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

Veronica C Vorhies

LPL Financial LLCBD affiliatedParamus, Njdual registrantIAPD 1888383

Feed of 09/14/2026

Also filed as Veronica Vorhies

At current firm

1 y

since Jan 21, 2025

In the industry

37 y

since Aug 8, 1989 (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 Jan 21, 2025 · Paramus, Nj
B. Riley Wealth Advisors, Inc. BD affiliated
Mar 22, 2021 to Feb 19, 2025 · Paramus, Nj
Winslow, Evans & Crocker, Inc. former
Oct 8, 2018 to Apr 13, 2021 · Paramus, Nj
Morgan Stanley wirehouse
Dec 9, 2011 to Oct 9, 2018 · Paramus, Nj
Hennion & Walsh Asset Management, Inc. BD affiliated
Nov 23, 2007 to Dec 12, 2011 · Parsippany, Nj
J.P. Morgan Securities LLC wirehouse
Nov 17, 2005 to Sep 21, 2006 · Morristown, Nj
RBC Capital Markets, LLC national BD
May 10, 2002 to Dec 1, 2005 · Florham Park, Nj

Moves

a registration end followed by a registration begin elsewhere

B. Riley Wealth Advisors, Inc. to LPL Financial LLC
left Feb 19, 2025, registered Jan 21, 2025 (-29 days) · Affiliated broker-dealer or bank to another
Winslow, Evans & Crocker, Inc. to B. Riley Wealth Advisors, Inc.
left Apr 13, 2021, registered Mar 22, 2021 (-22 days) · RIA to affiliated broker-dealer or bank · moved with a team
Morgan Stanley to Winslow, Evans & Crocker, Inc.
left Oct 9, 2018, registered Oct 8, 2018 (-1 days) · Wirehouse to independent RIA · moved with a team
Hennion & Walsh Asset Management, Inc. to Morgan Stanley
left Dec 12, 2011, registered Dec 9, 2011 (-3 days) · Other
J.P. Morgan Securities LLC to Hennion & Walsh Asset Management, Inc.
left Sep 21, 2006, registered Nov 23, 2007 (428 days) · Other
RBC Capital Markets, LLC to J.P. Morgan Securities LLC
left Dec 1, 2005, registered Nov 17, 2005 (-14 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Veronica C Vorhies left B. Riley Wealth Advisors, Inc. for Lpl Financial Llc (registered 2025-01-21)
Feb 19, 2025 · 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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address