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Registered advisor
J••••• E•••• S••••••••
Feed of 09/14/2026
Also filed as J••• S••••••••• S••••••••
At current firm
8 y
since Jan 17, 2018
In the industry
20 y
since Jul 24, 2006 (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
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 17, 2018 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 23, 2009 to Jan 18, 2018 · San Diego, Ca
- T• A••••••••• I••• formerOct 23, 2009 to Jan 18, 2018 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 31, 2008 to Oct 2, 2009 · La Jolla, Ca
- W•••• F•••• A••••••• wirehouseJun 6, 2007 to Oct 31, 2008 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Jan 18, 2018, registered Jan 17, 2018 (-1 days) · RIA to wirehouse
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 18, 2018, registered Oct 23, 2009 (-3009 days) · channel change inside one enterprise, not a move · moved with a team
- U•• F•••••••• S••••••• I••• to T• A••••••••• I•••left Oct 2, 2009, registered Oct 23, 2009 (21 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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