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K•••• N••••••• K•••••••
As of · the IAPD feed
- At current firm
- 5 y
- In the industry
- 30 y
- Prior registered firms
- 4
- Signals
- 0
since Apr 1, 2021
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 1, 2021 · Laguna Niguel, Ca
- W•••• F•••• A••••••• wirehouseSep 20, 2013 to Apr 6, 2021 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Sep 20, 2013 · Laguna Beach, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMay 20, 2005 to Jan 1, 2008 · Laguna Beach, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJun 19, 2001 to Apr 7, 2005 · San Juan Capistrano, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Apr 6, 2021, registered Apr 1, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Sep 20, 2013, registered Sep 20, 2013 (0 days) · channel change inside one enterprise, not a move
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address