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Registered advisor
J••••••• L••••
Feed of 09/14/2026
Also filed as J••••••• A• L••••
At current firm
10 y
since Mar 28, 2016
In the industry
23 y
since Apr 1, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 28, 2016 · New York, Ny
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 4, 2015 to Mar 21, 2016 · St. Louis, Mo
- B••••••• C•••••• I••• formerApr 7, 2009 to Dec 4, 2015 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to J••• M••••• S••••••••• L••left Mar 21, 2016, registered Mar 28, 2016 (7 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address