A••••• J• S••••

S•••••••• A••••••• L••national BDAustin, Txdual registrantIAPD 2821239

Feed of 09/14/2026

Also filed as D••• J••••• S••••••••• J••••• S••••••••• S••••

At current firm

1 y

since Jul 15, 2025

In the industry

29 y

since Dec 3, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Jul 15, 2025 · Austin, Tx
C•••••• S••••• • C••• I••• national BD
May 23, 2020 to Jan 9, 2024 · Austin, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to May 24, 2020 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
Mar 25, 2011 to Jan 8, 2018 · Addison, Tx
E••••• J•••• national BD
Nov 9, 2009 to Jan 3, 2011 · St Louis, Mo
S•••••••• A••••••• L•• national BD
Aug 14, 2006 to Oct 30, 2009 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••
left Jan 9, 2024, registered Jul 15, 2025 (553 days) · Affiliated broker-dealer or bank to another
U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left May 24, 2020, registered May 23, 2020 (-1 days) · corporate re-registration, not a move
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
E••••• J•••• to U••• F•••••••• P••••••• S•••••••
left Jan 3, 2011, registered Mar 25, 2011 (81 days) · Affiliated broker-dealer or bank to a newly registered adviser
S•••••••• A••••••• L•• to E••••• J••••
left Oct 30, 2009, registered Nov 9, 2009 (10 days) · Affiliated broker-dealer or bank to another

Signals

••• Locked
Jan 9, 2024 · 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: National broker-dealer RIAderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address