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Advisor at WIND & ROSE, LLC
WILLSBORO, 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 |
|---|---|---|---|---|---|---|
| WIND & ROSE, LLC | State registered | Mar 16, 2021 | n/a | yes | WILLSBORO, NY | Current employment |
| WIND & ROSE, LLC | State registered | Jul 9, 2007 | Oct 12, 2020 | no | WILLSBORO, NY | Previous registration |
| Spc | Bd affiliated wealth | Mar 10, 2005 | Jul 3, 2007 | no | STANFORD, CT | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 5, 2003 | Feb 8, 2005 | no | GREENWICH, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| Spc | WIND & ROSE, LLC | Jul 3, 2007 | Jul 9, 2007 | 6 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | Spc | Feb 8, 2005 | Mar 10, 2005 | 30 | Firm change | Other |