DFX Intelligence
Reading the graph
Reading the graph
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Advisor at K•• I••••••••• S••••••• L••
BROOKLYN, OH | COHOES, 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 |
|---|---|---|---|---|---|---|
| K•• I••••••••• S••••••• L•• | Bd affiliated wealth | Jul 9, 2026 | n/a | yes | BROOKLYN, OH|COHOES, NY | Current employment |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Mar 17, 2022 | Jun 4, 2026 | no | LATHAM, NY|Stillwater, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••• A•• P••••••• S••••••• | K•• I••••••••• S••••••• L•• | Jun 4, 2026 | Jul 9, 2026 | 35 | Firm change | Ibd to ibd |
| C••••••• S••••••••• I••• | A••••• A•• P••••••• S••••••• | Feb 25, 2022 | Mar 17, 2022 |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Jul 7, 2020 | Feb 25, 2022 | no | SLINGERLANDS, NY|LATHAM, NY|ALBANY, NY|ALBANY, NY|ALBANY, NY|LOUDONVILLE, NY|GUILDERLAND, NY|ALBANY, NY|ALBANY, NY|WYNANTSKILL, NY|TROY, NY|PITTSFIELD, MA|ALBANY, NY|NISKAYUNA, NY|WORCESTER, NY | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jan 31, 2019 | Apr 28, 2020 | no | SARATOGA SPRINGS, NY | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jan 18, 2019 | Apr 28, 2020 | no | Saratoga Springs, NY | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | May 6, 2016 | Jan 28, 2019 | no | RIVERSIDE, RI | Previous registration |
| G••••••••• I••••••••• | Asset manager | Aug 28, 2007 | Nov 4, 2008 | no | SARATOGA SPRINGS, NY|CHICAGO, IL | Previous registration |
| 20 |
| Firm change |
| Ibd to ibd |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Apr 28, 2020 | Jan 31, 2019 | -453 | Bulk transfer | Other |
| T• A••••••••• I••• | C••••••• S••••••••• I••• | Apr 28, 2020 | Jul 7, 2020 | 70 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Jan 28, 2019 | Jan 18, 2019 | -10 | Firm change | Wirehouse to RIA |
| G••••••••• I••••••••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Nov 4, 2008 | May 6, 2016 | 2,740 | Firm change after gap | Other |