DFX Intelligence
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Registered advisor
E••••• J• K••••••
Feed of 09/15/2026
Also filed as E••••• J• E••••••••• J• K••••••••• J• K••••••
At current firm
3 y
since Oct 6, 2022
In the industry
11 y
since Jul 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Oct 6, 2022 · Westlake, Tx
- T• A••••••••• I••• formerJul 2, 2021 to Oct 14, 2022 · San Diego, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 4, 2019 to Oct 7, 2020 · Kailua, Hi
- E••••• J•••• national BDMay 21, 2019 to Nov 15, 2019 · Kailua, Hi
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Oct 6, 2022 (-8 days) · channel change inside one enterprise, not a move · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T• A••••••••• I•••left Oct 7, 2020, registered Jul 2, 2021 (268 days) · Other
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 15, 2019, registered Dec 4, 2019 (19 days) · Affiliated broker-dealer or bank to another
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address