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Registered advisor
T••••• K• L•••••
Feed of 09/14/2026
Also filed as T•••• K••••• L••••••••• K••••• L••••••••• K• L••••••••• K••••• L•••••
At current firm
3 y
since Aug 7, 2023
In the industry
15 y
since Jan 1, 2011 (earliest exam, job or registration)
Prior registered firms
2
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 7, 2023 · Weehawken, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Dec 14, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 17, 2013 to Jul 13, 2018 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to U•• F•••••••• S••••••• I•••left Dec 14, 2021, registered Aug 7, 2023 (601 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address