DFX Intelligence
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Registered advisor
K••••••• S•• M•••••••
Feed of 09/14/2026
Also filed as K••••••• P•••• R••••••••• P• M•••••••
At current firm
10 y
since May 18, 2016
In the industry
19 y
since Nov 27, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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 May 18, 2016 · Charleston, Sc
- R•••••• J•••• • A••••••••• I••• national BDSep 3, 2008 to May 5, 2016 · Mt. Pleasant, Sc
- U•• F•••••••• S••••••• I••• wirehouseApr 9, 2007 to Sep 16, 2008 · Charleston, Sc
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left May 5, 2016, registered May 18, 2016 (13 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 16, 2008, registered Sep 3, 2008 (-13 days) · Wirehouse to affiliated broker-dealer or bank
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address