DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
K••••• L•• P•••••••
Feed of 09/14/2026
Also filed as K••••• L••••••••• P••••••••• S•••••• L••••••••• S•••••• P•••••••
At current firm
13 y
since Feb 13, 2013
In the industry
29 y
since Jan 10, 1997 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Chattanooga, Tn
- M••••• K••••• • C••••••• L•• formerFeb 13, 2007 to Feb 13, 2013 · Memphis, Tn
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJan 24, 2005 to Feb 13, 2007 · Chattanooga, Tn
- F•••• H•••••• A•••••••• I•• formerJan 12, 2004 to Jun 4, 2004 · Chattanooga, Tn
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Dec 18, 2003 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 7, 2003 to Jul 24, 2003 · Chattanooga, Tn
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 13, 2007, registered Feb 13, 2007 (0 days) · corporate re-registration, not a move
- F•••• H•••••• A•••••••• I•• to A•••••• I••••••••• M••••••••• C•••••• L••left Jun 4, 2004, registered Jan 24, 2005 (234 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to F•••• H•••••• A•••••••• I••left Dec 18, 2003, registered Jan 12, 2004 (25 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 24, 2003, registered Jul 10, 2003 (-14 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address