DFX Intelligence
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Reading the graph
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Advisor at C••••••• P•••••• W•••••
••• Locked
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••••••• P•••••• W••••• | Bd affiliated wealth | Apr 16, 2025 | n/a | yes | WOODCLIFF LAKE, NJ|TARRYTOWN, NY | Current employment |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Apr 16, 2025 | n/a | yes | WOODCLIFF LAKE, NJ|SYRACUSE, NY | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | C••••••• S••••••••• I••• | Apr 17, 2025 | Apr 16, 2025 | -1 | Firm change | Wirehouse to ibd |
| J••• M••••• P•••••• W••••• A••••••• L•• | J••• M••••• S••••••••• L•• | Mar 21, 2025 | Mar 26, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:108559:NJ:2019-08-20 | Aug 20, 2019 | Aug 9, 2019 | PARAMUS, NJ | Firm change |
| J••• M••••• S••••••••• L•• | Wirehouse | Mar 26, 2024 | Apr 17, 2025 | no | NEW YORK, NY|Paramus, NJ|Morristown, NJ|Woodcliff Lake, NJ|WHITE PLAINS, NY | Previous registration |
| J••• M••••• P•••••• W••••• A••••••• L•• | Former SEC adviser | Aug 9, 2019 | Mar 21, 2025 | no | Paramus, NJ | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | May 31, 2007 | Aug 20, 2019 | no | PARAMUS, NJ | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 4, 2007 | no | PARAMUS, NJ | Previous registration |
| M••••• S•••••• D• I••• | n/a | Jun 7, 2004 | Apr 2, 2007 | no | PARAMUS, NJ|PARAMUS, NJ | Previous registration |
| -360 |
| Bulk transfer |
| Ibd to wirehouse |
| U•• F•••••••• S••••••• I••• | J••• M••••• P•••••• W••••• A••••••• L•• | Aug 20, 2019 | Aug 9, 2019 | -11 | Firm change | Wirehouse to ibd |
| M••••• S•••••• • C•• L•• | U•• F•••••••• S••••••• I••• | Jun 4, 2007 | May 31, 2007 | -4 | Firm change | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |