DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• N••••••• • C••••••• I•••••••••
WHITE PLAINS, 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 |
|---|---|---|---|---|---|---|
| S•••••• N••••••• • C••••••• I••••••••• | National bd RIA | Oct 16, 2020 | n/a | yes | WHITE PLAINS, NY | Current employment |
| D••••••• B••• S••••••••• I••• | No RAUM reported | Nov 6, 2007 | Mar 23, 2016 | no | GREENWICH, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D••••••• B••• S••••••••• I••• | S•••••• N••••••• • C••••••• I••••••••• | Mar 23, 2016 | Oct 16, 2020 | 1,668 | Firm change after gap | Other |
| C••••• S••••• S••••••••• •••• L•• | D••••••• B••• S••••••••• I••• | Nov 2, 2007 | Nov 6, 2007 |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | Jan 17, 2003 | Nov 2, 2007 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| P••••••• L•• | n/a | Jul 25, 2002 | Jan 17, 2003 | no | NEW YORK, NY | Previous registration |
| 4 |
| Firm change |
| Other |
| P••••••• L•• | C••••• S••••• S••••••••• •••• L•• | Jan 17, 2003 | Jan 17, 2003 | 0 | Bulk transfer | Other |