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Registered advisor
J•••• L•• D••••
Feed of 09/14/2026
Also filed as J•••• D••••
At current firm
12 y
since Mar 28, 2014
In the industry
20 y
since Nov 29, 2005 (earliest exam, job or registration)
Prior registered firms
3
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
- W•••• F•••• A••••••• wirehouse currentsince Mar 28, 2014 · San Jose, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 8, 2011 to Apr 10, 2014 · San Francisco, Ca
- C•••• I••••••••• S••••••• C•••• formerApr 21, 2010 to Dec 5, 2011 · San Jose, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 30, 2005 to May 10, 2010 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 10, 2014, registered Mar 28, 2014 (-13 days) · Other
- C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••left Dec 5, 2011, registered Dec 8, 2011 (3 days) · Other
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left May 10, 2010, registered Apr 21, 2010 (-19 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address