K•••••• B•••• S••••••••

C•••••• A•••••••BD affiliatedLexington, Ky dual registrantIAPD 1634008

Feed of 09/15/2026

Also filed as K•• S••••••••

At current firm

9 y

since Jun 12, 2017

In the industry

29 y

since May 23, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• A••••••• BD affiliated current
since Aug 7, 2018 · Lexington, Ky
L•••••• I••••••••• independent RIA current
since Jun 12, 2017 · Crystal Lake, Il
L••••• A•••••••• L•• former
Jan 19, 2011 to Oct 4, 2019 · Lexington, Ky
V•••• F•••••••• A•••••••• I••• BD affiliated
Sep 9, 2003 to Oct 20, 2010 · Brentwood, Tn

Moves

a registration end followed by a registration begin elsewhere

L••••• A•••••••• L•• to L•••••• I•••••••••
left Oct 4, 2019, registered Jun 12, 2017 (-844 days) · corporate re-registration, not a move
V•••• F•••••••• A•••••••• I••• to L••••• A•••••••• L••
left Oct 20, 2010, registered Jan 19, 2011 (91 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address