DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
VALLEY STREAM, 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 | Aug 12, 2025 | n/a | yes | VALLEY STREAM, NY | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 26, 2022 | Apr 5, 2025 | no | Lake Grove, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | L•• F•••••••• L•• | Apr 5, 2025 | Aug 12, 2025 | 129 | Firm change | Ibd to ibd |
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Sep 7, 2023 | Jan 26, 2022 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Mar 14, 2007 | Sep 7, 2023 | no | SMITHTOWN, NY|SMITHTOWN, NY|LAKE GROVE, NY | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Mar 14, 2007 | Oct 14, 2022 | no | Lake Grove, NY|OMAHA, NE | Previous registration |
| B•• M••••• S••••••••• C••••••••• | Other adviser | Nov 18, 2003 | Oct 23, 2006 | no | UNIONDALE, NY|UNIONDALE, NY | Previous registration |
| -589 |
| Bulk transfer |
| RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 14, 2022 | Mar 14, 2007 | -5,693 | Bulk transfer | Other |
| B•• M••••• S••••••••• C••••••••• | T• A••••••••• I••• | Oct 23, 2006 | Mar 14, 2007 | 142 | Firm change | Other |