DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• E••••••••• L••
WHITE PLAINS, NY | SHELTON, CT
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•• E••••••••• L•• | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | SHELTON, CT|WHITE PLAINS, NY | Current employment |
| P•••• S••••••••• L•• | No RAUM reported | Mar 4, 2021 | Nov 14, 2024 | no | WHITE PLAINS, NY|SHELTON, CT|White Plains, NY|Glastonbury, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••• S••••••••• L•• | L•• E••••••••• L•• | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| M•• F•••••••• S•••••••• I••• | P•••• S••••••••• L•• | Apr 2, 2013 | Mar 4, 2021 |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 26, 2011 | Apr 2, 2013 | no | ELMSFORD, NY | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jul 17, 2009 | Nov 2, 2010 | no | GREENWICH, CT | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Nov 4, 2004 | Jul 16, 2009 | no | HARRISON, NY | Previous registration |
| 2,893 |
| Firm change after gap |
| Other |
| E•••••••• A•••••••• L•• | M•• F•••••••• S•••••••• I••• | Nov 2, 2010 | Jan 26, 2011 | 85 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | E•••••••• A•••••••• L•• | Jul 16, 2009 | Jul 17, 2009 | 1 | Firm change | Ibd to ibd |