DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Gregg Eisenstein

LPL Financial LLCBD affiliatedStony Brook, Nydual registrantIAPD 2304443

Feed of 09/14/2026

Also filed as Gregg A Eisenstein

At current firm

0 y

since Jul 20, 2026

In the industry

33 y

since Jul 30, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Jul 20, 2026 · Stony Brook, Ny
Hsbc Securities (USA) Inc. BD affiliated
Jan 23, 2025 to Aug 11, 2026 · New Hyde Park, Ny
Citigroup Global Markets Inc. BD affiliated
Dec 13, 2017 to Apr 8, 2024 · Forest Hills, Ny
Hsbc Securities (USA) Inc. BD affiliated
Aug 31, 2015 to Jan 4, 2018 · Bohemia, Ny
Gerstein Fisher former
Oct 7, 2014 to Jun 18, 2015 · New York, Ny
The Mutual Fund Store former
Nov 7, 2012 to Oct 14, 2014 · Overland Park, Ks
J.P. Morgan Securities LLC wirehouse
Oct 1, 2012 to Oct 31, 2012 · Greenlawn, Ny
Chase Investment Services Corp. former
Jun 29, 2010 to Oct 1, 2012 · Northport, Ny
Walnut Street Securities, Inc. former
Jan 9, 2008 to May 13, 2009 · Westbury, Ny

Moves

a registration end followed by a registration begin elsewhere

Hsbc Securities (USA) Inc. to LPL Financial LLC
left Aug 11, 2026, registered Jul 20, 2026 (-22 days) · Affiliated broker-dealer or bank to another
Citigroup Global Markets Inc. to Hsbc Securities (USA) Inc.
left Apr 8, 2024, registered Jan 23, 2025 (290 days) · Affiliated broker-dealer or bank to another
Hsbc Securities (USA) Inc. to Citigroup Global Markets Inc.
left Jan 4, 2018, registered Dec 13, 2017 (-22 days) · Other
Gerstein Fisher to Hsbc Securities (USA) Inc.
left Jun 18, 2015, registered Aug 31, 2015 (74 days) · Other
The Mutual Fund Store to Gerstein Fisher
left Oct 14, 2014, registered Oct 7, 2014 (-7 days) · Other
J.P. Morgan Securities LLC to The Mutual Fund Store
left Oct 31, 2012, registered Nov 7, 2012 (7 days) · Other
Chase Investment Services Corp. to J.P. Morgan Securities LLC
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Walnut Street Securities, Inc. to Chase Investment Services Corp.
left May 13, 2009, registered Jun 29, 2010 (412 days) · Other

Signals

Gregg Eisenstein left Hsbc Securities (Usa) Inc. for Lpl Financial Llc (registered 2026-07-20)
Aug 11, 2026 · Advisor changed firm · fact
Gregg Eisenstein left Citigroup Global Markets Inc. for Hsbc Securities (Usa) Inc. (registered 2025-01-23)
Apr 8, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address