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Feed of 09/14/2026
Also filed as J•••• C••••••••• V••••••••• C• V•••
At current firm
1 y
since Mar 31, 2025
In the industry
30 y
since Aug 16, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lander, Wy
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 8, 2013 to Jul 13, 2018 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 22, 2013 to Sep 3, 2013 · Denver, Co
- C•••• I••••••••• S••••••• C•••• formerOct 25, 2005 to Feb 1, 2006 · Greenwood, Co
- W•••••• • R••• formerJan 1, 2005 to Oct 26, 2005 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Sep 3, 2013, registered Oct 8, 2013 (35 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 1, 2006, registered Mar 22, 2013 (2606 days) · Other
- W•••••• • R••• to C•••• I••••••••• S••••••• C••••left Oct 26, 2005, registered Oct 25, 2005 (-1 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address