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.
M•••••• S• K••••
As of · the IAPD feed; also filed as M•••••• K••••••••• S•••• K••••
- At current firm
- 4 y
- In the industry
- 12 y
- Prior registered firms
- 3
- Signals
- 0
since Nov 15, 2021
As of · the IAPD feed; also filed as M•••••• K••••••••• S•••• K••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Nov 15, 2021 · Omaha, Ne
- T• A••••••••• I••• formerFeb 27, 2018 to Mar 7, 2022 · West Des Moines, Ia
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Oct 19, 2021 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJun 2, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 7, 2022, registered Nov 15, 2021 (-112 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 19, 2021, registered Feb 27, 2018 (-1330 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address