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R••••• A••• K••••
As of · the IAPD feed; also filed as R••••• K••••
- At current firm
- 9 y
- In the industry
- 20 y
- Prior registered firms
- 2
- Signals
- 0
since Sep 19, 2017
As of · the IAPD feed; also filed as R••••• K••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 19, 2017 · Gaithersburg, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 28, 2010 to Sep 18, 2017 · Washington, Dc
- W•••• F•••• A••••••• wirehouseApr 2, 2009 to Aug 31, 2010 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left Sep 18, 2017, registered Sep 19, 2017 (1 day) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 31, 2010, registered Sep 28, 2010 (28 days) · Wirehouse to wirehouse
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address