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RIA Intelligence
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Registered advisor
T•••••• J••••• S•••••••
Feed of 09/14/2026
At current firm
9 y
since Jul 25, 2017
In the industry
43 y
since Feb 17, 1983 (earliest exam, job or registration)
Prior registered firms
1
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
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Jul 25, 2017 · Glastonbury, Ct
- W•••• F•••• A••••••• wirehouseAug 5, 2000 to Jul 24, 2017 · Old Saybrook, Ct
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Jul 24, 2017, registered Jul 25, 2017 (1 days) · Other · moved with a team
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address