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Feed of 09/14/2026
Also filed as E•••• G•••••••
At current firm
15 y
since Mar 11, 2011
In the industry
20 y
since Oct 21, 2005 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Mar 11, 2011 · Modesto, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 8, 2009 to Mar 9, 2011 · Sacramento, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 18, 2008 to Feb 12, 2009 · Modesto, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Feb 4, 2008 · Napa, Ca
- C••••••• I••••••••• S••••••• unclassifiedOct 19, 2006 to May 29, 2007 · Tracy, Ca
- A• G• E•••••• • S•••• I••• unclassifiedOct 24, 2005 to Sep 27, 2006 · Modesto, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• A•••••••• L•• to E••••• J••••left Mar 9, 2011, registered Mar 11, 2011 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••left Feb 12, 2009, registered May 8, 2009 (85 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 4, 2008, registered Mar 18, 2008 (43 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to C••••••• I••••••••• S•••••••left Sep 27, 2006, registered Oct 19, 2006 (22 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address