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••••• C••••
Feed of 09/14/2026
At current firm
1 y
since Aug 12, 2025
In the industry
24 y
since Oct 31, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, 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 Aug 12, 2025 · Houston, Tx
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedMar 6, 2006 to Mar 7, 2007 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- I•••••• A•• P•••••• A•••• M••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 7, 2007, registered Aug 12, 2025 (6733 days) · Other
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address