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Registered advisor
L•••• J••••• N•••••
Feed of 09/15/2026
Also filed as L•••• N•••••
At current firm
9 y
since Jun 23, 2017
In the industry
19 y
since Jun 27, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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 Jun 23, 2017 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 23, 2014 to Jul 6, 2017 · Temecula, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 10, 2011 to May 16, 2014 · Rancho Bernardo, Ca
- T• A••••••••• I••• formerNov 10, 2011 to May 16, 2014 · San Diego, Ca
- C•••••• S••••• • C••• I••• national BDJun 10, 2008 to Nov 4, 2011 · Brea, Ca
- M••••• S•••••• • C•• L•• unclassifiedJun 28, 2007 to Mar 18, 2008 · Santa Ana, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 6, 2017, registered Jun 23, 2017 (-13 days) · Wirehouse to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 16, 2014, registered Nov 10, 2011 (-918 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 16, 2014, registered Nov 10, 2011 (-918 days) · Other
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Nov 4, 2011, registered Nov 10, 2011 (6 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• S•••••• • C•• L•• to C•••••• S••••• • C••• I•••left Mar 18, 2008, registered Jun 10, 2008 (84 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address