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Registered advisor
J••• M••• L•••
Certified Financial Planner · Chartered Financial Analyst
Feed of 09/14/2026
At current firm
13 y
since May 16, 2013
In the industry
27 y
since Jun 11, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince May 16, 2013 · San Diego, Ca
- H•••••• T••••••• • K•••• L•• i••••••••• wealthMar 22, 2004 to May 21, 2013 · San Diego, Ca
- W••••• A••••••••• I••• unclassifiedSep 15, 2003 to Aug 12, 2004 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- H•••••• T••••••• • K•••• L•• to I••••••••• F•••••••• G••••• L••left May 21, 2013, registered May 16, 2013 (-5 days) · Other
- W••••• A••••••••• I••• to H•••••• T••••••• • K•••• L••left Aug 12, 2004, registered Mar 22, 2004 (-143 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address