K••• K•••• D••••

U••• B•••••• A•••••••• L••BD affiliatedIncline Village, Nv dual registrantIAPD 7699491

Feed of 09/15/2026

Also filed as K••• D••••

At current firm

0 y

since Feb 13, 2026

In the industry

17 y

since Mar 1, 2009 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Incline Village, Nv
U••• B•••••• I••••••••• I••• former
Oct 16, 2023 to Feb 13, 2026 · Citrus Heights, Ca
W•••• F•••• A••••••• wirehouse
Jul 17, 2023 to Oct 24, 2023 · Auburn, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••
left Oct 24, 2023, registered Oct 16, 2023 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

Signals

••• Locked
Oct 24, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address