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J•••••• W•••••• C••••••
Registered advisorat A••••••••• F•••••••• S•••••••• L••Dual registrant· Woodland Hills, Ca IAPD 5701194
As of · the IAPD feed; also filed as J••• C••••••••• W•••••• C••••••
- At current firm
- 10 y
- In the industry
- 16 y
- Prior registered firms
- 1
- Signals
- 0
since May 26, 2016
As of · the IAPD feed; also filed as J••• C••••••••• W•••••• C••••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 26, 2016 · Westlake Village, Ca
- E•••••••• A•••••••• L•• national BDOct 1, 2009 to Jun 10, 2016 · Lynnwood, Wa
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 10, 2016, registered May 26, 2016 (-15 days) · Affiliated broker-dealer or bank to another
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address