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S•••• B••• K•••••
Certified Financial Planner
As of · the IAPD feed; also filed as S•••• B• K•••••
- At current firm
- 10 y
- In the industry
- 23 y
- Prior registered firms
- 4
- Signals
- 0
since Nov 6, 2015
As of · the IAPD feed; also filed as S•••• B• K•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 6, 2015 · Rockville, Md
- K••••••••• L•• unclassifiedMay 22, 2012 to Nov 5, 2015 · B•••Esda, Md
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Nov 17, 2015 · B•••Esda, Md
- K••••••••• L•• unclassifiedMay 4, 2004 to Dec 31, 2004 · B•••Esda, Md
- M••• S••••••••• C••••••••• unclassifiedApr 14, 2004 to Jun 1, 2005 · B•••Esda, Md
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Nov 17, 2015, registered Nov 6, 2015 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- K••••••••• L•• to C••••••••• F•••••••• N••••••left Nov 5, 2015, registered Nov 6, 2015 (1 day) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (0 days) · corporate re-registration, not a move
- K••••••••• L•• to E•••••••• A•••••••• L••left Dec 31, 2004, registered Jun 1, 2005 (152 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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