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Registered advisor

D•••• J••• W••••••

I•••••••• A•••••••• L••BD affiliatedUrbandale, Ia dual registrantIAPD 2238755

Feed of 09/14/2026

At current firm

4 y

since Feb 23, 2022

In the industry

32 y

since Dec 21, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I•••••••• A•••••••• L•• BD affiliated current
since Feb 23, 2022 · Urbandale, Ia
S••••••••• A•••••• A•••••••• I••• former
Dec 19, 2016 to Feb 25, 2022 · New Haven, Ct
L•• F•••••••• L•• BD affiliated
Oct 11, 2011 to Dec 27, 2016 · Kensington, Ct
U•••• F•••••••• S••••••• G••••• I••• unclassified
Apr 14, 2010 to Oct 11, 2011 · Berlin, Ct
T• W••••• M••••••••• S••••••• I••• unclassified
Nov 17, 2009 to Feb 19, 2010 · Newington, Ct
C••••• I••••••••• S••••••• L•• former
Nov 15, 2007 to Nov 17, 2009 · Newington, Ct
O•••• I••••••••• I••• BD affiliated
Mar 20, 2001 to Mar 12, 2007 · Guilford, Ct

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to I•••••••• A•••••••• L••
left Feb 25, 2022, registered Feb 23, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Dec 27, 2016, registered Dec 19, 2016 (-8 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
T• W••••• M••••••••• S••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Feb 19, 2010, registered Apr 14, 2010 (54 days) · Other
C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••
left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
O•••• I••••••••• I••• to C••••• I••••••••• S••••••• L••
left Mar 12, 2007, registered Nov 15, 2007 (248 days) · Other

Signals

D•••• J••• W•••••• left S••••••••• A•••••• A•••••••• I••• for I•••••••• A•••••••• L•• (registered 2022-02-23)
Feb 25, 2022 · 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address