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Registered advisor
S•••••• K•• O••••••••
Feed of 09/14/2026
Also filed as S•••••• Kay Nelson
At current firm
2 y
since Nov 28, 2023
In the industry
13 y
since Sep 1, 2013 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 28, 2023 · O••••, Ne
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAFeb 21, 2023 to Sep 7, 2023 · O••••, Ne
- W•••• F•••• A••••••• wirehouseOct 2, 2019 to Feb 11, 2022 · O••••, Ne
- E••••• J•••• national BDJun 28, 2018 to Oct 2, 2019 · O••••, Ne
Moves
a registration end followed by a registration begin elsewhere
- M••••• O• O•••• I••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 7, 2023, registered Nov 28, 2023 (82 days) · RIA to wirehouse
- W•••• F•••• A••••••• to M••••• O• O•••• I••••••• S•••••••• I•••left Feb 11, 2022, registered Feb 21, 2023 (375 days) · Wirehouse to independent RIA
- E••••• J•••• to W•••• F•••• A•••••••left Oct 2, 2019, registered Oct 2, 2019 (0 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- S•••••• K•• O•••••••• left M••••• O• O•••• I••••••• S•••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-11-28)Sep 7, 2023 · Advisor changed firm · fact
- S•••••• K•• O•••••••• left W•••• F•••• A••••••• for M••••• O• O•••• I••••••• S•••••••• I••• (registered 2023-02-21)Feb 11, 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