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RIA Intelligence
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Registered advisor
J•••• S••••• R•••
Feed of 09/14/2026
At current firm
11 y
since Aug 4, 2015
In the industry
44 y
since Jun 16, 1982 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- O••••••••• • C•• I••• BD affiliated currentsince Aug 4, 2015 · Scottsdale, Az
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 29, 2015 · Tempe, Az
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 11, 2001 to Jun 1, 2009 · Tempe, Az
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to O••••••••• • C•• I•••left Jun 29, 2015, registered Aug 4, 2015 (36 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address