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Registered advisor
J•••• P••••••
Feed of 09/14/2026
Also filed as Jim P••••••
At current firm
9 y
since Aug 31, 2017
In the industry
29 y
since Dec 10, 1996 (earliest exam, job or registration)
Prior registered firms
4
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
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Aug 31, 2017 · Glastonbury, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 4, 2012 to Sep 1, 2017 · Hartford, Ct
- L•• F•••••••• L•• BD affiliatedFeb 19, 2010 to Sep 11, 2012 · Avon, Ct
- U•• F•••••••• S••••••• I••• wirehouseOct 28, 2005 to Mar 12, 2010 · Hartford, Ct
- A•••••• I••• unclassifiedJul 30, 2001 to Nov 1, 2005 · Springfield, Ma
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Sep 1, 2017, registered Aug 31, 2017 (-1 days) · Other · moved with a team
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 11, 2012, registered Sep 4, 2012 (-7 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Mar 12, 2010, registered Feb 19, 2010 (-21 days) · Other
- A•••••• I••• to U•• F•••••••• S••••••• I•••left Nov 1, 2005, registered Oct 28, 2005 (-4 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