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
K•••• P•••••• S•••••••••
Feed of 09/14/2026
Also filed as K•••• S••••••••• P• S••••••••• S••••••• P•••••• S••••••••• S••••••• P•••••• S•••••••••
At current firm
0 y
since Feb 13, 2026
In the industry
17 y
since Nov 10, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · St Louis, Mo
- U••• B•••••• I••••••••• I••• formerAug 15, 2019 to Feb 13, 2026 · Clayton, Mo
- E••••• J•••• national BDJun 8, 2015 to Jul 11, 2019 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseApr 9, 2012 to Jun 8, 2015 · St. Louis, Mo
- M•• F•••••••• S•••••••• I••• formerNov 2, 2011 to Apr 4, 2012 · Kennett, Mo
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Jul 11, 2019, registered Aug 15, 2019 (35 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to E••••• J••••left Jun 8, 2015, registered Jun 8, 2015 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Apr 4, 2012, registered Apr 9, 2012 (5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address