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Registered advisor
T••••••• K••••• L••••
Feed of 09/15/2026
Also filed as T•••• L••••••••• K• L••••
At current firm
13 y
since May 7, 2013
In the industry
24 y
since Apr 15, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 7, 2013 · Bishop, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 28, 2011 to Mar 4, 2013 · Reno, Nv
- W•••• F•••• A••••••• wirehouseMar 30, 2010 to Nov 2, 2011 · Minden, Nv
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 4, 2013, registered May 7, 2013 (64 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 2, 2011, registered Oct 28, 2011 (-5 days) · Wirehouse to affiliated broker-dealer or bank
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address