J•••• J••••• Y••••••

M••••••BD affiliatedNewport Beach, Cadual registrantIAPD 2847197

Feed of 09/14/2026

Also filed as Jay Y••••••

At current firm

1 y

since Dec 4, 2024

In the industry

29 y

since Jan 29, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Dec 4, 2024 · Newport Beach, Ca
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 2, 2013 to Dec 9, 2024 · Newport Beach, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Jul 25, 2006 to Dec 20, 2012 · Los Angeles, Ca
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Mar 28, 2005 to Aug 7, 2006 · Newport Beach, Ca
C•••••••• I••••••••• R•••••••• I••• unclassified
Mar 18, 1999 to Mar 28, 2005 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••••
left Dec 9, 2024, registered Dec 4, 2024 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 20, 2012, registered Jan 2, 2013 (13 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••
left Aug 7, 2006, registered Jul 25, 2006 (-13 days) · Other
C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move

Signals

J•••• J••••• Y•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for Mariner (registered 2024-12-04)
Dec 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: 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