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Registered advisor

K•••• L••••

H••• S••••••••• •••• I•••BD affiliatedNew York, Nydual registrantIAPD 1747786

Feed of 09/14/2026

Also filed as K•••• L••••

At current firm

1 y

since Jul 11, 2025

In the industry

37 y

since May 19, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••• S••••••••• •••• I••• BD affiliated current
since Jul 11, 2025 · New York, Ny
C•••••• S••••• • C••• I••• national BD
Jan 25, 2022 to Jan 10, 2024 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 4, 2021 to Sep 7, 2023 · Garden City, Ny
T• A••••••••• I••• former
Apr 4, 2021 to Oct 14, 2022 · Garden City, Ny
C••••• I••••••••• A••••••• L•• BD affiliated
Oct 28, 2020 to Feb 11, 2021 · Westbury, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 13, 2016 to Nov 6, 2018 · Forest Hills, Ny
T• A••••••••• I••• former
Apr 13, 2016 to Nov 6, 2018 · Forest Hills, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to H••• S••••••••• •••• I•••
left Jan 10, 2024, registered Jul 11, 2025 (548 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 25, 2022 (-590 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Apr 4, 2021 (-558 days) · corporate re-registration, not a move
C••••• I••••••••• A••••••• L•• to T• A••••••••• I•••
left Feb 11, 2021, registered Apr 4, 2021 (52 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••
left Nov 6, 2018, registered Oct 28, 2020 (722 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 6, 2018, registered Apr 13, 2016 (-937 days) · channel change inside one enterprise, not a move

Signals

K•••• L•••• left C•••••• S••••• • C••• I••• for H••• S••••••••• •••• I••• (registered 2025-07-11)
Jan 10, 2024 · 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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address