DFX Intelligence
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Feed of 09/14/2026
Also filed as K•••••• N••••• L••••••••• N••••• P••••••••• P••••
At current firm
2 y
since May 10, 2024
In the industry
11 y
since Jan 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince May 10, 2024 · Omaha, Ne
- C•••••• S••••• • C••• I••• national BDMay 26, 2021 to Apr 25, 2024 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 17, 2019 to May 20, 2021 · Omaha, Ne
- T• A••••••••• I••• formerSep 17, 2019 to May 20, 2021 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to E••••• J••••left Apr 25, 2024, registered May 10, 2024 (15 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left May 20, 2021, registered May 26, 2021 (6 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 20, 2021, registered Sep 17, 2019 (-611 days) · channel change inside one enterprise, not a move
Signals
- ••• LockedApr 25, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address