A•••• K••••••• Z••••••

R•••••• J•••• • A••••••••• I•••national BDDallas, Tx dual registrantIAPD 3270172

Feed of 09/15/2026

At current firm

13 y

since Feb 13, 2013

In the industry

27 y

since Sep 16, 1999 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Feb 13, 2013 · Dallas, Tx
M••••• K••••• • C••••••• L•• former
Jan 30, 2009 to Feb 13, 2013 · Dallas, Tx
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 17, 1999 to Feb 19, 2009 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••
left Feb 19, 2009, registered Jan 30, 2009 (-20 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address