DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• E••••••••• A••••••• S•••••••• L••
••• 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 |
|---|---|---|---|---|---|---|
| W••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jun 1, 2022 | n/a | yes | BRENTWOOD, TN|GREAT NECK, NY|PLYMOUTH, MN | Current employment |
| K•••• P•••• C•••••• M••••••••• L•• | Former SEC adviser | Jul 9, 2019 | Jun 3, 2022 | no | GREAT NECK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K•••• P•••• C•••••• M••••••••• L•• | W••••• E••••••••• A••••••• S•••••••• L•• | Jun 3, 2022 | Jun 1, 2022 | -2 | Firm change | RIA to ibd |
| C•••••• S••••• • C••• I••• | K•••• P•••• C•••••• M••••••••• L•• | Jul 12, 2019 | Jul 9, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 137728:116407:NY:2022-06-03 | Jun 3, 2022 | Jun 1, 2022 | GREAT NECK, NY | Firm change |
| C•••••• S••••• • C••• I••• | National bd RIA | Mar 12, 2015 | Jul 12, 2019 | no | Manhasset, NY | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Sep 10, 2013 | Feb 25, 2015 | no | SUNNY ISLES BEACH, FL|SURFSIDE, FL|SUNNY ISLES BEACH, FL | Previous registration |
| P•• W••••• M••••••••• | Bd affiliated wealth | May 31, 2012 | Aug 23, 2013 | no | TAMARAC, FL|FORT LAUDERDALE, FL|WELLINGTON, FL | Previous registration |
| M••••• S•••••• | Wirehouse | Apr 25, 2011 | Feb 27, 2012 | no | BOCA RATON, FL | Previous registration |
| E••••• J•••• | National bd RIA | Jan 26, 2011 | Apr 18, 2011 | no | BOCA RATON, FL|ST LOUIS, MO|BOCA RATON, FL|Boca Raton, FL | Previous registration |
| -3 |
| Firm change |
| Ibd to RIA |
| J••• M••••• S••••••••• L•• | C•••••• S••••• • C••• I••• | Feb 25, 2015 | Mar 12, 2015 | 15 | Firm change | Wirehouse to ibd |
| P•• W••••• M••••••••• | J••• M••••• S••••••••• L•• | Aug 23, 2013 | Sep 10, 2013 | 18 | Firm change | Other |
| M••••• S•••••• | P•• W••••• M••••••••• | Feb 27, 2012 | May 31, 2012 | 94 | Firm change | Other |
| E••••• J•••• | M••••• S•••••• | Apr 18, 2011 | Apr 25, 2011 | 7 | Firm change | Ibd to wirehouse |