K••••• B••• T•••••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedMobile, Al dual registrantIAPD 1671495

Feed of 09/15/2026

Also filed as K••••• R••• T•••••••

At current firm

3 y

since Feb 2, 2023

In the industry

24 y

since May 16, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Feb 2, 2023 · Stamford, Ct
W•••• F•••• A••••••• wirehouse
Dec 9, 2005 to Feb 9, 2023 · Mobile, Al
L••• M•••• W••• W•••••• I••••••••• unclassified
May 21, 2002 to Jan 5, 2006 · Mobile, Al

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Feb 9, 2023, registered Feb 2, 2023 (-7 days) · Wirehouse to affiliated broker-dealer or bank
L••• M•••• W••• W•••••• I••••••••• to W•••• F•••• A•••••••
left Jan 5, 2006, registered Dec 9, 2005 (-27 days) · Other

Signals

••• Locked
Feb 9, 2023 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address