DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
WESTBURY, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | May 11, 2026 | n/a | yes | WESTBURY, NY | Current employment |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Jun 14, 2021 | May 15, 2026 | no | EAST HILLS, NY|SEAFORD, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | C••••• I••••••••• A••••••• L•• | May 15, 2026 | May 11, 2026 | -4 | Firm change | Ibd to ibd |
| L•• F•••••••• L•• | M•• I•••••••• S•••••••• L•• | Jun 28, 2010 | Jun 14, 2021 |
| L•• F•••••••• L•• | Bd affiliated wealth | Mar 16, 2009 | Jun 28, 2010 | no | BROOKLYN, NY|BOSTON, MA|BROOKLYN, NY|BROOKLYN, NY | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Nov 19, 2007 | Mar 9, 2009 | no | GARDEN CITY, NY | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Nov 19, 2007 | Mar 9, 2009 | no | GARDEN CITY, NY | Previous registration |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Sep 8, 2005 | Oct 26, 2007 | no | HAUPPAUGE, NY|HAUPPAUGE, NY|EAST MEADOW, NY|ROANOKE, VA | Previous registration |
| B•• M••••• S••••••••• C••••••••• | Other adviser | Aug 6, 2004 | Sep 2, 2005 | no | UNIONDALE, NY | Previous registration |
| I••• S••••••••• I••• | n/a | May 15, 2003 | May 5, 2004 | no | WANTAUGH, NY | Previous registration |
| B•• M••••• S••••••••• C••••••••• | Other adviser | Aug 14, 2002 | Apr 15, 2003 | no | GREAT NECK, NY | Previous registration |
| 4,004 |
| Firm change after gap |
| Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Mar 9, 2009 | Nov 19, 2007 | -476 | Channel change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | L•• F•••••••• L•• | Mar 9, 2009 | Mar 16, 2009 | 7 | Firm change | Other |
| C••• B•••••••• S•••••••• I••• | T• A••••••••• I••• | Oct 26, 2007 | Nov 19, 2007 | 24 | Firm change | Other |
| B•• M••••• S••••••••• C••••••••• | C••• B•••••••• S•••••••• I••• | Sep 2, 2005 | Sep 8, 2005 | 6 | Firm change | Other |
| I••• S••••••••• I••• | B•• M••••• S••••••••• C••••••••• | May 5, 2004 | Aug 6, 2004 | 93 | Firm change | Other |
| B•• M••••• S••••••••• C••••••••• | I••• S••••••••• I••• | Apr 15, 2003 | May 15, 2003 | 30 | Firm change | Other |