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
N••••••• A•••• K••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as N••• K••••••••• A•••• K••••••••• A• K••••••••
At current firm
13 y
since Mar 7, 2013
In the industry
15 y
since Sep 7, 2011 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Mar 7, 2013 · Southport, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2011 to Sep 4, 2012 · Greenville, Sc
- W•••••• • R••• formerSep 8, 2011 to Oct 21, 2011 · Columbia, Sc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Sep 4, 2012, registered Mar 7, 2013 (184 days) · Wirehouse to affiliated broker-dealer or bank
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 21, 2011, registered Nov 4, 2011 (14 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address