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Registered advisor

J•••• M•••••• S••••

L•• F•••••••• L••BD affiliatedDry Ridge, Ky dual registrantIAPD 4024740

Feed of 09/14/2026

Also filed as J•••• M•••••• S••••

At current firm

2 y

since Feb 12, 2024

In the industry

25 y

since Jun 11, 2001 (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

L•• F•••••••• L•• BD affiliated current
since Feb 12, 2024 · Dry Ridge, Ky
E••••• J•••• national BD
Sep 20, 2019 to Jan 5, 2024 · Florence, Ky
P•• W••••• M••••••••• BD affiliated
Mar 10, 2017 to Dec 6, 2018 · Cincinnati, Oh
S•••••••• A••••••• L•• national BD
Jan 28, 2008 to Apr 6, 2016 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to L•• F•••••••• L••
left Jan 5, 2024, registered Feb 12, 2024 (38 days) · Affiliated broker-dealer or bank to another
P•• W••••• M••••••••• to E••••• J••••
left Dec 6, 2018, registered Sep 20, 2019 (288 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to P•• W••••• M•••••••••
left Apr 6, 2016, registered Mar 10, 2017 (338 days) · Other

Signals

J•••• M•••••• S•••• left E••••• J•••• for L•• F•••••••• L•• (registered 2024-02-12)
Jan 5, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address