DFX Intelligence
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Reading the graph
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Advisor at O•••• W•••••• I•••
HOLBROOK, 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•••• W•••••• I••• | Bd affiliated wealth | Oct 11, 2024 | n/a | yes | HOLBROOK, NY | Current employment |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Jun 1, 2023 | Oct 11, 2024 | no | HOLBROOK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•••••• F•••••••• G•••• | A••••••• P••••••••• A•••••••• I•• | Nov 7, 2024 | Jun 1, 2023 | -525 | Firm change after gap | RIA to ibd |
| A••••••• P••••••••• A•••••••• I•• | O•••• W•••••• I••• | Oct 11, 2024 | Oct 11, 2024 |
| G•••••• F•••••••• G•••• | Former SEC adviser | Jul 10, 2021 | Nov 7, 2024 | no | BOCA RATON, FL | Previous registration |
| G•••••• F•••••••• G•••• | Former SEC adviser | Oct 22, 2013 | Dec 31, 2020 | no | BOCA RATON, FL | Previous registration |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | May 31, 2011 | Jun 3, 2013 | no | HOLBROOK, NY | Previous registration |
| N•••••••• | State registered | Jun 7, 2004 | Jun 9, 2010 | no | WOODBURY, NY | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| A••••••• P••••••••• A•••••••• I•• | G•••••• F•••••••• G•••• | Jun 3, 2013 | Oct 22, 2013 | 141 | Firm change | Other |
| N•••••••• | A••••••• P••••••••• A•••••••• I•• | Jun 9, 2010 | May 31, 2011 | 356 | Firm change | Other |