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Registered advisor
R•••• J••• H•••••
Feed of 09/14/2026
Also filed as R•••• J••• Smith
At current firm
14 y
since Nov 15, 2011
In the industry
25 y
since May 1, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- W•••• F•••• A••••••• wirehouse currentsince Nov 15, 2011 · Chandler, Az
- C•••• I••••••••• S••••••• C•••• formerJul 14, 2009 to Nov 7, 2011 · Sun Lakes, Az
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Nov 7, 2011, registered Nov 15, 2011 (8 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address