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Registered advisor
C••••••••• J•••• L•••••
Feed of 09/14/2026
Also filed as C••••••••• L•••••
At current firm
10 y
since May 6, 2016
In the industry
21 y
since Sep 19, 2005 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 6, 2016 · Littleton, Co
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to May 16, 2016 · Greenwood Village, Co
- N•• E•••••• S••••••••• C••••••••• formerJun 5, 2008 to Jan 2, 2015 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left May 16, 2016, registered May 6, 2016 (-10 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address