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Registered advisor
J•••••• M•••••• S••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J•••••• S••••••
At current firm
9 y
since Jun 23, 2017
In the industry
32 y
since Dec 2, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- L•• F•••••••• L•• BD affiliated currentsince Jun 23, 2017 · Houston, Tx
- W•••••• • R••• formerApr 9, 2010 to Jun 29, 2017 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 3, 2003 to Apr 13, 2010 · Seattle, Wa
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 24, 2003 to Nov 10, 2003 · Seattle, Wa
- C•••••• L•• independent RIAOct 17, 2002 to Jun 25, 2003 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to L•• F•••••••• L••left Jun 29, 2017, registered Jun 23, 2017 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Apr 13, 2010, registered Apr 9, 2010 (-4 days) · Other
- A••••••••• A•••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 10, 2003, registered Nov 3, 2003 (-7 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jun 25, 2003, registered Jun 24, 2003 (-1 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address