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Registered advisor
R•••••• P•••••• K•••••
Feed of 09/14/2026
Also filed as Rick P K•••••
At current firm
2 y
since Jun 14, 2024
In the industry
23 y
since Sep 24, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Coral Springs, Fl
- S••••••••• A•••••• A•••••••• I••• formerApr 17, 2009 to Jun 14, 2024 · Coral Springs, Fl
- N•• A•••••• S•••••••• L•• formerSep 20, 2005 to Apr 3, 2009 · Coral Springs, Fl
- C••••••••• F•••••••• N•••••• national BDJul 29, 2004 to Sep 20, 2005 · Coral Springs, Fl
- M••••• S•••••• D• I••• unclassifiedSep 30, 2002 to Jun 3, 2003 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- N•• A•••••• S•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 3, 2009, registered Apr 17, 2009 (14 days) · Other
- C••••••••• F•••••••• N•••••• to N•• A•••••• S•••••••• L••left Sep 20, 2005, registered Sep 20, 2005 (0 days) · Other
- M••••• S•••••• D• I••• to C••••••••• F•••••••• N••••••left Jun 3, 2003, registered Jul 29, 2004 (422 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address