DFX Intelligence
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S••••• D••••••• K•••
As of · the IAPD feed; also filed as S••••• K•••
- At current firm
- 7 y
- In the industry
- 20 y
- Prior registered firms
- 1
- Signals
- 0
since Jun 21, 2019
As of · the IAPD feed; also filed as S••••• 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 Jun 21, 2019 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDAug 28, 2006 to Sep 13, 2007 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Sep 13, 2007, registered Jun 21, 2019 (4299 days) · Affiliated broker-dealer or bank to another
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