G•••••• F• L•••

K••••• A••••••• S•••••••• L••BD affiliatedNewbury Park, Ca dual registrantIAPD 720921

Feed of 09/15/2026

Also filed as G•••••• Francis L•••

At current firm

2 y

since Oct 3, 2023

In the industry

43 y

since Dec 20, 1982 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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 Oct 3, 2023 · Newbury Park, Ca
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Oct 8, 2023 · Newbury Park, Ca
S•••••••• F••••••••• I••• former
Apr 29, 2019 to Sep 1, 2023 · Newbury Park, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Apr 30, 2019 · Oxnard, Ca
M••••• S•••••• • C•• L•• unclassified
Dec 19, 2008 to Jun 1, 2009 · Oxnard, Ca
U•• F•••••••• S••••••• I••• wirehouse
Jun 13, 2001 to Dec 26, 2008 · Oxnard, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to K••••• A••••••• S•••••••• L••
left Oct 8, 2023, registered Oct 3, 2023 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
M••••• S•••••• to S•••••••• F••••••••• I•••
left Apr 30, 2019, registered Apr 29, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••
left Dec 26, 2008, registered Dec 19, 2008 (-7 days) · Other

Signals

G•••••• F• L••• left O•••• W•••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2023-10-03)
Oct 8, 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: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address