DFX Intelligence
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L•• F•••••• D••••••
As of · the IAPD feed; also filed as L•• F•••••• D••••••••• F•••••• D••••••••• F•••••• D••••••
- At current firm
- 8 y
- In the industry
- 18 y
- Prior registered firms
- 1
- Signals
- 0
since Jul 6, 2018
As of · the IAPD feed; also filed as L•• F•••••• D••••••••• F•••••• D••••••••• F•••••• D••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 6, 2018 · Waltham, Ma
- K••••• A••••••• S•••••••• L•• BD affiliatedJan 24, 2017 to Jul 23, 2018 · Holliston, Ma
Moves
a registration end followed by a registration begin elsewhere
- K••••• A••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Jul 23, 2018, registered Jul 6, 2018 (-17 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address