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Registered advisor

S•••••••• B••••• B•••••

K••••• A••••••• S•••••••• L••BD affiliatedCary, Nc dual registrantIAPD 2926294

Feed of 09/15/2026

At current firm

1 y

since Jun 3, 2025

In the industry

29 y

since Aug 26, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Jun 3, 2025 · Apex, Nc
O•••• W•••••• I••• BD affiliated
Aug 23, 2024 to Jun 5, 2025 · Cary, Nc
T•••• A•••••••• L•• former
Apr 5, 2011 to Aug 23, 2024 · Cary, Nc
C••••• A•••••• N••••••• L•• former
Jan 9, 2008 to Apr 5, 2011 · Raleigh, Nc
S••••••• I••••••••• S•••••••• I••• former
Jan 3, 2005 to Jan 8, 2008 · Apex, Nc
N•• F•••••••• S•••••••• I••• unclassified
Sep 30, 2002 to Jan 3, 2005 · Raleigh, Nc
I••••• F•••••••• C••••••••• former
Jul 11, 2002 to Sep 30, 2002 · Raleigh, Nc

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to K••••• A••••••• S•••••••• L••
left Jun 5, 2025, registered Jun 3, 2025 (-2 days) · Affiliated broker-dealer or bank to another
T•••• A•••••••• L•• to O•••• W•••••• I•••
left Aug 23, 2024, registered Aug 23, 2024 (0 days) · corporate re-registration, not a move
C••••• A•••••• N••••••• L•• to T•••• A•••••••• L••
left Apr 5, 2011, registered Apr 5, 2011 (0 days) · Other
S••••••• I••••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••
left Jan 8, 2008, registered Jan 9, 2008 (1 days) · Other
N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••
left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
I••••• F•••••••• C••••••••• to N•• F•••••••• S•••••••• I•••
left Sep 30, 2002, registered Sep 30, 2002 (0 days) · Other

Signals

S•••••••• B••••• B••••• left O•••• W•••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2025-06-03)
Jun 5, 2025 · a•••••• firm change · fact

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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address