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Feed of 09/19/2026
Also filed as J••••• Thomas B••••
At current firm
0 y
since Sep 18, 2026
In the industry
13 y
since Jul 1, 2013 (earliest exam, job or registration)
Prior registered firms
3
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
- M••••• S•••••• wirehouse currentsince Sep 18, 2026 · Sandy, Ut
- C•••••• S••••• • C••• I••• national BDOct 4, 2022 to Sep 5, 2026 · Salt Lake City, Ut
- T• A••••••••• I••• formerApr 25, 2018 to Oct 14, 2022 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 26, 2016 to Apr 3, 2018 · Indian Wells, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to M••••• S••••••left Sep 5, 2026, registered Sep 18, 2026 (13 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Oct 4, 2022 (-10 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Apr 3, 2018, registered Apr 25, 2018 (22 days) · Other
Signals
- J••••• B•••• registered as an investment adviser representative at M••••• S••••••Sep 18, 2026 · Advisor registered · fact
- J••••• B•••• left C•••••• S••••• • C••• I••• for M••••• S•••••• (registered 2026-09-18)Sep 5, 2026 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address