DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
HAUPPAUGE, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Mar 17, 2023 | n/a | yes | HAUPPAUGE, NY | Current employment |
| P••••••• U••••• A•••••••• I••• | Former SEC adviser | Apr 3, 2018 | Dec 31, 2022 | no | Melville, NY|Hauppauge, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••••••• U••••• A•••••••• I••• | L•• F•••••••• L•• | Dec 31, 2022 | Mar 17, 2023 | 76 | Firm change | RIA to ibd |
| P••••••• S••••••••• I••• | P••••••• U••••• A•••••••• I••• | Mar 31, 2020 | Apr 3, 2018 |
| P••••••• S••••••••• I••• | Former SEC adviser | Jun 21, 2017 | Mar 31, 2020 | no | Hauppauge, NY|BRIDGEPORT, CT|BRIDGEPORT, CT|Melville, NY | Previous registration |
| C•••••• O•• A•••••••• L•• | Former SEC adviser | Jun 6, 2016 | May 1, 2017 | no | MCLEAN, VA | Previous registration |
| J••• M••••• P•••••• W••••• A••••••• L•• | Former SEC adviser | Feb 19, 2015 | Sep 2, 2015 | no | GARDEN CITY, NJ|SAN FRANCISCO, CA | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Mar 30, 2011 | May 15, 2012 | no | MELVILLE, NY | Previous registration |
| C•••••• O•• F•••••••• A••••••• L•• | n/a | Jan 5, 2004 | Feb 17, 2011 | no | MELVILLE, NY | Previous registration |
| E•••• N••••••• S••••••••• I••• | Former SEC adviser | Jun 12, 2003 | Jan 5, 2004 | no | LAKESUCCESS, NY | Previous registration |
| -728 |
| Bulk transfer |
| Other |
| C•••••• O•• A•••••••• L•• | P••••••• S••••••••• I••• | May 1, 2017 | Jun 21, 2017 | 51 | Firm change | Other |
| J••• M••••• P•••••• W••••• A••••••• L•• | C•••••• O•• A•••••••• L•• | Sep 2, 2015 | Jun 6, 2016 | 278 | Firm change | Other |
| J••• M••••• S••••••••• L•• | J••• M••••• P•••••• W••••• A••••••• L•• | May 15, 2012 | Feb 19, 2015 | 1,010 | Firm change after gap | Other |
| C•••••• O•• F•••••••• A••••••• L•• | J••• M••••• S••••••••• L•• | Feb 17, 2011 | Mar 30, 2011 | 41 | Firm change | Other |
| E•••• N••••••• S••••••••• I••• | C•••••• O•• F•••••••• A••••••• L•• | Jan 5, 2004 | Jan 5, 2004 | 0 | Firm change | Other |