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L••• H••• K•••••

Registered advisorat C••••••••• F•••••••• N••••••Dual registrant· Smithtown, NyIAPD 720178

Certified Financial Planner

At current firm
5 y
since Jun 29, 2021
In the industry
40 y
Prior registered firms
2
Signals
0
As of · the IAPD feed; also filed as L••• H••• K••••••••• H• K•••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
  • C•••••• F•••••••• P•••••••• I••• unclassified
    Jun 12, 2008 to Dec 20, 2018 · Smithtown, Ny
  • N••••• • L•••• S••••••••• I••• unclassified
    Feb 12, 1993 to Jan 27, 2003 · Smithtown, Ny
Moves
a registration end followed by a registration begin elsewhere
  • C•••••• F•••••••• P•••••••• I••• to C••••••••• F•••••••• N••••••
    left Dec 20, 2018, registered Jun 29, 2021 (922 days) · Other
  • N••••• • L•••• S••••••••• I••• to C•••••• F•••••••• P•••••••• I•••
    left Jan 27, 2003, registered Jun 12, 2008 (1963 days) · Other
Signals
No dated event on this person.
Transition signals

Mobility scoring is not published yet.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
National broker-dealer RIAderived
Years in industry
40derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address