R••••• L•• Y•

R•••••• J•••• • A••••••••• I•••national BDHouston, Txdual registrantIAPD 4433005

Feed of 09/14/2026

Also filed as R••••• Y•

At current firm

5 y

since Aug 27, 2021

In the industry

21 y

since Oct 22, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 Aug 27, 2021 · Houston, Tx
M••••• K••••• • C••••••• L•• former
Apr 22, 2010 to Jan 2, 2013 · Memphis, Tn
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 25, 2004 to Sep 9, 2008 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Jan 2, 2013, registered Aug 27, 2021 (3159 days) · channel change inside one enterprise, not a move
C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••
left Sep 9, 2008, registered Apr 22, 2010 (590 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address