L••• D••••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

HAUPPAUGE, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:14fad89f-7860-81be-e5cd-77c28e3abb5a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 30, 2004 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 20, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Mar 22, 2019	n/a	yes	HAUPPAUGE, NY	Current employment
F•••• E••••• A•••• M••••••••• I••	Former SEC adviser	May 4, 2012	Jan 10, 2019	no	HAUPPAUGE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• E••••• A•••• M••••••••• I••	S•••••• N••••••• • C••••••• I•••••••••	Jan 10, 2019	Mar 22, 2019	71	Firm change	Other
A••••••• A•••• M••••••••• I•••	F•••• E••••• A•••• M••••••••• I••	Jul 13, 2011	May 4, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
134411:793:NY:2019-01-10	Jan 10, 2019	Mar 22, 2019	HAUPPAUGE, NY	Firm change

Relationships

Registered with (5)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Mar 22, 2019 to presentfactForm ADV
→ F•••• E••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
May 4, 2012 to Jan 10, 2019factForm ADV
→ A••••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Apr 3, 2007 to Jul 13, 2011factForm ADV
→ B••• S•••••• A•••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14fad89f-7860-81be-e5cd-77c28e3abb5a
First observed: Jun 30, 2004
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.