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Registered advisor
K•••• C• S•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as K•••• Charles S•••••
At current firm
6 y
since Nov 6, 2019
In the industry
19 y
since Aug 24, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 6, 2019 · 330091, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 22, 2016 to Jun 23, 2017 · Edina, Mn
- Q•••••• A•••• M••••••••• I••• formerAug 11, 2014 to Apr 11, 2016 · Minneapolis, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 29, 2014 to Aug 14, 2014 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 23, 2017, registered Nov 6, 2019 (866 days) · Other
- Q•••••• A•••• M••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 11, 2016, registered Apr 22, 2016 (11 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to Q•••••• A•••• M••••••••• I•••left Aug 14, 2014, registered Aug 11, 2014 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address