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J•••••• J••••• K••••••••
As of · the IAPD feed; also filed as J••• J• K••••••••• J••••• K••••••••
- At current firm
- 4 y
- In the industry
- 20 y
- Prior registered firms
- 3
- Signals
- 0
since Jan 26, 2022
As of · the IAPD feed; also filed as J••• J• K••••••••• J••••• K••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Pasadena, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 19, 2009 to Sep 7, 2023 · Pasadena, Ca
- T• A••••••••• I••• formerFeb 19, 2009 to Oct 14, 2022 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 21, 2006 to Feb 3, 2009 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Feb 19, 2009 (-4985 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Feb 3, 2009, registered Feb 19, 2009 (16 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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