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Registered advisor
J•••• D•••• L••••
Feed of 09/14/2026
At current firm
5 y
since Mar 11, 2021
In the industry
32 y
since May 13, 1994 (earliest exam, job or registration)
Prior registered firms
4
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
- R•• C•••••• M••••••• L•• national BD currentsince Mar 11, 2021 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseFeb 17, 2011 to Mar 19, 2021 · Modesto, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Feb 17, 2011 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMay 4, 2004 to Jan 2, 2009 · Modesto, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to May 7, 2004 · Turlock, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Mar 19, 2021, registered Mar 11, 2021 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Feb 17, 2011, registered Feb 17, 2011 (0 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left May 7, 2004, registered May 4, 2004 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address