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Registered advisor
D•••••• K••• S•••••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
5 y
since Mar 5, 2021
In the industry
43 y
since Dec 10, 1982 (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
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 5, 2021 · Oklahoma City, Ok
- W•••• F•••• A••••••• wirehouseApr 24, 2009 to Mar 15, 2021 · Edmond, Ok
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 24, 1995 to May 14, 2009 · Oklahoma City, Ok
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Mar 15, 2021, registered Mar 5, 2021 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 14, 2009, registered Apr 24, 2009 (-20 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
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address