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Registered advisor
K•• L•••• M•••• B•••••
Feed of 09/15/2026
Also filed as Kay L•••• Swenson
At current firm
4 y
since Oct 29, 2021
In the industry
24 y
since Apr 17, 2002 (earliest exam, job or registration)
Prior registered firms
5
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
- W•••• F•••• A••••••• wirehouse currentsince Oct 29, 2021 · Westlake Village, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 5, 2021 · Layton, Ut
- C•••• I••••••••• S••••••• C•••• formerFeb 16, 2011 to Oct 1, 2012 · San Pedro, Ca
- W••• I••••••••• I••• unclassifiedAug 11, 2008 to Mar 2, 2009 · Torrance, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 11, 2007 to Jul 14, 2008 · San Pedro, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 25, 2003 to Aug 23, 2006 · Rancho Palos Verdes, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 5, 2021, registered Oct 29, 2021 (24 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left Mar 2, 2009, registered Feb 16, 2011 (716 days) · Other
- C•••••••• G••••• M•••••• I••• to W••• I••••••••• I•••left Jul 14, 2008, registered Aug 11, 2008 (28 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 23, 2006, registered Sep 11, 2007 (384 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address