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Registered advisor

N••••••• K••••••

L•• F•••••••• L••BD affiliatedSmithtown, Nydual registrantIAPD 1405328

Feed of 09/14/2026

At current firm

1 y

since Mar 26, 2025

In the industry

33 y

since Jun 28, 1993 (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

L•• F•••••••• L•• BD affiliated current
since Mar 26, 2025 · S••••Town, Ny
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to Mar 28, 2025 · Scottsdale, Az
A••••••• P••••••••• A•••••••• I•• former
Oct 2, 2013 to Oct 11, 2024 · Holbrook, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 7, 2011 to Oct 10, 2012 · S••••Town, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Mar 28, 2025, registered Mar 26, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• P••••••••• A•••••••• I••
left Oct 10, 2012, registered Oct 2, 2013 (357 days) · Other

Signals

N••••••• K•••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-03-26)
Mar 28, 2025 · Advisor changed firm · fact

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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address