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J•• C•••••• H••
As of · the IAPD feed; also filed as T••• C•• H•••••• C• H••••••• C• H••••••• H•••••• H••
- At current firm
- 4 y
- In the industry
- 11 y
- Prior registered firms
- 6
- Signals
- 0
since Jan 26, 2022
As of · the IAPD feed; also filed as T••• C•• H•••••• C• H••••••• C• H••••••• H•••••• H••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Irvine, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 6, 2019 to Sep 7, 2023 · Irvine, Ca
- T• A••••••••• I••• formerNov 6, 2019 to Oct 14, 2022 · Irvine, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 28, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 14, 2016 to Jul 13, 2018 · Irvine, Ca
- J••• M••••• S••••••••• L•• wirehouseAug 8, 2016 to Oct 28, 2016 · Los Angeles, Ca
All 6 prior registrationsShow fewer
- C•••••• S••••• • C••• I••• national BDMay 20, 2015 to Jun 20, 2016 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Nov 6, 2019 (-1073 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to T• A••••••••• I•••left Sep 28, 2018, registered Nov 6, 2019 (404 days) · Other
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to S•••••••• A••••••• L••left Oct 28, 2016, registered Nov 14, 2016 (17 days) · Wirehouse to affiliated broker-dealer or bank
All 6 movesShow fewer
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Jun 20, 2016, registered Aug 8, 2016 (49 days) · Affiliated broker-dealer or bank to wirehouse
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address