DFX Intelligence
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K••••••• M•••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Tempe, Az IAPD 6326546
As of · the IAPD feed; also filed as K••••••• C••••••••• S•••••
- At current firm
- 5 y
- In the industry
- 12 y
- Prior registered firms
- 1
- Signals
- 0
since Mar 22, 2021
As of · the IAPD feed; also filed as K••••••• C••••••••• S•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 22, 2021 · Tempe, Az
- E••••• J•••• national BDOct 7, 2014 to Mar 23, 2021 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 23, 2021, registered Mar 22, 2021 (-1 days) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote