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Registered advisor
K••••••• A•• W•••
Feed of 09/14/2026
Also filed as K•• W•••
At current firm
13 y
since Nov 19, 2012
In the industry
39 y
since May 11, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 19, 2012 · Tucson, Az
- L•• F•••••••• L•• BD affiliatedJan 20, 2011 to Nov 9, 2012 · Tucson, Az
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 18, 2010 to Dec 15, 2010 · Tucson, Az
- R•• C•••••• M••••••• L•• national BDNov 1, 2006 to Feb 18, 2010 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 9, 2012, registered Nov 19, 2012 (10 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left Dec 15, 2010, registered Jan 20, 2011 (36 days) · Other
- R•• C•••••• M••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Feb 18, 2010, registered Feb 18, 2010 (0 days) · Affiliated broker-dealer or bank to another
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address