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Registered advisor
J•••• T•••• C•••
Feed of 09/14/2026
Also filed as J•••• Thomas C•••
At current firm
1 y
since Jan 1, 2025
In the industry
18 y
since Jul 1, 2008 (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
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Jan 1, 2025 · Arcadia, Ca
- S•••• F••• I••••••••• M••••••••• C•••• asset managerJan 31, 2020 to Mar 24, 2021 · El Monte, Ca
- W•••• F•••• A••••••• wirehouseAug 9, 2012 to Mar 6, 2013 · San Gabriel, Ca
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to Mar 16, 2012 · Montebello, Ca
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 9, 2011 to Oct 11, 2011 · Montebello, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 2, 2008 to Oct 6, 2009 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••• F••• I••••••••• M••••••••• C••••left Mar 6, 2013, registered Jan 31, 2020 (2522 days) · Other
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Mar 16, 2012, registered Aug 9, 2012 (146 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Oct 6, 2009, registered Sep 9, 2011 (703 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address