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RIA Intelligence
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Feed of 09/14/2026
Also filed as T••• J• L•••••••
At current firm
3 y
since May 23, 2023
In the industry
30 y
since Nov 7, 1995 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- E••••• J•••• national BD currentsince May 23, 2023 · Crookston, Mn
- I••••• F•••••••• C••••••••• formerSep 9, 2003 to Jan 17, 2017 · Hallock, Mn
- C••••• A•••••• N••••••• L•• formerMar 10, 2003 to Sep 16, 2003 · Ada, Mn
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to E••••• J••••left Jan 17, 2017, registered May 23, 2023 (2317 days) · Other
- C••••• A•••••• N••••••• L•• to I••••• F•••••••• C•••••••••left Sep 16, 2003, registered Sep 9, 2003 (-7 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address