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Registered advisor
S•••• D•••• J•••••
Feed of 09/14/2026
Also filed as S•••• D•••• J•••••
At current firm
6 y
since Aug 11, 2020
In the industry
23 y
since Apr 23, 2003 (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
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
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Aug 11, 2020 · Mount Laurel, Nj
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedNov 18, 2015 to Jan 2, 2020 · Doylestown, Pa
- F••••••• D••••••••• C•••••• L•• unclassifiedJul 6, 2005 to Dec 18, 2007 · Marlborough, Ma
- S•••••••• A••••••• L•• national BDApr 23, 2003 to Jul 15, 2008 · Marlborough, Ma
Moves
a registration end followed by a registration begin elsewhere
- T••••••••• R••••••••• A•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Jan 2, 2020, registered Aug 11, 2020 (222 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• D••••••••• C•••••• L••left Jul 15, 2008, registered Jul 6, 2005 (-1105 days) · Other
- F••••••• D••••••••• C•••••• L•• to T••••••••• R••••••••• A•••••••• L••left Dec 18, 2007, registered Nov 18, 2015 (2892 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address