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Registered advisor
K•••••• S•• P•••••••
Feed of 09/15/2026
Also filed as K•••••• S• L••••••••• S•• L••••••••• P•••••••
At current firm
12 y
since Aug 6, 2014
In the industry
22 y
since Nov 5, 2003 (earliest exam, job or registration)
Prior registered firms
4
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
- E••••• J•••• national BD currentsince Aug 6, 2014 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 24, 2009 to Jul 31, 2014 · St. Louis, Mo
- E••••• J•••• national BDAug 16, 2007 to Mar 16, 2009 · St Louis, Mo
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 1, 2007 to Aug 15, 2007 · Chesterfield, Mo
- P•••• S••••••••• L•• no RAUMNov 9, 2004 to Nov 7, 2006 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to E••••• J••••left Jul 31, 2014, registered Aug 6, 2014 (6 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 16, 2009, registered Mar 24, 2009 (8 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to E••••• J••••left Aug 15, 2007, registered Aug 16, 2007 (1 day) · Other
- P•••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 7, 2006, registered Feb 1, 2007 (86 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address