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Registered advisor
M•••••• H•••• K••
Feed of 09/15/2026
Also filed as H•••• Kim
At current firm
4 y
since Jan 26, 2022
In the industry
15 y
since Jun 17, 2011 (earliest exam, job or registration)
Prior registered firms
5
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 19, 2018 to Sep 7, 2023 · San Diego, Ca
- T• A••••••••• I••• formerSep 19, 2018 to Oct 14, 2022 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseFeb 9, 2016 to Sep 12, 2018 · La Jolla, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 17, 2014 to Jan 7, 2016 · Rancho Cordova, Ca
- E••••• J•••• national BDSep 6, 2011 to Dec 2, 2013 · Gold River, 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 Sep 19, 2018 (-1486 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to T• A••••••••• I•••left Sep 12, 2018, registered Sep 19, 2018 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jan 7, 2016, registered Feb 9, 2016 (33 days) · Wirehouse to wirehouse · moved with a team
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 2, 2013, registered Jan 17, 2014 (46 days) · Affiliated broker-dealer or bank to wirehouse
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address