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Registered advisor
T••••• J•• S••••
Feed of 09/15/2026
Also filed as T••••• J. S••••
At current firm
5 y
since Aug 2, 2021
In the industry
21 y
since Nov 10, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 2, 2021 · Murrieta, Ca
- C••• F•••••••• S•••••••• L••• formerMay 15, 2020 to Aug 2, 2021 · Yuma, Az
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliatedJan 4, 2017 to Mar 18, 2020 · San Diego, Ca
- N••• F•••••• A•••• M••••••••• L•• formerOct 1, 2008 to Jan 4, 2017 · Vienna, Va
- C••••••• S••••••••• formerMay 4, 2007 to Jul 1, 2008 · San Diego, Ca
- Z•••• C•••••• A•••••••• I••• institutionalNov 11, 2004 to May 27, 2005 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Aug 2, 2021, registered Aug 2, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- N••• F•••••• I••••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Mar 18, 2020, registered May 15, 2020 (58 days) · Affiliated broker-dealer or bank to another
- N••• F•••••• A•••• M••••••••• L•• to N••• F•••••• I••••••••• S•••••••• L••left Jan 4, 2017, registered Jan 4, 2017 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• to N••• F•••••• A•••• M••••••••• L••left Jul 1, 2008, registered Oct 1, 2008 (92 days) · Other
- Z•••• C•••••• A•••••••• I••• to C••••••• S•••••••••left May 27, 2005, registered May 4, 2007 (707 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address