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Registered advisor
S••••••• J• M••••••
Feed of 09/15/2026
Also filed as S••••••• Daugherty
At current firm
1 y
since Mar 31, 2025
In the industry
18 y
since Nov 21, 2007 (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
S63, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lakeside Park, Ky
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 15, 2019 to Mar 31, 2025 · Covington, Ky
- F•••• T•••• S••••••••• I••• BD affiliatedSep 10, 2018 to Feb 15, 2019 · Cincinnati, Oh
- S•••••••• A••••••• L•• national BDDec 1, 2011 to Aug 10, 2017 · Covington, Ky
- M••••• S•••••• wirehouseSep 21, 2010 to Oct 5, 2011 · Florence, Ky
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 15, 2019, registered Mar 15, 2019 (28 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••left Aug 10, 2017, registered Sep 10, 2018 (396 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to S•••••••• A••••••• L••left Oct 5, 2011, registered Dec 1, 2011 (57 days) · Wirehouse to affiliated broker-dealer or bank
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address