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Registered advisor
D••••• J••••••• L••••
Feed of 09/14/2026
Also filed as D••••• J L••••
At current firm
12 y
since Feb 20, 2014
In the industry
21 y
since Jul 12, 2005 (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, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• A••••••• national BD currentsince Feb 20, 2014 · Cincinnati, Oh
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 29, 2010 to Nov 29, 2012 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedMar 23, 2010 to Aug 10, 2010 · Columbus, Oh
- W•••••• • R••• formerJul 14, 2009 to Jan 22, 2010 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedDec 24, 2008 to Jun 30, 2009 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- V•••• F•••••••• A•••••••• I••• to P•••••••• A•••••••left Nov 29, 2012, registered Feb 20, 2014 (448 days) · Other
- H••••••••• F•••••••• A••••••• to V•••• F•••••••• A•••••••• I•••left Aug 10, 2010, registered Sep 29, 2010 (50 days) · Other
- W•••••• • R••• to H••••••••• F•••••••• A•••••••left Jan 22, 2010, registered Mar 23, 2010 (60 days) · Other
- L•• F•••••••• L•• to W•••••• • R•••left Jun 30, 2009, registered Jul 14, 2009 (14 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address