DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••••• K•••••••
Feed of 09/15/2026
Also filed as M•••••• A•••••••• K•••••••
At current firm
5 y
since Jun 7, 2021
In the industry
16 y
since Jun 25, 2010 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Jun 7, 2021 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseMar 6, 2015 to Jun 14, 2021 · Minneapolis, Mn
- C••••• A•••••• N••••••• L•• formerSep 19, 2014 to Feb 25, 2015 · Minnetonka, Mn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Jun 14, 2021, registered Jun 7, 2021 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• A•••••• N••••••• L•• to W•••• F•••• A•••••••left Feb 25, 2015, registered Mar 6, 2015 (9 days) · Other
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address