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Registered advisor
K••••• L• K••••••
Feed of 09/14/2026
Also filed as K••••• Lorraine K••••••
At current firm
1 y
since Mar 31, 2025
In the industry
13 y
since Nov 9, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Long Beach, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 16, 2021 to Mar 31, 2025 · Covington, Ky
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJun 12, 2019 to Apr 28, 2021 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJun 22, 2016 to May 16, 2019 · Marina Del Rey, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 12, 2012 to Jun 22, 2016 · Fresno, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• O• O•••• I••••••• S•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 28, 2021, registered Sep 16, 2021 (141 days) · Other
- U••• B•••••• A•••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left May 16, 2019, registered Jun 12, 2019 (27 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••left Jun 22, 2016, registered Jun 22, 2016 (0 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address