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Registered advisor
S•••• K•• S•••••••••
Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
18 y
since Feb 25, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Newcastle, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 21, 2021 to Mar 31, 2025 · Newcastle, Ca
- C••• F•••••••• S•••••••• L••• formerMay 28, 2015 to Oct 16, 2021 · Citrus Heights, Ca
- W•••• F•••• A••••••• wirehouseJan 28, 2014 to Jun 25, 2014 · Lincoln Hills, Ca
- U••• B•••••• I••••••••• I••• formerAug 30, 2013 to Jan 27, 2014 · Folsom, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 16, 2021, registered Dec 21, 2021 (66 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••• F•••••••• S•••••••• L•••left Jun 25, 2014, registered May 28, 2015 (337 days) · Other
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Jan 27, 2014, registered Jan 28, 2014 (1 days) · Other
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address