L•••• K•• R••••••

P•••••• A•••••• G••••• L••BD affiliatedMorristown, Nj dual registrantIAPD 5331113

Feed of 09/14/2026

Also filed as L•••• K•• H••••••••• K•• P•••

At current firm

8 y

since Oct 23, 2017

In the industry

18 y

since Feb 18, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••• A•••••• G••••• L•• BD affiliated current
since Oct 23, 2017 · Morristown, Nj
F•••• T•••• S••••••••• I••• BD affiliated
Oct 29, 2009 to Oct 23, 2017 · Louisville, Ky
U••• B•••••• I••••••••• I••• former
Oct 9, 2009 to Oct 14, 2009 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

F•••• T•••• S••••••••• I••• to P•••••• A•••••• G••••• L••
left Oct 23, 2017, registered Oct 23, 2017 (0 days) · Other
U••• B•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••
left Oct 14, 2009, registered Oct 29, 2009 (15 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address