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Registered advisor
C•••••• K• T•••••
Feed of 09/15/2026
Also filed as Le Khanh T•••••
At current firm
3 y
since Jul 19, 2023
In the industry
25 y
since Dec 1, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 19, 2023 · Oakland, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMar 2, 2016 to Jul 19, 2023 · San Leandro, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 10, 2014 to Feb 18, 2016 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseSep 24, 2012 to May 30, 2014 · Walnut Creek, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedOct 17, 2006 to Sep 25, 2012 · Alamo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 25, 2006 to Oct 17, 2006 · Antioch, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 3, 2005 to Sep 25, 2006 · South San Francisco, Ca
- C••••••• I••••••••• S••••••• unclassifiedNov 18, 2004 to Jan 25, 2005 · Oakland, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Feb 18, 2016, registered Mar 2, 2016 (13 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 30, 2014, registered Jun 10, 2014 (11 days) · Wirehouse to wirehouse
- U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••left Sep 25, 2012, registered Sep 24, 2012 (-1 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• A•••••••• L••left Oct 17, 2006, registered Oct 17, 2006 (0 days) · Other
- U••• B•••••• A•••••••• L•• to W•••• F•••• I••••••••• L••left Sep 25, 2006, registered Sep 25, 2006 (0 days) · Other
- C••••••• I••••••••• S••••••• to U••• B•••••• A•••••••• L••left Jan 25, 2005, registered Feb 3, 2005 (9 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address