DFX Intelligence
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Registered advisor
T••••• J••• K••••••
Feed of 09/14/2026
At current firm
2 y
since Sep 10, 2024
In the industry
11 y
since Aug 1, 2015 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 10, 2024 · New York, Ny
- M••••• S•••••• wirehouseJan 23, 2023 to Apr 10, 2024 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseOct 7, 2021 to Jan 5, 2023 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 10, 2024, registered Sep 10, 2024 (153 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jan 5, 2023, registered Jan 23, 2023 (18 days) · Wirehouse to wirehouse
Signals
- ••• LockedApr 10, 2024 · Advisor changed firm · fact
- ••• LockedJan 5, 2023 · Advisor changed firm · fact
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