J•••• N•••• F•••••

U••• B•••••• A•••••••• L••BD affiliatedSaint Paul, Mn dual registrantIAPD 4820609

Feed of 09/14/2026

Also filed as J•••• N• F••••••••• F••••••••• N•••• F•••••

At current firm

7 y

since Nov 21, 2018

In the industry

22 y

since Jul 10, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Nov 21, 2018 · Saint Paul, Mn
C••••• A•••••• N••••••• L•• former
Nov 10, 2011 to Nov 14, 2018 · El Segundo, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Sep 8, 2006 to Nov 27, 2009 · El Segundo, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to U••• B•••••• A•••••••• L••
left Nov 14, 2018, registered Nov 21, 2018 (7 days) · Affiliated broker-dealer or bank to another
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C••••• A•••••• N••••••• L••
left Nov 27, 2009, registered Nov 10, 2011 (713 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address