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Feed of 09/15/2026
Also filed as K•••••• J L••••
At current firm
4 y
since Nov 1, 2021
In the industry
38 y
since Mar 15, 1988 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- N•••••• A••••••• BD affiliated currentsince Nov 1, 2021 · New Orleans, La
- M•• A••••••• F•••••••• M••••••••• I••• formerJan 12, 2007 to Nov 1, 2021 · Jupiter, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 16, 2007 · Stuart, Fl
- P••••••••• E••••• G••••• L•• unclassifiedJan 3, 1997 to Jul 1, 2003 · Stuart, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•• A••••••• F•••••••• M••••••••• I••• to N•••••• A•••••••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M•• A••••••• F•••••••• M••••••••• I•••left Jan 16, 2007, registered Jan 12, 2007 (-4 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address