H•••••• L••• K•••

U•• F•••••••• S••••••• I•••wirehouseSpringfield, Madual registrantIAPD 6254198

Feed of 09/14/2026

Also filed as H•••••• L• K••••••••• L••• K••••••••• K•••

At current firm

1 y

since Apr 2, 2025

In the industry

13 y

since Sep 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since Apr 2, 2025 · Springfield, Ma
U•• A••••••• institutional
Nov 6, 2023 to Mar 20, 2025 · Glastonbury, Ct
E•••••• A••••••• G••••• L•• BD affiliated
Oct 4, 2016 to Jul 6, 2022 · Greenwood Village, Co

Moves

a registration end followed by a registration begin elsewhere

U•• A••••••• to U•• F•••••••• S••••••• I•••
left Mar 20, 2025, registered Apr 2, 2025 (13 days) · Other
E•••••• A••••••• G••••• L•• to U•• A•••••••
left Jul 6, 2022, registered Nov 6, 2023 (488 days) · Other

Signals

••• Locked
Mar 20, 2025 · Advisor changed firm · fact
••• Locked
Jul 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address