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B•••• R••••• K••••••
As of · the IAPD feed; also filed as B•••• R••••• K••••••
- At current firm
- 3 y
- In the industry
- 19 y
- Prior registered firms
- 2
- Signals
- 0
since Jun 28, 2023
As of · the IAPD feed; also filed as B•••• R••••• K••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 28, 2023 · Westbrook, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to May 7, 2013 · Morristown, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 19, 2007 to Jun 1, 2009 · New Brunswick, Nj
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••••••• F•••••••• N••••••left May 7, 2013, registered Jun 28, 2023 (3704 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address