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Registered advisor
J••••• W•••••• L•••••
Feed of 09/15/2026
Also filed as Joe L•••••
At current firm
0 y
since Feb 13, 2026
In the industry
28 y
since Dec 29, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Cincinnati, Oh
- U••• B•••••• I••••••••• I••• formerJan 22, 2019 to Feb 13, 2026 · Saint Paul, Mn
- F•••• T•••• S••••••••• I••• BD affiliatedNov 21, 2006 to Dec 7, 2018 · Newport, Ky
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 20, 2006 · Florence, Ky
- B••• O•• S••••••••• C••••••••• unclassifiedNov 19, 2004 to Jul 6, 2005 · Florence, Ky
- M••••• S•••••• D• I••• unclassifiedNov 2, 2002 to Oct 29, 2004 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Dec 7, 2018, registered Jan 22, 2019 (46 days) · Affiliated broker-dealer or bank to another
- C•••• I••••••••• S••••••• C•••• to F•••• T•••• S••••••••• I•••left Oct 20, 2006, registered Nov 21, 2006 (32 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• O•• S••••••••• C•••••••••left Oct 29, 2004, registered Nov 19, 2004 (21 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address