DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
BINGHAMTON, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Jun 1, 2026 | n/a | yes | BINGHAMTON, NY | Current employment |
| C••••••••• W•••••• L•• | Independent wealth | Oct 26, 2020 | Jun 9, 2026 | no | OVERLAND PARK, KS|Binghamton, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••••• W•••••• L•• | L•• F•••••••• L•• | Jun 9, 2026 | Jun 1, 2026 | -8 | Firm change | RIA to ibd |
| P••••••••• A••••••• S••••••• L•• | C••••••••• W•••••• L•• | Nov 6, 2020 | Oct 26, 2020 |
| P••••••••• A••••••• S••••••• L•• | Former SEC adviser | Mar 6, 2009 | Nov 6, 2020 | no | BINGHAMTON, NY|VESTAL, NY|SANTA BARBARA, CA | Previous registration |
| S•••• H•••• I••••••••• M••••••••• L•• | Independent wealth | Jul 17, 2007 | Apr 29, 2009 | no | VESTAL, NY|TUNKHANNOCK, PA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | May 13, 2002 | Jun 8, 2007 | no | ENDICOTT, NY|VESTAL, NY | Previous registration |
| -11 |
| Bulk transfer |
| RIA to RIA |
| S•••• H•••• I••••••••• M••••••••• L•• | P••••••••• A••••••• S••••••• L•• | Apr 29, 2009 | Mar 6, 2009 | -54 | Firm change after gap | Other |
| E•••••••• A•••••••• L•• | S•••• H•••• I••••••••• M••••••••• L•• | Jun 8, 2007 | Jul 17, 2007 | 39 | Firm change | Other |