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Registered advisor
J•••••• T•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as J•••••• T•••••
At current firm
1 y
since Mar 31, 2025
In the industry
31 y
since Mar 22, 1995 (earliest exam, job or registration)
Prior registered firms
7
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Chandler, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 13, 2017 to Jul 13, 2018 · Chandler, Az
- J••• M••••• S••••••••• L•• wirehouseApr 16, 2015 to Oct 5, 2016 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDJan 5, 2010 to Mar 19, 2015 · Albuquerque, Nm
- C•••••• L•• independent RIAJun 15, 2005 to Dec 7, 2009 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jun 7, 2005 · Sarasota, Fl
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · Sarasota, Fl
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
- J••• M••••• S••••••••• L•• to S•••••••• A••••••• L••left Oct 5, 2016, registered Jan 13, 2017 (100 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Mar 19, 2015, registered Apr 16, 2015 (28 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• L•• to C•••••• S••••• • C••• I•••left Dec 7, 2009, registered Jan 5, 2010 (29 days) · Other
- W•••• F•••• A••••••• to C•••••• L••left Jun 7, 2005, registered Jun 15, 2005 (8 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address