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
A••••• K••• S••••
Feed of 09/14/2026
Also filed as A••••• S••••••••• S••••
At current firm
5 y
since Sep 8, 2021
In the industry
15 y
since May 1, 2011 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 8, 2021 · Chattanooga, Tn
- R•••••• J•••• • A••••••••• I••• national BDJul 29, 2020 to Sep 2, 2021 · Chattanooga, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 10, 2017 to Jul 20, 2020 · Tacoma, Wa
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 2, 2021, registered Sep 8, 2021 (6 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Jul 20, 2020, registered Jul 29, 2020 (9 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address