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Advisor at COMPASS ADVISORS
MELVILLE, 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 |
|---|---|---|---|---|---|---|
| COMPASS ADVISORS | Independent wealth | Oct 14, 2021 | n/a | yes | MELVILLE, NY | Current employment |
| PRINCIPAL SECURITIES, INC. | Bd affiliated wealth | Dec 19, 2007 | Mar 30, 2015 | no | WALTHAM, MA|DES MOINES, IA|PURCHASE, NY|PURCHASE, NY|WALTHAM, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRINCIPAL SECURITIES, INC. | COMPASS ADVISORS | Mar 30, 2015 | Oct 14, 2021 | 2,390 | Firm change after gap | Other |