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Registered advisor
J•• M•••••• L•••••
Feed of 09/14/2026
Also filed as J•• M•••••• L••••••••• L•••••
At current firm
11 y
since May 21, 2015
In the industry
28 y
since Oct 31, 1997 (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
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
- W•••• F•••• A••••••• wirehouse currentsince May 21, 2015 · Santa Ana, Ca
- W•••• F•••• A••••••• wirehouseMay 4, 2007 to May 21, 2015 · Anaheim, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to May 4, 2007 · Santa Ana, Ca
- M••••• S•••••• D• I••• unclassifiedFeb 7, 2003 to Apr 2, 2007 · Santa Ana, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 17, 1998 to Feb 26, 2003 · Orange, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left May 21, 2015, registered May 21, 2015 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left May 4, 2007, registered May 4, 2007 (0 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Feb 26, 2003, registered Feb 7, 2003 (-19 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address