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Registered advisor
C••••• S•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as C••••• James S•••••
At current firm
1 y
since Jul 7, 2025
In the industry
10 y
since Jan 26, 2016 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••• F••••••••• L••• BD affiliated currentsince Jul 7, 2025 · Folsom, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 18, 2022 to Jun 15, 2025 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedJan 13, 2021 to May 31, 2022 · Durant, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 9, 2017 to Jan 13, 2021 · Denton, Tx
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 2, 2016 to Apr 28, 2016 · Ft Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to A••••••• F••••••••• L•••left Jun 15, 2025, registered Jul 7, 2025 (22 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left May 31, 2022, registered Oct 18, 2022 (140 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 13, 2021, registered Jan 13, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank
- N••••••••• M••••• I••••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 28, 2016, registered May 9, 2017 (376 days) · Other
Signals
- C••••• S••••• left J••• M••••• S••••••••• L•• for A••••••• F••••••••• L••• (registered 2025-07-07)Jun 15, 2025 · Advisor changed firm · fact
- C••••• S••••• left L•• F•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-10-18)May 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address