DFX Intelligence
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W•••••• K•••••• G•••••
As of · the IAPD feed; also filed as W•••••• G••••••••• G•••••
- At current firm
- 1 y
- In the industry
- 14 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 14, 2024
As of · the IAPD feed; also filed as W•••••• G••••••••• G•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Sioux City, Ia
- P•••• S••••••••• L•• no RAUMOct 20, 2021 to Nov 14, 2024 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address