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Registered advisor
D•••• D•••• K•••••••
Feed of 09/15/2026
Also filed as D•••• K•••••••
At current firm
5 y
since Apr 20, 2021
In the industry
16 y
since Jun 4, 2010 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Apr 20, 2021 · Orlando, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 25, 2021 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerNov 29, 2011 to Oct 1, 2012 · Humble, Tx
- E••••• J•••• national BDJun 7, 2010 to Oct 27, 2011 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Mar 25, 2021, registered Apr 20, 2021 (26 days) · Wirehouse to affiliated broker-dealer or bank
- 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 Oct 27, 2011, registered Nov 29, 2011 (33 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address