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Registered advisor
M•••••• J• C•••••
Feed of 09/14/2026
Also filed as M•••••• James C•••••
At current firm
1 y
since Mar 31, 2025
In the industry
26 y
since Oct 30, 1999 (earliest exam, job or registration)
Prior registered firms
4
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Atlanta, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 8, 2020 to Mar 31, 2025 · Atlanta, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 15, 2017 to May 19, 2020 · Alpharetta, Ga
- T• A••••••••• I••• formerFeb 15, 2017 to May 19, 2020 · Alpharetta, Ga
- C•••••• S••••• • C••• I••• national BDAug 19, 2009 to Jan 20, 2016 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 19, 2020, registered Jun 8, 2020 (20 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 19, 2020, registered Feb 15, 2017 (-1189 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Jan 20, 2016, registered Feb 15, 2017 (392 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address