DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• N••••••• • C••••••• I•••••••••
NEW YORK, 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 |
|---|---|---|---|---|---|---|
| S•••••• N••••••• • C••••••• I••••••••• | National bd RIA | Dec 9, 2008 | n/a | yes | NEW YORK, NY | Current employment |
| M••••••••• P••••• V•••• S••••••••• I••• | n/a | Oct 28, 2004 | Dec 31, 2008 | no | NEW YORK, NY|NEW YORK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••••••• P••••• V•••• S••••••••• I••• | S•••••• N••••••• • C••••••• I••••••••• | Dec 31, 2008 | Dec 9, 2008 | -22 | Firm change | Other |
| W•••• F•••• A••••••• | M••••••••• P••••• V•••• S••••••••• I••• | Aug 23, 2004 | Oct 28, 2004 |
| W•••• F•••• A••••••• | Wirehouse | Jul 1, 2003 | Aug 23, 2004 | no | NEW YORK, NY | Previous registration |
| P••••••••• E••••• G••••• L•• | n/a | Oct 4, 2001 | Jul 1, 2003 | no | NEW YORK, NY | Previous registration |
| 66 |
| Firm change |
| Other |
| P••••••••• E••••• G••••• L•• | W•••• F•••• A••••••• | Jul 1, 2003 | Jul 1, 2003 | 0 | Bulk transfer | Other |