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Registered advisor

J••••• A••••

U•• F•••••••• S••••••• I•••wirehouseNew York, Nydual registrantIAPD 3108969

Feed of 09/14/2026

Also filed as J••••• James A••••

At current firm

0 y

since May 4, 2026

In the industry

27 y

since Jun 1, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since May 4, 2026 · New York, Ny
M••••• S•••••• wirehouse
Jan 21, 2021 to May 19, 2026 · New York, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Jan 7, 2021 · Boston, Ma
S•••••••• A••••••• L•• national BD
Nov 24, 2015 to Jul 13, 2018 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to U•• F•••••••• S••••••• I•••
left May 19, 2026, registered May 4, 2026 (-15 days) · Wirehouse to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to M••••• S••••••
left Jan 7, 2021, registered Jan 21, 2021 (14 days) · Affiliated broker-dealer or bank to wirehouse
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

J••••• A•••• left M••••• S•••••• for U•• F•••••••• S••••••• I••• (registered 2026-05-04)
May 19, 2026 · Advisor changed firm · fact

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: Wirehousederived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address