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Registered advisor
J••••• D••••••• A••••
Feed of 09/15/2026
Also filed as J••••• Marie D•••••••
At current firm
11 y
since Aug 10, 2015
In the industry
45 y
since Dec 9, 1980 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••••••••• F•••••••• N•••••• national BD currentsince Aug 10, 2015 · Portland, Or
- R•••••• J•••• • A••••••••• I••• national BDFeb 21, 2014 to Jul 29, 2015 · Palm Desert, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 30, 2007 to Feb 24, 2014 · Indian Wells, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Dec 13, 2007 · Palm Desert, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to C••••••••• F•••••••• N••••••left Jul 29, 2015, registered Aug 10, 2015 (12 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Feb 24, 2014, registered Feb 21, 2014 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 13, 2007, registered Nov 30, 2007 (-13 days) · Other
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address