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L••• C• C•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

L••• C• C•••••••

Advisor at C•••••• S••••• • C••• I•••

Huntington Station, NY | Bridgewater, NJ

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Search this name across graphsid dfx:ria:bee05867-232d-f27a-28a3-62b8a0e6a5b6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 8, 2022 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 24, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Dec 27, 2018	n/a	yes	Bridgewater, NJ\|Huntington Station, NY	Current employment
T• A••••••••• I•••	Former SEC adviser	Feb 8, 2022	Oct 14, 2022	no	OMAHA, NE\|Huntington Station, NY\|Lake Grove, NY\|Huntington Station, NY\|Lake Grove, NY\|OMAHA, NE

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I•••	n/a	Oct 14, 2022	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (2)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Dec 27, 2018 to presentfactForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Feb 8, 2022 to Oct 14, 2022factForm ADV

Dated events

Occurred
Oct 14, 2022
Advisor departed, no destination yet
L••• C• C••••••• no longer registered at T• A••••••••• I•••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bee05867-232d-f27a-28a3-62b8a0e6a5b6
First observed: Feb 8, 2022
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.