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Registered advisor
J••••• S•••••
Feed of 09/15/2026
Also filed as J••••• Deann S•••••
At current firm
6 y
since Nov 20, 2019
In the industry
20 y
since Sep 27, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- R•• C•••••• M••••••• L•• national BD currentsince Nov 20, 2019 · Williamsville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2010 to Mar 27, 2018 · Garden City, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 4, 2010 to Apr 29, 2010 · Latham, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 16, 2006 to Aug 3, 2009 · Garden City, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Mar 27, 2018, registered Nov 20, 2019 (603 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 29, 2010, registered Jul 27, 2010 (89 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 3, 2009, registered Feb 4, 2010 (185 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address