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Registered advisor
P••••• K•• M•••••••
Feed of 09/14/2026
Also filed as P••••• Kay Mooney
At current firm
9 y
since Nov 7, 2016
In the industry
21 y
since May 20, 2005 (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
- L•• F•••••••• L•• BD affiliated currentsince Nov 7, 2016 · Cerritos, Ca
- P••• A••••• S••••••••• L•• BD affiliatedNov 19, 2013 to Nov 9, 2016 · Brea, Ca
- E•••• S••••••••• L•• BD affiliatedMay 13, 2011 to Sep 26, 2013 · Long Beach, Ca
- L•• F•••••••• L•• BD affiliatedApr 22, 2010 to Feb 17, 2011 · San Jose, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 17, 2005 to Apr 13, 2010 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to L•• F•••••••• L••left Nov 9, 2016, registered Nov 7, 2016 (-2 days) · Other
- E•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Sep 26, 2013, registered Nov 19, 2013 (54 days) · Other
- L•• F•••••••• L•• to E•••• S••••••••• L••left Feb 17, 2011, registered May 13, 2011 (85 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 13, 2010, registered Apr 22, 2010 (9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address