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Registered advisor
J••••• D••• A•••
Feed of 09/15/2026
Also filed as J••••• A•••
At current firm
4 y
since Jan 14, 2022
In the industry
23 y
since Mar 3, 2003 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jan 14, 2022 · Long Beach, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJan 10, 2013 to Jan 24, 2022 · Long Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 4, 2013 · Seal Beach, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Torrance, Ca
- W••• I••••••••• I••• unclassifiedJan 7, 2004 to May 2, 2009 · Torrance, Ca
- M••••• S•••••• D• I••• unclassifiedMar 5, 2003 to Dec 10, 2003 · Costa Mesa, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••left Jan 24, 2022, registered Jan 14, 2022 (-10 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to U••• B•••••• A•••••••• L••left Jan 4, 2013, registered Jan 10, 2013 (6 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to W••• I••••••••• I•••left Dec 10, 2003, registered Jan 7, 2004 (28 days) · Other
Signals
- J••••• D••• A••• left U••• B•••••• A•••••••• L•• for W•••• F•••• A••••••• (registered 2022-01-14)Jan 24, 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address