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Feed of 09/15/2026
Also filed as K•••• L R•••
At current firm
1 y
since Apr 7, 2025
In the industry
27 y
since Oct 1, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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 Apr 7, 2025 · San Diego, Ca
- U••••• P••••••• F•••••• unclassifiedDec 8, 2015 to Dec 31, 2018 · Heber City, Ut
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 18, 2015 · Park City, Ut
- C•••• I••••••••• S••••••• C•••• formerDec 14, 2009 to Oct 1, 2012 · Park City, Ut
- E••••• J•••• national BDOct 6, 2008 to Jan 7, 2009 · Park City, Ut
Moves
a registration end followed by a registration begin elsewhere
- U••••• P••••••• F•••••• to L•• F•••••••• L••left Dec 31, 2018, registered Apr 7, 2025 (2289 days) · Other
- J••• M••••• S••••••••• L•• to U••••• P••••••• F••••••left Feb 18, 2015, registered Dec 8, 2015 (293 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Jan 7, 2009, registered Dec 14, 2009 (341 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address