DFX Intelligence
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Feed of 09/14/2026
Also filed as S••••• K••••••••• L•••• K•••••••••
At current firm
10 y
since Sep 9, 2016
In the industry
13 y
since Oct 12, 2012 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince Sep 9, 2016 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseMay 27, 2014 to Sep 20, 2016 · New York, Ny
- W•••• F•••• A••••••• wirehouseOct 15, 2012 to Mar 4, 2014 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 20, 2016, registered Sep 9, 2016 (-11 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Mar 4, 2014, registered May 27, 2014 (84 days) · Wirehouse 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address