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Registered advisor
K•••• P••• J••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as K•••• J••••
At current firm
7 y
since Dec 19, 2018
In the industry
25 y
since Jun 7, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 19, 2018 · Stamford, Ct
- O•••• I••••••••• I••• BD affiliatedMar 13, 2013 to Dec 6, 2018 · Norwalk, Ct
- L•• F•••••••• L•• BD affiliatedOct 19, 2011 to Mar 6, 2013 · Stamford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 16, 2010 to Oct 13, 2011 · Ridgefield, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Mar 29, 2010 · Bedford Village, Ny
- C••••••• I••••••••• S••••••• unclassifiedOct 18, 2005 to May 29, 2007 · Larchmont, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• I••••••••• I••• to C•••••• S••••• • C••• I•••left Dec 6, 2018, registered Dec 19, 2018 (13 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Mar 6, 2013, registered Mar 13, 2013 (7 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Oct 13, 2011, registered Oct 19, 2011 (6 days) · Other
- C•••••••• G••••• M•••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 29, 2010, registered Mar 16, 2010 (-13 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address