2013 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 15, 2013 · Henderson, Nv
- W•••• F•••• I••••••••• L•• unclassifiedJun 9, 2008 to Jan 3, 2011 · Las Vegas, Nv
- W•••• F•••• I••••••••• L•• unclassifiedMay 12, 2006 to Jan 23, 2008 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Feb 15, 2013, registered Mar 6, 2013 (19 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote