DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• A••••••• S•••••••• L••
ATLANTA, GA | Carle Place, 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 |
|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | Bd affiliated wealth | Oct 12, 2024 | n/a | yes | Carle Place, NY|ATLANTA, GA | Current employment |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Aug 23, 2019 | Oct 11, 2024 | no | HOLBROOK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• P••••••••• A•••••••• I•• | O•••• A••••••• S•••••••• L•• | Oct 11, 2024 | Oct 12, 2024 | 1 | Firm change | Ibd to ibd |
| S••••••••• W••••• L•• | A••••••• P••••••••• A•••••••• I•• | Sep 26, 2019 | Aug 23, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 112697:171070:NY:2024-10-11 | Oct 11, 2024 | Oct 12, 2024 | HOLBROOK, NY | Firm change |
| S••••••••• W••••• L•• | Independent wealth | Jul 6, 2017 | Sep 26, 2019 | no | Manhasset, NY|JUPITER, FL | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Feb 29, 2008 | Jun 19, 2017 | no | WEST HEMPSTEAD, NY|BOCA RATON, FL|MANHASSET, NY|GARDEN CITY, NY|GARDEN CITY, NY | Previous registration |
| A•••• • F•••••••• P•••••••• L•• | Former SEC adviser | Nov 3, 2006 | Mar 20, 2008 | no | GREAT NECK, NY | Previous registration |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Aug 15, 2005 | Nov 7, 2006 | no | WESTBURY, NY|WESTBURY, NY | Previous registration |
| C••••••• I••••••••• S••••••• | n/a | Sep 14, 2004 | Aug 4, 2005 | no | CEDARHURST, NY | Previous registration |
| -34 |
| Firm change after gap |
| RIA to RIA |
| L•• F•••••••• L•• | S••••••••• W••••• L•• | Jun 19, 2017 | Jul 6, 2017 | 17 | Firm change | Other |
| A•••• • F•••••••• P•••••••• L•• | L•• F•••••••• L•• | Mar 20, 2008 | Feb 29, 2008 | -20 | Firm change | Other |
| C••• B•••••••• S•••••••• I••• | A•••• • F•••••••• P•••••••• L•• | Nov 7, 2006 | Nov 3, 2006 | -4 | Firm change | Other |
| C••••••• I••••••••• S••••••• | C••• B•••••••• S•••••••• I••• | Aug 4, 2005 | Aug 15, 2005 | 11 | Firm change | Other |