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Registered advisor
J••• D•••• C•••••••
Feed of 09/14/2026
Also filed as J••• D•••• C•••••••
At current firm
2 y
since Jun 14, 2024
In the industry
31 y
since Dec 13, 1994 (earliest exam, job or registration)
Prior registered firms
5
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Claremont, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 10, 2015 to Jun 14, 2024 · Claremont, Ca
- L•• F•••••••• L•• BD affiliatedAug 30, 2012 to Dec 24, 2015 · Claremont, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 27, 2010 to Sep 10, 2012 · Claremont, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 19, 2010 · Claremont, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Jun 1, 2009 · Claremont, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Dec 24, 2015, registered Dec 10, 2015 (-14 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Sep 10, 2012, registered Aug 30, 2012 (-11 days) · Other
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 19, 2010, registered Apr 27, 2010 (-22 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address