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Registered advisor
D••••• K••
Feed of 09/14/2026
Also filed as Dorothy Szwaja
At current firm
20 y
since Nov 23, 2005
In the industry
23 y
since Oct 25, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 23, 2005 · Burlington, Vt
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJan 3, 2005 to Sep 22, 2005 · Lake Success, Ny
- E•••• N••••••• S••••••••• I••• formerOct 29, 2003 to Oct 5, 2004 · Lake Success, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••• O•• F•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 22, 2005, registered Nov 23, 2005 (62 days) · Other
- E•••• N••••••• S••••••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Oct 5, 2004, registered Jan 3, 2005 (90 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address