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Registered advisor
X••• L• J••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as Lulu J••••
At current firm
4 y
since Jan 31, 2022
In the industry
12 y
since Apr 1, 2014 (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
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 31, 2022 · Pleasanton, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 4, 2021 to Sep 7, 2023 · Walnut Creek, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 6, 2019 to Dec 31, 2020 · East Palo Alto, Ca
- T• A••••••••• I••• formerDec 6, 2019 to Oct 14, 2022 · Walnut Creek, Ca
- C•••••• S••••• • C••• I••• national BDAug 9, 2018 to Nov 8, 2019 · San Francisco, Ca
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 31, 2022 (-584 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 4, 2021 (-648 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Dec 6, 2019 (-391 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 8, 2019, registered Dec 6, 2019 (28 days) · channel change inside one enterprise, not a move
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address