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K•••••• R••• S••••
As of · the IAPD feed; also filed as K•••• S•••••••• S••••
- At current firm
- 10 y
- In the industry
- 32 y
- Prior registered firms
- 4
- Signals
- 0
since Sep 9, 2016
As of · the IAPD feed; also filed as K•••• S•••••••• S••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 9, 2016 · Tampa, Fl
- B••• S••••••••• L•• formerDec 10, 2019 to Feb 17, 2021 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseJul 21, 2006 to Oct 19, 2010 · Port Richey, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 2, 2003 to Jun 27, 2006 · Clearwater, Fl
- M••••• S•••••• D• I••• unclassifiedMar 7, 2001 to Nov 24, 2003 · Matteson, Il
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to no registered destinationleft Feb 17, 2021 · Departure, no registered destination
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Oct 19, 2010, registered Sep 9, 2016 (2152 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 27, 2006, registered Jul 21, 2006 (24 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 24, 2003, registered Dec 2, 2003 (8 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address