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Registered advisor
B••••••• J•• L••••••••
Feed of 09/14/2026
Also filed as B••••••• J• L••••••••• L••••••••
At current firm
5 y
since Mar 30, 2021
In the industry
19 y
since Jun 11, 2007 (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
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Mar 30, 2021 · Sunnyvale, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 16, 2020 to Dec 31, 2020 · Cupertino, Ca
- T• A••••••••• I••• formerJun 16, 2020 to Jan 11, 2021 · Cupertino, Ca
- U••• B•••••• I••••••••• I••• formerAug 2, 2017 to May 15, 2020 · San Jose, Ca
- S•••••••• A••••••• L•• national BDJun 8, 2012 to Oct 27, 2014 · Campbell, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Jan 11, 2021, registered Mar 30, 2021 (78 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jun 16, 2020 (-198 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 15, 2020, registered Jun 16, 2020 (32 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 27, 2014, registered Aug 2, 2017 (1010 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address