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Registered advisor
C••••••••• L•• J••••
Feed of 09/14/2026
Also filed as Chris J••••
At current firm
7 y
since May 21, 2019
In the industry
29 y
since Jul 29, 1997 (earliest exam, job or registration)
Prior registered firms
3
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
- L•• F•••••••• L•• BD affiliated currentsince May 21, 2019 · Conroe, Tx
- C••••• A••••••• L•• formerJun 17, 2011 to May 30, 2019 · Greenwood Village, Co
- N••• F•••••••• G••••• I••• formerAug 3, 2007 to Jun 20, 2011 · Conroe, Tx
- U•• F•••••••• S••••••• I••• wirehouseMay 9, 2000 to May 24, 2002 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- C••••• A••••••• L•• to L•• F•••••••• L••left May 30, 2019, registered May 21, 2019 (-9 days) · Affiliated broker-dealer or bank to independent RIA
- N••• F•••••••• G••••• I••• to C••••• A••••••• L••left Jun 20, 2011, registered Jun 17, 2011 (-3 days) · Other
- U•• F•••••••• S••••••• I••• to N••• F•••••••• G••••• I•••left May 24, 2002, registered Aug 3, 2007 (1897 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