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.

Advisor moves

Departures from Midwestern Securities Trading Co.,LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Alexis TrotterMidwestern Securities Trading Co.,LLC independent RIAAusdal Financial Partners, Inc. independent RIARIA to RIASep 9, 2026Sep 15, 2026
Thomas CahillMidwestern Securities Trading Co.,LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 18, 2025Jun 23, 2026 (217 d)
Danielle Nichole DelongMidwestern Securities Trading Co.,LLC independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 22, 2025Nov 13, 2025
Cullen Miles PopeMidwestern Securities Trading Co.,LLC independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankJul 30, 2025Jul 25, 2025
Braden Michael DietzMidwestern Securities Trading Co.,LLC independent RIAPrincipal Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 29, 2025Jun 23, 2025 (55 d)
Matthew Geoffrey BuetowMidwestern Securities Trading Co.,LLC independent RIAPnc Wealth Management BD affiliatedRIA to affiliated broker-dealer or bankOct 11, 2023Oct 19, 2023
Tira Lee ClementMidwestern Securities Trading Co.,LLC independent RIAEsi Financial Advisors independent RIARIA to RIASep 15, 2023Oct 9, 2023
Cody HesterMidwestern Securities Trading Co.,LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseJul 5, 2023Aug 4, 2023
Anthony Joseph SharpMidwestern Securities Trading Co.,LLC independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankJul 5, 2023Aug 4, 2023
Michael Ryan DewaltMidwestern Securities Trading Co.,LLC independent RIANorthwestern Mutual Investment Services,LLC no RAUMOtherJan 3, 2023Feb 16, 2023 (44 d)
Concetta Maria SicilianoMidwestern Securities Trading Co.,LLC independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankJul 28, 2022Aug 10, 2022
Jeffrey A BressnerMidwestern Securities Trading Co.,LLC independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 31, 2021Apr 5, 2021
Sean P MulhernMidwestern Securities Trading Co.,LLC independent RIAMorgan Stanley wirehouseRIA to wirehouseJan 22, 2021Mar 22, 2021 (59 d)
Randy GolembeckMidwestern Securities Trading Co.,LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseDec 14, 2020Feb 7, 2021 (55 d)
Bradley Alan ArndtMidwestern Securities Trading Co.,LLC independent RIASecurities America Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 1, 2020Sep 30, 2020
Aaron Lee BlackMidwestern Securities Trading Co.,LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJul 7, 2020Jul 28, 2020
Hank Cecil SkaggsMidwestern Securities Trading Co.,LLC independent RIACuna Brokerage Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 2, 2020Sep 22, 2021 (629 d)
Melodee L CampbellMidwestern Securities Trading Co.,LLC independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankOct 9, 2019Jan 29, 2020 (112 d)
Charles Alexander VergaraMidwestern Securities Trading Co.,LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 2, 2019Sep 30, 2019
Crystal M. LanceMidwestern Securities Trading Co.,LLC independent RIALPL Financial LLC independent RIARIA to RIAJul 31, 2019Jul 31, 2019
Jason Carl O'BrienMidwestern Securities Trading Co.,LLC independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankJun 13, 2019Jun 14, 2019
Alec William SessingMidwestern Securities Trading Co.,LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseApr 17, 2019Jun 26, 2019 (70 d)
Thomas Joseph BiberMidwestern Securities Trading Co.,LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseApr 15, 2019May 17, 2019 (32 d)
