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Registered advisor
C•••• R• K•••
Feed of 09/15/2026
Also filed as C•••• R K•••
At current firm
1 y
since Mar 31, 2025
In the industry
33 y
since Jan 27, 1993 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 17, 2022 to Mar 31, 2025 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 6, 2020 to Jan 11, 2022 · Salt Lake City, Ut
- U••• B•••••• I••••••••• I••• formerMay 15, 2017 to Apr 22, 2020 · Salt Lake City, Ut
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedOct 3, 2014 to Dec 31, 2016 · North Salt Lake, Ut
- S•••••••• A••••••• L•• national BDFeb 15, 2008 to Sep 26, 2014 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 11, 2022, registered Feb 17, 2022 (37 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 22, 2020, registered May 6, 2020 (14 days) · Affiliated broker-dealer or bank to wirehouse
- T••••••••• R••••••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Dec 31, 2016, registered May 15, 2017 (135 days) · Other
- S•••••••• A••••••• L•• to T••••••••• R••••••••• A•••••••• L••left Sep 26, 2014, registered Oct 3, 2014 (7 days) · Other
Signals
- C•••• R• K••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-02-17)Jan 11, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address