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J•••• R• S••••••
Vice President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Westlake Village, CaIAPD 2575184
As of · the IAPD feed; also filed as J•• R•••••• S••••••••• R•••••• S••••••••• R• S••••••••• R• S•••••
- At current firm
- 17 y
- In the industry
- 28 y
- Prior registered firms
- 3
- Signals
- 0
since Jun 15, 2009
As of · the IAPD feed; also filed as J•• R•••••• S••••••••• R•••••• S••••••••• R• S••••••••• R• S•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 15, 2009 · Westlake Village, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 23, 2009 · Woodland Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 1, 2004 to Jun 1, 2009 · Woodland Hills, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Mar 2, 2004 · Woodland Hls, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 23, 2009, registered Jun 15, 2009 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Mar 2, 2004, registered Mar 1, 2004 (-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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address