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Feed of 09/14/2026
Also filed as J••• C••••••••• F••••••••
At current firm
7 y
since Nov 12, 2018
In the industry
14 y
since May 3, 2012 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince Nov 12, 2018 · Long Beach, Ca
- R•••••• J•••• • A••••••••• I••• national BDDec 12, 2014 to Nov 15, 2018 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 4, 2012 to Dec 22, 2014 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Nov 15, 2018, registered Nov 12, 2018 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 22, 2014, registered Dec 12, 2014 (-10 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address