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Registered advisor
S••••• J•••• W•••••••
Feed of 09/15/2026
Also filed as Steve James Whitcomb
At current firm
20 y
since Nov 21, 2005
In the industry
27 y
since Oct 9, 1998 (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, 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
- C•••••• S••••• • C••• I••• national BD currentsince Nov 21, 2005 · Lexington, Ky
- L•• F•••••••• L•• BD affiliatedApr 7, 2005 to Nov 4, 2005 · Lexington, Ky
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 23, 2003 to Apr 4, 2005 · Lexington, Ky
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Nov 4, 2005, registered Nov 21, 2005 (17 days) · Other
- A••••••••• A•••••• S•••••••• I••• to L•• F•••••••• L••left Apr 4, 2005, registered Apr 7, 2005 (3 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address