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Advisor at OCEAN FINANCIAL ADVISORS LLC
MIAMI, FL
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 |
|---|---|---|---|---|---|---|
| OCEAN FINANCIAL ADVISORS LLC | State registered | Jun 21, 2019 | n/a | yes | MIAMI, FL | Current employment |
| EFG CAPITAL ADVISORS INC. | Former SEC adviser | Aug 22, 2016 | Apr 20, 2018 | no | KEY BISCAYNE, FL|MIAMI, FL | Previous registration |
| EFG CAPITAL ADVISORS LLC | Former SEC adviser | Nov 10, 2009 | Nov 6, 2014 | no | MIAMI, FL | Previous registration |
| SUNTRUST INVESTMENT SERVICES, INC. | Former SEC adviser | Aug 23, 1999 | Oct 16, 2009 | no | KEY BISCAYNE, FL|MIAMI, FL|CORAL GABLES, FL|MIAMI, FL|KEY BISCAYNE, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| EFG CAPITAL ADVISORS INC. | OCEAN FINANCIAL ADVISORS LLC | Apr 20, 2018 | Jun 21, 2019 | 427 | Firm change after gap | RIA to state RIA |
| EFG CAPITAL ADVISORS LLC | EFG CAPITAL ADVISORS INC. | Nov 6, 2014 | Aug 22, 2016 | 655 | Channel change | Other |
| SUNTRUST INVESTMENT SERVICES, INC. | EFG CAPITAL ADVISORS LLC | Oct 16, 2009 | Nov 10, 2009 | 25 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 112224:291950:FL:2018-04-20 | Apr 20, 2018 | Jun 21, 2019 | MIAMI, FL | Firm change after gap |