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Registered advisor
B•••••• K••••••• L•••••
Feed of 09/15/2026
At current firm
1 y
since Oct 11, 2024
In the industry
39 y
since Apr 21, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Wells, Vt
- A••••••• P••••••••• A•••••••• I•• formerJul 29, 2009 to Oct 11, 2024 · Holbrook, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedJan 18, 2006 to Jul 30, 2009 · Albany, Ny
- U•• F•••••••• S••••••• I••• wirehouseApr 27, 2000 to Feb 14, 2003 · Albany, Ny
Moves
a registration end followed by a registration begin elsewhere
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- J••••• M••••••••• S•••• L•• to A••••••• P••••••••• A•••••••• I••left Jul 30, 2009, registered Jul 29, 2009 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to J••••• M••••••••• S•••• L••left Feb 14, 2003, registered Jan 18, 2006 (1069 days) · Other
Signals
No dated event on this person.
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address