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J•••••• A•••• P•••••
First Vice President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Irvine, CaIAPD 873768
As of · the IAPD feed
- At current firm
- 16 y
- In the industry
- 40 y
- Prior registered firms
- 5
- Signals
- 0
since Oct 1, 2009
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- First Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 1, 2009 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Oct 2, 2009 · Laguna Beach, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 28, 2005 to Jan 1, 2008 · Laguna Beach, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Aug 8, 2005 · Newport Beach, Ca
- C•••••••• I••••••••• R•••••••• I••• unclassifiedMar 6, 2003 to Mar 28, 2005 · Newport Beach, Ca
- M••••• S•••••• D• I••• unclassifiedOct 25, 2001 to Nov 25, 2002 · Costa Mesa, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 2, 2009, registered Oct 1, 2009 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A• G• E•••••• • S•••• I•••left Aug 8, 2005, registered Jul 28, 2005 (-11 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• I••••••••• R•••••••• I•••left Nov 25, 2002, registered Mar 6, 2003 (101 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address