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Registered advisor
P•••••• A••••• K•••••
Feed of 09/15/2026
Also filed as P•••••• A K•••••
At current firm
7 y
since Oct 29, 2018
In the industry
26 y
since Dec 20, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Oct 29, 2018 · Charleston, Sc
- P•••• S••••••••• L•• no RAUMAug 4, 2016 to Aug 21, 2018 · Mt. Pleasant, Sc
- F••••• I••••••••• independent RIAApr 11, 2014 to Apr 7, 2016 · Mt. Pleasant, Sc
- S•••••••• A••••••• L•• national BDJul 2, 2002 to Mar 19, 2014 · Millburn, Nj
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 21, 2018, registered Oct 29, 2018 (69 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••• I••••••••• to P•••• S••••••••• L••left Apr 7, 2016, registered Aug 4, 2016 (119 days) · Other
- S•••••••• A••••••• L•• to F••••• I•••••••••left Mar 19, 2014, registered Apr 11, 2014 (23 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address