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Registered advisor
T••••• E••• D•••
Chartered Financial Consultant
Feed of 09/14/2026
At current firm
5 y
since Jun 16, 2021
In the industry
43 y
since Jul 13, 1983 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 16, 2021 · Katonah, Ny
- 1••• C•••••• M••••••••• C•••••• unclassifiedMar 9, 2000 to Aug 30, 2007 · Tarrytown, Ny
Moves
a registration end followed by a registration begin elsewhere
- 1••• C•••••• M••••••••• C•••••• to K••••• A••••••• S•••••••• L••left Aug 30, 2007, registered Jun 16, 2021 (5039 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address