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Registered advisor
J••••• C••• W•••••
Feed of 09/14/2026
Also filed as J••••• C••• W•••••
At current firm
11 y
since Jul 8, 2015
In the industry
30 y
since Jan 1, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S66, 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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Scottsdale, Az
- N•••••• F••••••••• L••••• state registered currentsince Jul 8, 2015 · Scottsdale, Az
- S••••• F•••••••• G•••• I•• formerMar 5, 2020 to May 20, 2021 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedSep 26, 2013 to Mar 13, 2020 · Scottsdale, Az
- A••••••••• F•••••••• S•••••••• L•• national BDAug 17, 2012 to Oct 1, 2013 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedNov 25, 2009 to Sep 11, 2012 · Scottsdale, Az
- C••••• A••••••• L•• formerAug 13, 2007 to May 19, 2008 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to N•••••• F••••••••• L•••••left Mar 13, 2020, registered Jul 8, 2015 (-1710 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 1, 2013, registered Sep 26, 2013 (-5 days) · Other
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 11, 2012, registered Aug 17, 2012 (-25 days) · Other
- C••••• A••••••• L•• to L•• F•••••••• L••left May 19, 2008, registered Nov 25, 2009 (555 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address