DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Madison, CT | Fairfield, CT
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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | Dec 21, 2023 | n/a | yes | Fairfield, CT|Madison, CT | Current employment |
| M••••• S•••••• | Wirehouse | Sep 5, 2023 | Nov 28, 2023 | no | Purchase, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | C•••••• S••••• • C••• I••• | Nov 28, 2023 | Dec 21, 2023 | 23 | Firm change | Wirehouse to ibd |
| E•••••• C•••••• M••••••••• L•• | M••••• S•••••• | Sep 5, 2023 | Sep 5, 2023 |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Oct 6, 2017 | Sep 5, 2023 | no | Scarsdale, NY|ARLINGTON, VA|Purchase, NY | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Sep 8, 2015 | Sep 13, 2017 | no | STAMFORD, CT | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Oct 31, 2012 | Jul 22, 2015 | no | STAMFORD, CT | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Oct 31, 2012 | Jul 22, 2015 | no | STAMFORD, CT | Previous registration |
| R••• A•••••••• L•• | Former SEC adviser | Jun 16, 2011 | Oct 27, 2011 | no | DANBURY, CT | Previous registration |
| O•••• I••••••••• I••• | Bd affiliated wealth | Jan 31, 2008 | Jun 8, 2011 | no | DARIEN, CT|NORWALK, CT|NORWALK, CT|NORWALK, CT|ROWAYTON, CT|NORWALK, CT|STAMFORD, CT|NORWALK, CT|NORWALK, CT|RIDGEFIELD, CT|NORWALK, CT | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | May 17, 2002 | Jan 14, 2003 | no | STAMFORD, CT | Previous registration |
| 0 |
| Bulk transfer |
| RIA to wirehouse |
| S•••••••• A••••••• L•• | E•••••• C•••••• M••••••••• L•• | Sep 13, 2017 | Oct 6, 2017 | 23 | Firm change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Jul 22, 2015 | Oct 31, 2012 | -994 | Channel change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | S•••••••• A••••••• L•• | Jul 22, 2015 | Sep 8, 2015 | 48 | Firm change | Other |
| R••• A•••••••• L•• | T• A••••••••• I••• | Oct 27, 2011 | Oct 31, 2012 | 370 | Firm change | Other |
| O•••• I••••••••• I••• | R••• A•••••••• L•• | Jun 8, 2011 | Jun 16, 2011 | 8 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | O•••• I••••••••• I••• | Jan 14, 2003 | Jan 31, 2008 | 1,843 | Firm change after gap | Other |