Shane ToddMidwestern Securities Trading Co.,LLC independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankApr 2, 2019Jun 28, 2019 (87 d)
David James FitzgeraldMidwestern Securities Trading Co.,LLC independent RIACuna Brokerage Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 22, 2019Apr 10, 2019
William Hubert FitzgeraldMidwestern Securities Trading Co.,LLC independent RIAStifel, Nicolaus & Company, Incorporated national BDRIA to affiliated broker-dealer or bankJan 3, 2019Jul 17, 2019 (195 d)
Jacqueline SantosMidwestern Securities Trading Co.,LLC independent RIACapital Client Group, Inc. no RAUMOtherSep 13, 2018Oct 11, 2018
Cody John BehrensMidwestern Securities Trading Co.,LLC otherPnc Wealth Management BD affiliatedOtherJan 2, 2018Jan 26, 2018
Michael EckardtMidwestern Securities Trading Co.,LLC otherEdward Jones national BDOtherDec 8, 2017Dec 21, 2017
Timothy Randall FlinnMidwestern Securities Trading Co.,LLC otherLPL Financial LLC otherOtherOct 4, 2017Oct 2, 2017
Melissa WilloughbyMidwestern Securities Trading Co.,LLC otherHorace Mann Investors, Inc. no RAUMOtherAug 22, 2017Aug 29, 2017
Mark Wesley BrownleeMidwestern Securities Trading Co.,LLC otherCharles Schwab & Co., Inc. national BDOtherMar 16, 2017Mar 8, 2017
Joel D PierceMidwestern Securities Trading Co.,LLC otherEdward Jones national BDOtherMar 16, 2017Feb 17, 2017
Maxwell Bauer BromleyMidwestern Securities Trading Co.,LLC otherTd Ameritrade, Inc. no RAUMOtherDec 23, 2016Jan 13, 2017
Brandon Lee CoryMidwestern Securities Trading Co.,LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 26, 2016Sep 2, 2016
Alexander G. GlancyMidwestern Securities Trading Co.,LLC otherJ.P. Morgan Securities LLC wirehouseOtherJul 19, 2016Dec 5, 2016 (139 d)
Jaeson Michael Allan ListerMidwestern Securities Trading Co.,LLC otherNfp Advisor Services, LLC otherOtherJun 16, 2016Sep 15, 2016 (91 d)
Alina M. AndrecanMidwestern Securities Trading Co.,LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMar 7, 2016Mar 23, 2016
Michael Leo WempleMidwestern Securities Trading Co.,LLC otherLPL Financial LLC otherOtherJan 4, 2016Jan 4, 2016
Michael Casey PorcellinoMidwestern Securities Trading Co.,LLC otherStrategic Advisers LLC national BDOtherFeb 17, 2015Apr 11, 2016 (419 d)
Louis Joseph WasilewskiMidwestern Securities Trading Co.,LLC otherInvestment Centers Of America, Inc. otherOtherFeb 28, 2014Feb 28, 2014
Sarah Lee KeeferMidwestern Securities Trading Co.,LLC otherLPL Financial LLC otherOtherFeb 28, 2014Feb 28, 2014
Jeremy T DowninMidwestern Securities Trading Co.,LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherNov 4, 2013Jun 1, 2017 (1305 d)
Thomas Jason CowellMidwestern Securities Trading Co.,LLC otherInvestment Centers Of America, Inc. otherOtherJul 19, 2013Jul 22, 2013
Dean Charles TurnerMidwestern Securities Trading Co.,LLC otherUBS Financial Services Inc. wirehouseOtherJun 28, 2013Jul 25, 2013
Justin Paul MasonMidwestern Securities Trading Co.,LLC otherKeb Wealth Advisors otherOtherMar 6, 2013Mar 18, 2013
Stephen G DouglasMidwestern Securities Trading Co.,LLC otherWells Fargo Advisors wirehouseOtherSep 16, 2010Sep 7, 2010
Kyle Randall JonesMidwestern Securities Trading Co.,LLC otherNfp Advisor Services, LLC otherOtherJun 30, 2010Jul 16, 2010
David Michael GundyMidwestern Securities Trading Co.,LLC otherValic Financial Advisors, Inc. otherOtherJan 11, 2010Mar 11, 2010 (59 d)
Paul Edward GillhamMidwestern Securities Trading Co.,LLC otherEagle One Investments, LLC unclassifiedOtherAug 11, 2005Aug 24, 2005
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50 moves match.