S•••••• M•••••• K••••••

U•• F•••••••• S••••••• I•••wirehouseNew York, Nydual registrantIAPD 1334425

Feed of 09/14/2026

Also filed as S•••••• M•••••• K••••••••• K••••••

At current firm

5 y

since Jul 23, 2021

In the industry

41 y

since Mar 22, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since Jul 23, 2021 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 27, 2012 to Jul 26, 2021 · New York, Ny
B••••••• C•••••• I••• former
Feb 4, 2009 to Jan 27, 2012 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Jul 26, 2021, registered Jul 23, 2021 (-3 days) · Wirehouse to wirehouse · moved with a team
B••••••• C•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 27, 2012, registered Jan 27, 2012 (0 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: Wirehousederived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address