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Registered advisor
J••••• E• S••••
Feed of 09/14/2026
Also filed as Jasper Smith
At current firm
1 y
since Nov 14, 2024
In the industry
18 y
since Jan 11, 2008 (earliest exam, job or registration)
Prior registered firms
5
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Walnut Creek, Ca
- P•••• S••••••••• L•• no RAUMJun 15, 2021 to Nov 14, 2024 · Walnut Creek, Ca
- P•••• S••••••••• L•• no RAUMJul 8, 2015 to Dec 28, 2015 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 12, 2011 to Nov 7, 2013 · Oakland, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 11, 2010 to May 26, 2011 · Walnut Creek, Ca
- O•••• F•• I••• formerApr 9, 2009 to Aug 31, 2009 · San Ramon, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Nov 7, 2013, registered Jul 8, 2015 (608 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 26, 2011, registered Sep 12, 2011 (109 days) · Other
- O•••• F•• I••• to N••••••••• M••••• I••••••••• S•••••••••left Aug 31, 2009, registered Jan 11, 2010 (133 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address