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Registered advisor
G•••• A•••• K•••
Feed of 09/14/2026
At current firm
3 y
since Sep 1, 2023
In the industry
34 y
since Apr 15, 1992 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · La Mesa, Ca
- S•••••••• F••••••••• I••• formerMar 1, 2010 to Sep 1, 2023 · San Diego, Ca
- W••••••• F•••••••• S•••••••• I••• formerJun 26, 2006 to Feb 25, 2010 · La Mesa, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedOct 21, 2005 to Jun 27, 2006 · La Mesa, Ca
- I••••••••• F•••••••• G••••• L•• unclassifiedJan 3, 2005 to Oct 21, 2005 · La Mesa, Ca
- B••••••••• S••••••••• C••••••••• unclassifiedJun 5, 2000 to Dec 31, 2004 · La Mesa, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to S•••••••• F••••••••• I•••left Feb 25, 2010, registered Mar 1, 2010 (4 days) · Other
- I••••••••• F•••••••• G••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jun 27, 2006, registered Jun 26, 2006 (-1 days) · Other
- I••••••••• F•••••••• G••••• L•• to I••••••••• F•••••••• G••••• L••left Oct 21, 2005, registered Oct 21, 2005 (0 days) · Other
- B••••••••• S••••••••• C••••••••• to I••••••••• F•••••••• G••••• L••left Dec 31, 2004, registered Jan 3, 2005 (3 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address