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Registered advisor
J••• E••••• C•••••••
Personal Financial Specialist
Feed of 09/14/2026
At current firm
18 y
since Sep 15, 2008
In the industry
23 y
since Sep 1, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 15, 2008 · Yarmouth, Me
- U••••• S••••••••• A•••••••• I••• unclassifiedApr 27, 2007 to Dec 31, 2007 · Englewood, Co
- U••••• S••••••••• A•••••••• I••• unclassifiedApr 27, 2007 to Dec 31, 2008 · Greenwood Village, Co
- O•••• W•••••• I••• BD affiliatedMar 1, 2007 to Sep 15, 2008 · West Farmington, Me
- U••••• S••••••••• A•••••••• I••• unclassifiedOct 10, 2006 to Mar 1, 2007 · Gorham, Me
Moves
a registration end followed by a registration begin elsewhere
- U••••• S••••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 31, 2008, registered Sep 15, 2008 (-107 days) · Other
- O•••• W•••••• I••• to U••••• S••••••••• A•••••••• I•••left Sep 15, 2008, registered Apr 27, 2007 (-507 days) · Other
- U••••• S••••••••• A•••••••• I••• to O•••• W•••••• I•••left Mar 1, 2007, registered Mar 1, 2007 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address