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Feed of 09/14/2026
Also filed as D•••• L••••
At current firm
3 y
since Apr 14, 2023
In the industry
20 y
since Oct 5, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- E••••• J•••• national BD currentsince Apr 14, 2023 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseApr 11, 2019 to Apr 15, 2023 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 3, 2018 to Mar 29, 2019 · San Francisco, Ca
- S•••••••• I••••••••• M••••••••• formerSep 19, 2016 to Mar 8, 2018 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 6, 2005 to Jun 23, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to E••••• J••••left Apr 15, 2023, registered Apr 14, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 29, 2019, registered Apr 11, 2019 (13 days) · Wirehouse to wirehouse · moved with a team
- S•••••••• I••••••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2018, registered Apr 3, 2018 (26 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Jun 23, 2009, registered Sep 19, 2016 (2645 days) · Other
Signals
- D•••• L•••• left J••• M••••• S••••••••• L•• for E••••• J•••• (registered 2023-04-14)Apr 15, 2023 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address