J•••• L•••••• M•••••

U•• F•••••••• S••••••• I•••wirehouseAustin, Tx dual registrantIAPD 5986137

Feed of 09/15/2026

Also filed as J•••• M••••••••• M•••••

At current firm

2 y

since Apr 5, 2024

In the industry

14 y

since Nov 15, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since Apr 5, 2024 · Austin, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 3, 2021 to May 2, 2022 · San Diego, Ca
E•••••• A••••••• G••••• L•• BD affiliated
Aug 20, 2021 to Oct 11, 2021 · San Marcos, Ca
W•••• F•••• A••••••• wirehouse
May 23, 2019 to Aug 11, 2021 · San Diego, Ca
J••• M••••• S••••••••• L•• wirehouse
Nov 15, 2018 to Jun 11, 2019 · Encinitas, Ca
M••••• S•••••• wirehouse
Dec 15, 2017 to Jun 29, 2018 · Carlsbad, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 27, 2014 to Jan 4, 2018 · Temecula, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••
left May 2, 2022, registered Apr 5, 2024 (704 days) · Affiliated broker-dealer or bank to wirehouse
E•••••• A••••••• G••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Oct 11, 2021, registered Nov 3, 2021 (23 days) · Other
W•••• F•••• A••••••• to E•••••• A••••••• G••••• L••
left Aug 11, 2021, registered Aug 20, 2021 (9 days) · Other · moved with a team
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Jun 11, 2019, registered May 23, 2019 (-19 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• to J••• M••••• S••••••••• L••
left Jun 29, 2018, registered Nov 15, 2018 (139 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Jan 4, 2018, registered Dec 15, 2017 (-20 days) · Wirehouse to wirehouse

Signals

••• Locked
May 2, 2022 · Advisor changed firm · fact

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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address