K•••• J• F•••••

A••••••••• F•••••••• S•••••••• L••national BDEau Claire, Wi dual registrantIAPD 4686373

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••• J• B••••••••• M•••• B••••••••• J••• F••••••••• F••••••••• J••• B••••••••• B••••••••• M• B••••••••• M•••• F••••••••• M• F•••••

At current firm

1 y

since Sep 30, 2024

In the industry

23 y

since Aug 9, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Sep 30, 2024 · Altoona, Wi
L•• F•••••••• L•• BD affiliated
Jul 17, 2019 to Sep 20, 2024 · Eau Claire, Wi
U••• B•••••• I••••••••• I••• former
Jan 27, 2015 to Aug 1, 2019 · Eau Claire, Wi
M••••••••• C•••••• M••••••••• unclassified
Jan 14, 2014 to Feb 3, 2015 · Eau Claire, Wi
L•• F•••••••• L•• BD affiliated
Dec 18, 2013 to Feb 2, 2015 · Eau Claire, Wi
I••••• F•••••••• C••••••••• former
Jan 4, 2010 to Dec 19, 2013 · Menomonie, Wi

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Sep 20, 2024, registered Sep 30, 2024 (10 days) · Affiliated broker-dealer or bank to another · moved with a team
U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Aug 1, 2019, registered Jul 17, 2019 (-15 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
M••••••••• C•••••• M••••••••• to U••• B•••••• I••••••••• I•••
left Feb 3, 2015, registered Jan 27, 2015 (-7 days) · Other
L•• F•••••••• L•• to M••••••••• C•••••• M•••••••••
left Feb 2, 2015, registered Jan 14, 2014 (-384 days) · Other
I••••• F•••••••• C••••••••• to L•• F•••••••• L••
left Dec 19, 2013, registered Dec 18, 2013 (-1 days) · Other

Signals

••• Locked
Sep 20, 2024 · 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: National broker-dealer RIAderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address