DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 16, 2023 | n/a | yes | SAN DIEGO, CA|SARATOGA SPRINGS, NY|WILTON, NY | Current employment |
| C•••••• G•••• • C• I•• | Former SEC adviser | Jul 18, 2013 | Oct 18, 2023 | no | SELKIRK, NY|Saratoga Springs, NY|Syracuse, NY|SYRACUSE, NY|SYRACUSE, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• G•••• • C• I•• | L•• F•••••••• L•• | Oct 18, 2023 | Oct 16, 2023 | -2 | Firm change | Ibd to ibd |
| R•• C•••••• M••••••• L•• | C•••••• G•••• • C• I•• | Jul 26, 2013 | Jul 18, 2013 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 10641:6413:NY:2023-10-18 | Oct 18, 2023 | Oct 16, 2023 | SYRACUSE, NY | Firm change |
| Previous registration |
| R•• C•••••• M••••••• L•• | National bd RIA | Jan 30, 2013 | Jul 26, 2013 | no | ALBANY, NY | Previous registration |
| V• C••••••• L•• | Former SEC adviser | Oct 17, 2011 | Mar 6, 2012 | no | GLENVIEW, IL | Previous registration |
| I•• A••••••••• L•• | State registered | May 25, 2011 | Oct 24, 2011 | no | EVANSTON, IL | Previous registration |
| -8 |
| Firm change |
| Other |
| V• C••••••• L•• | R•• C•••••• M••••••• L•• | Mar 6, 2012 | Jan 30, 2013 | 330 | Firm change | Other |
| I•• A••••••••• L•• | V• C••••••• L•• | Oct 24, 2011 | Oct 17, 2011 | -7 | Firm change | Other |