M••••••• E••• G••••••••

K••••• A••••••• S•••••••• L••BD affiliatedWesterly, Ri dual registrantIAPD 2580633

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Sep 5, 2025

In the industry

28 y

since Jan 23, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Sep 5, 2025 · Austin, Tx
C••••••••• F•••••••• N•••••• national BD
Oct 27, 2004 to Sep 5, 2025 · Ramsey, Nj
O•••• F•• I••• former
Apr 23, 2003 to Nov 4, 2004 · Rochelle Park, Nj

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to K••••• A••••••• S•••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to C••••••••• F•••••••• N••••••
left Nov 4, 2004, registered Oct 27, 2004 (-8 days) · Other

Signals

••• Locked
Sep 5, 2025 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address