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Registered advisor
J•••• P•••••• C••••
Feed of 09/14/2026
Also filed as Jim Chase
At current firm
4 y
since Nov 8, 2021
In the industry
16 y
since Dec 29, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- L•• F•••••••• L•• BD affiliated currentsince Nov 8, 2021 · Utica, Ny
- W•••• F•••• A••••••• wirehouseJun 26, 2017 to Jul 30, 2018 · Clinton, Ny
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Dec 31, 2016 · New Hartford, Ny
- L•• F•••••••• L•• BD affiliatedDec 23, 2013 to Sep 21, 2016 · Dewitt, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 30, 2018, registered Nov 8, 2021 (1197 days) · Wirehouse to affiliated broker-dealer or bank
- K•• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Dec 31, 2016, registered Jun 26, 2017 (177 days) · Other · moved with a team
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address