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Registered advisor
M•• Y•• J••
Feed of 09/14/2026
Also filed as M•• K••• Y••
At current firm
17 y
since Dec 4, 2008
In the industry
36 y
since Sep 11, 1990 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 4, 2008 · Mission Viejo, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Dec 18, 2008 · San Juan Capistrano, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 29, 2005 to Jan 1, 2008 · San Juan Capistrano, Ca
- R•• C•••••• M••••••• L•• national BDMay 28, 2002 to Apr 21, 2003 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 18, 2008, registered Dec 4, 2008 (-14 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to A• G• E•••••• • S•••• I•••left Apr 21, 2003, registered Mar 29, 2005 (708 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address