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Registered advisor
K••••• E•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as K••••• M E•••••
At current firm
15 y
since Aug 9, 2011
In the industry
27 y
since Jan 8, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P••• A••••• S••••••••• L•• BD affiliated currentsince Aug 9, 2011 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 18, 2010 to Aug 4, 2011 · Houston, Tx
- I••••••••• P••••••••• I••• formerMay 28, 2010 to Aug 10, 2010 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 4, 1999 to Dec 13, 2007 · Sugar Land, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Aug 4, 2011, registered Aug 9, 2011 (5 days) · Other
- I••••••••• P••••••••• I••• to M•• I•••••••• S•••••••• L••left Aug 10, 2010, registered Aug 18, 2010 (8 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• P••••••••• I•••left Dec 13, 2007, registered May 28, 2010 (897 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address