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.
Registered advisor
M•••••• K•••••
Feed of 09/14/2026
At current firm
2 y
since Oct 11, 2023
In the industry
10 y
since Jan 1, 2016 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 11, 2023 · Woodridge, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 19, 2019 to Sep 30, 2022 · Lombard, Il
- F•••••••• A••••••• S•••••••• L•• formerFeb 9, 2018 to Jun 24, 2019 · Lombard, Il
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Sep 30, 2022, registered Oct 11, 2023 (376 days) · Affiliated broker-dealer or bank to wirehouse
- F•••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 24, 2019, registered Jun 19, 2019 (-5 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 30, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address