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Registered advisor
K•••••• S•••• S•••••••
Feed of 09/14/2026
Also filed as K•• S•••••••
At current firm
10 y
since Mar 25, 2016
In the industry
32 y
since Aug 1, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Mar 25, 2016 · San Jose, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 4, 2009 to Apr 7, 2016 · San Jose, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 24, 2003 to Mar 26, 2009 · Reno, Nv
- C•••••• L•• independent RIAMar 10, 2003 to Jun 25, 2003 · Cupertino, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Apr 7, 2016, registered Mar 25, 2016 (-13 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• A•••••• S•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 26, 2009, registered Jun 4, 2009 (70 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jun 25, 2003, registered Jun 24, 2003 (-1 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address