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Registered advisor
D•••••• L•• J••••
Feed of 09/14/2026
Also filed as Doug J••••
At current firm
4 y
since May 18, 2022
In the industry
37 y
since Nov 1, 1988 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Louisville, Co
- C••• B•••••••• S•••••••• I••• formerNov 13, 2017 to May 18, 2022 · Waverly, Ia
- C••• F•••••••• S•••••••• L••• formerDec 9, 2011 to Oct 17, 2016 · Boulder, Co
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 8, 2008 to Dec 2, 2011 · Broomfield, Co
- C•••• I••••••••• S••••••• C•••• formerMar 24, 2008 to May 1, 2008 · Boulder, Co
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 12, 2006 to Mar 17, 2008 · Broomfield, Co
- I••••• F•••••••• C••••••••• formerOct 14, 2004 to Aug 12, 2006 · Fort Collins, Co
- I••• S••••••••• I••• unclassifiedFeb 27, 2004 to Oct 4, 2004 · Boulder, Co
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Oct 17, 2016, registered Nov 13, 2017 (392 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to C••• F•••••••• S•••••••• L•••left Dec 2, 2011, registered Dec 9, 2011 (7 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••••••• I••••••••• S•••••••• I••• •••••left May 1, 2008, registered May 8, 2008 (7 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••• I••••••••• S••••••• C••••left Mar 17, 2008, registered Mar 24, 2008 (7 days) · Other
- I••••• F•••••••• C••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · Other
- I••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Oct 4, 2004, registered Oct 14, 2004 (10 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address