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Registered advisor
L•••• S•• K•••• N•••
Feed of 09/15/2026
Also filed as L•••• N•••
At current firm
2 y
since Aug 9, 2024
In the industry
33 y
since Jul 23, 1993 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 9, 2024 · Redwood City, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 20, 2013 to Aug 22, 2024 · Millbrae, Ca
- H••• S••••••••• •••• I••• BD affiliatedJan 21, 2010 to Aug 28, 2013 · Mountain View, Ca
- L•• F•••••••• L•• BD affiliatedJun 17, 2009 to Jan 5, 2010 · Oakland, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedAug 18, 2006 to Jul 30, 2007 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDSep 23, 1999 to Nov 29, 2004 · Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Aug 22, 2024, registered Aug 9, 2024 (-13 days) · Affiliated broker-dealer or bank to wirehouse
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Aug 28, 2013, registered Aug 20, 2013 (-8 days) · Other
- L•• F•••••••• L•• to H••• S••••••••• •••• I•••left Jan 5, 2010, registered Jan 21, 2010 (16 days) · Other
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Jul 30, 2007, registered Jun 17, 2009 (688 days) · Other
- C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••left Nov 29, 2004, registered Aug 18, 2006 (627 days) · Other
Signals
- L•••• S•• K•••• N••• left C•••••••• G••••• M•••••• I••• for W•••• F•••• A••••••• (registered 2024-08-09)Aug 22, 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address