E•••• J••••••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 6356996

Feed of 09/15/2026

Also filed as E•••• J••••••••• J••••••

At current firm

3 y

since Mar 20, 2023

In the industry

12 y

since Aug 4, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Mar 20, 2023 · Austin, Tx
E••••• J•••• national BD
Jul 24, 2017 to Mar 21, 2023 · Tacoma, Wa
W•••••• • R••• former
Mar 29, 2017 to Jul 17, 2017 · Tacoma, Wa

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to K••••• A••••••• S•••••••• L••
left Mar 21, 2023, registered Mar 20, 2023 (-1 days) · Affiliated broker-dealer or bank to another
W•••••• • R••• to E••••• J••••
left Jul 17, 2017, registered Jul 24, 2017 (7 days) · Other

Signals

••• Locked
Mar 21, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address