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Registered advisor
K•••••• E••• S••••••
Feed of 09/14/2026
Also filed as K•••••• E••• S••••••
At current firm
1 y
since Jul 21, 2025
In the industry
25 y
since Nov 27, 2000 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jul 21, 2025 · Greenville, Sc
- L•• E••••••••• L•• BD affiliatedNov 14, 2024 to Jul 29, 2025 · Greenville, Sc
- P•••• S••••••••• L•• no RAUMJun 17, 2019 to Nov 14, 2024 · Columbia, Sc
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedMay 2, 2019 to Jun 6, 2019 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 29, 2025, registered Jul 21, 2025 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- B•••••• L••• A••••••• S•••••••• I••• to P•••• S••••••••• L••left Jun 6, 2019, registered Jun 17, 2019 (11 days) · Affiliated broker-dealer or bank to another
Signals
- K•••••• E••• S•••••• left L•• E••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-07-21)Jul 29, 2025 · Advisor changed firm · fact
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