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Feed of 09/14/2026
Also filed as M•••••• P••• D•••
At current firm
2 y
since Oct 2, 2023
In the industry
24 y
since Nov 1, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Oct 2, 2023 · Ogden, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 17, 2022 to Oct 9, 2023 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 23, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 3, 2007 to Jul 13, 2018 · Salt Lake City, Ut
- P•••• S••••••••• L•• no RAUMApr 1, 2002 to May 14, 2004 · Riverdale, Ut
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Oct 9, 2023, registered Oct 2, 2023 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 23, 2022, registered Nov 17, 2022 (239 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to S•••••••• A••••••• L••left May 14, 2004, registered Jan 3, 2007 (964 days) · Other
Signals
- M•••••• P••• D••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2023-10-02)Oct 9, 2023 · Advisor changed firm · fact
- M•••••• P••• D••• left F••••••• P••••••• A•• W•••••••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-17)Mar 23, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address