DFX Intelligence
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Reading the graph
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Advisor at N••••••••
SYOSSET, 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 |
|---|---|---|---|---|---|---|
| N•••••••• | State registered | Jul 26, 2019 | n/a | yes | SYOSSET, NY | Current employment |
| S••••••••• W••••• M••••••••• L•• | Former SEC adviser | Nov 30, 2015 | Dec 11, 2017 | no | Syosset, NY|GREENVILLE, SC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• W••••• M••••••••• L•• | N•••••••• | Dec 11, 2017 | Jul 26, 2019 | 592 | Firm change after gap | RIA to state RIA |
| C•••••• I••••••••• A••••••• S•••••••• L•• | S••••••••• W••••• M••••••••• L•• | Jul 16, 2015 | Nov 30, 2015 |
| C•••••• I••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Oct 19, 2010 | Jul 16, 2015 | no | RALEIGH, NC | Previous registration |
| C•• A•••••••• L•• | n/a | Oct 8, 2010 | Dec 31, 2012 | no | RALEIGH, NC | Previous registration |
| P••• A••••• S••••••••• L•• | Bd affiliated wealth | Jul 20, 2007 | Sep 16, 2010 | no | WOODBURY, NY|WOODBURY, NY | Previous registration |
| 137 |
| Firm change |
| Other |
| C•• A•••••••• L•• | C•••••• I••••••••• A••••••• S•••••••• L•• | Dec 31, 2012 | Oct 19, 2010 | -804 | Bulk transfer | Other |
| P••• A••••• S••••••••• L•• | C•• A•••••••• L•• | Sep 16, 2010 | Oct 8, 2010 | 22 | Firm change | Other |