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Registered advisor
M••• K•••••••• R••••••
Feed of 09/15/2026
Also filed as M••• Kate R••••••
At current firm
3 y
since Jul 27, 2023
In the industry
13 y
since May 1, 2013 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• C••••• G••••• I••• no RAUM currentsince Jul 27, 2023 · Los Angeles, Ca
- E•••••• A••••••• G••••• L•• BD affiliatedApr 6, 2022 to Apr 12, 2022 · Jacksonville, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 6, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 25, 2015 to Jul 13, 2018 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- E•••••• A••••••• G••••• L•• to C•••••• C••••• G••••• I•••left Apr 12, 2022, registered Jul 27, 2023 (471 days) · Other
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• A••••••• G••••• L••left Mar 6, 2022, registered Apr 6, 2022 (31 days) · Affiliated broker-dealer or bank to another
- 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
- M••• K•••••••• R•••••• left E•••••• A••••••• G••••• L•• for C•••••• C••••• G••••• I••• (registered 2023-07-27)Apr 12, 2022 · Advisor changed firm · fact
- M••• K•••••••• R•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E•••••• A••••••• G••••• L•• (registered 2022-04-06)Mar 6, 2022 · Advisor changed firm · fact
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
- No RAUM reportedderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address