DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••••• F•••••••• N••••••
Rochester, 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 |
|---|---|---|---|---|---|---|
| C••••••••• F•••••••• N•••••• | National bd RIA | Mar 31, 2025 | n/a | yes | Rochester, NY | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Oct 11, 2024 | Apr 21, 2025 | no | SCOTTSDALE, AZ|ROCHESTER, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | C••••••••• F•••••••• N•••••• | Apr 21, 2025 | Mar 31, 2025 | -21 | Firm change | Ibd to ibd |
| A••••••• P••••••••• A•••••••• I•• | O•••• W•••••• I••• | Oct 11, 2024 | Oct 11, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 23131:8032:NY:2025-04-02 | Apr 21, 2025 | Mar 31, 2025 | ROCHESTER, NY | Firm change |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Jan 5, 2011 | Oct 11, 2024 | no | HOLBROOK, NY | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Sep 29, 2010 | Dec 16, 2010 | no | ROCHESTER, NY|ROCHESTER, NY | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| E•••••••• A•••••••• L•• | A••••••• P••••••••• A•••••••• I•• | Dec 16, 2010 | Jan 5, 2011 | 20 | Firm change | Other |