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Registered advisor
J•••• L•• R••••••
Feed of 09/14/2026
At current firm
4 y
since Oct 4, 2021
In the industry
29 y
since Nov 1, 1996 (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
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
- A••••••• W••••• A••••••• BD affiliated currentsince Oct 4, 2021 · Angleton, Tx
- S•••••••• F••••••••• I••• formerNov 19, 2013 to Oct 18, 2021 · Angleton, Tx
- S••••••••• A•••••• A•••••••• I••• formerSep 30, 2013 to Nov 18, 2013 · Angleton, Tx
- C••••••••• F•••••••• N•••••• national BDFeb 17, 2009 to Oct 23, 2013 · Sugar Land, Tx
- L•• F•••••••• L•• BD affiliatedNov 13, 2002 to Feb 23, 2009 · Angleton, Tx
- I••••••••• P••••••••• I••• formerSep 14, 2001 to Oct 21, 2002 · Clute, Tx
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to A••••••• W••••• A•••••••left Oct 18, 2021, registered Oct 4, 2021 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to S•••••••• F••••••••• I•••left Nov 18, 2013, registered Nov 19, 2013 (1 days) · Other
- C••••••••• F•••••••• N•••••• to S••••••••• A•••••• A•••••••• I•••left Oct 23, 2013, registered Sep 30, 2013 (-23 days) · Other
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Feb 23, 2009, registered Feb 17, 2009 (-6 days) · Other
- I••••••••• P••••••••• I••• to L•• F•••••••• L••left Oct 21, 2002, registered Nov 13, 2002 (23 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address