J•••• D••• L••••••

W•••• F•••• A•••••••wirehouseChicago, Il dual registrantIAPD 3211989

Feed of 09/15/2026

Also filed as J•••• L••••••

At current firm

3 y

since Feb 16, 2023

In the industry

27 y

since Jun 11, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Feb 16, 2023 · Robinson, Il
E••••• J•••• national BD
Jun 5, 2018 to Feb 16, 2023 · Robinson, Il
F•••• T•••• S••••••••• I••• BD affiliated
Apr 27, 2015 to Jun 8, 2018 · Terre Haute, In
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2013 to May 8, 2015 · Robinson, Il
M••••• K••••• • C••••••• L•• former
Jul 28, 2004 to Feb 13, 2013 · Vincennes, In
U•••• P••••••• I••••••••• A•••••••• I••• unclassified
Dec 18, 2003 to Aug 5, 2004 · Robinson, Il

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to W•••• F•••• A•••••••
left Feb 16, 2023, registered Feb 16, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse
F•••• T•••• S••••••••• I••• to E••••• J••••
left Jun 8, 2018, registered Jun 5, 2018 (-3 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to F•••• T•••• S••••••••• I•••
left May 8, 2015, registered Apr 27, 2015 (-11 days) · Other
M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
U•••• P••••••• I••••••••• A•••••••• I••• to M••••• K••••• • C••••••• L••
left Aug 5, 2004, registered Jul 28, 2004 (-8 days) · corporate re-registration, not a move

Signals

J•••• D••• L•••••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2023-02-16)
Feb 16, 2023 · 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