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Registered advisor
T••••• M•••• J••••••
Feed of 09/15/2026
Also filed as T•••••E M•••• J••••••
At current firm
6 y
since Sep 27, 2019
In the industry
31 y
since Nov 22, 1994 (earliest exam, job or registration)
Prior registered firms
3
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
- L•• F•••••••• L•• BD affiliated currentsince Sep 27, 2019 · Los Angeles, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Sep 27, 2019 · San Jose, Ca
- C••••• I••••••••• S••••••• L•• formerNov 30, 2010 to Jan 21, 2014 · San Jose, Ca
- C••• F•••••••• S•••••••• L••• formerJul 23, 2001 to Dec 1, 2010 · Fremont, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Sep 27, 2019, registered Sep 27, 2019 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to C••••• I••••••••• S••••••• L••left Dec 1, 2010, registered Nov 30, 2010 (-1 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address