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Registered advisor
J•••• R••••• W••••
Feed of 09/15/2026
Also filed as Jim W••••
At current firm
0 y
since Apr 28, 2026
In the industry
30 y
since Nov 1, 1995 (earliest exam, job or registration)
Prior registered firms
9
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 28, 2026 · Saint Charles, Mo
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 14, 2020 to Apr 24, 2026 · Cape Girardeau, Mo
- P•••• S••••••••• L•• no RAUMDec 16, 2019 to Sep 16, 2020 · Swansea, Il
- O•••• I••••••••• I••• BD affiliatedOct 9, 2018 to Dec 13, 2019 · Webster Groves, Mo
- C••• B•••••••• S•••••••• I••• formerFeb 14, 2013 to Oct 2, 2018 · St. Louis, Mo
- F•••• T•••• S••••••••• I••• BD affiliatedDec 13, 2010 to Jun 3, 2011 · St. Louis, Mo
- U••• B•••••• I••••••••• I••• formerJun 3, 2010 to Sep 21, 2010 · Arnold, Mo
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to May 19, 2010 · Belleville, Il
- N•••••• I••••••••• I••• unclassifiedJul 13, 2007 to Nov 13, 2009 · Edwardsville, Il
- U••• B•••••• I••••••••• I••• formerJan 11, 2006 to Jul 5, 2007 · Alton, Il
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Apr 24, 2026, registered Apr 28, 2026 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 16, 2020, registered Sep 14, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to P•••• S••••••••• L••left Dec 13, 2019, registered Dec 16, 2019 (3 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to O•••• I••••••••• I•••left Oct 2, 2018, registered Oct 9, 2018 (7 days) · RIA to affiliated broker-dealer or bank
- F•••• T•••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Jun 3, 2011, registered Feb 14, 2013 (622 days) · Other
- U••• B•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••left Sep 21, 2010, registered Dec 13, 2010 (83 days) · Other
- P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••left May 19, 2010, registered Jun 3, 2010 (15 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to N•••••• I••••••••• I•••left Jul 5, 2007, registered Jul 13, 2007 (8 days) · Other
Signals
- J•••• R••••• W•••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2026-04-28)Apr 24, 2026 · Advisor changed firm · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address