DFX Intelligence
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Registered advisor
L•••• K•••••• O••••
Feed of 09/15/2026
Also filed as L•••• K• O••••
At current firm
9 y
since Jan 5, 2017
In the industry
15 y
since Feb 4, 2011 (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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jan 5, 2017 · Fargo, Nd
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2014 to Nov 25, 2016 · Chandler, Az
- E••••• J•••• national BDFeb 18, 2011 to Aug 20, 2014 · Tempe, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Nov 25, 2016, registered Jan 5, 2017 (41 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 20, 2014, registered Sep 24, 2014 (35 days) · Affiliated broker-dealer or bank to wirehouse
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address