DFX Intelligence
Advisor moves
Departures from Cetera Advisors 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Richard Frank Parnigoni | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2018 | Jul 25, 2018 |
| Matthew James Pulsipher | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2018 | Jul 20, 2018 |
| Jeffrey Brooks | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2018 | Jul 26, 2018 |
| G Scott Lowe | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2018 | Jul 20, 2018 |
| Michael Edward Sullivan | Cetera Advisors LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2018 | Jul 19, 2018 |
| Rodger Thomas Guerra | Cetera Advisors LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2018 | Jul 13, 2018 |
| James Laverne Stone | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2018 | Jan 1, 2025 (2356 d) |
| Richard W Rogers | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2018 | Jul 24, 2018 |
| Howard Steven Myers | Cetera Advisors LLC BD affiliated | Adviser Alliance, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 17, 2018 | Sep 13, 2018 (58 d) |
| Steven Lee Holmes | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2018 | Jul 9, 2018 |
| Philip Alden Blankenship | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 6, 2018 | Jul 2, 2018 |
| Kelly Lynn Bauman | Cetera Advisors LLC BD affiliated | Ica Group Wealth Management, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 2, 2018 | Jun 11, 2021 (1075 d) |
| Scott Bradley Jacobs | Cetera Advisors LLC BD affiliated | Benjamin Madison Wealth Advisors, LLC unclassified | Other | Jul 2, 2018 | Aug 26, 2014 |
| Teela Marie Myers | Cetera Advisors LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 2, 2018 | Aug 28, 2018 (57 d) |
| Tom Keith Barclay | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2018 | Jun 4, 2018 |
| John Atwood Harding | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2018 | Jun 4, 2018 |
| Aaron Gideon Kirsch | Cetera Advisors LLC BD affiliated | Spotlight Asset Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2018 | Jun 29, 2018 |
| Michael Werner Keller | Cetera Advisors LLC BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2018 | Apr 22, 2019 (314 d) |
| David Darrell Hahn | Cetera Advisors LLC BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2018 | Jun 11, 2018 |
| Bridget Aline Quijada | Cetera Advisors LLC BD affiliated | Index Fund Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2018 | Oct 9, 2018 (124 d) |
| Kelly Mclane Morgan | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2018 | Jun 6, 2018 |
| Allen Bradley Trim | Cetera Advisors LLC BD affiliated | Blue Summit Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2018 | Jan 11, 2021 (953 d) |
| Robert Gordon Seid | Cetera Advisors LLC BD affiliated | Blue Summit Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2018 | Jan 13, 2021 (955 d) |
| Brian William Neustrom | Cetera Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2018 | Jul 10, 2018 (40 d) |
| Gregory Joseph Paine | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 4, 2018 | Apr 22, 2019 (353 d) |
| Jason Richard Bernal | Cetera Advisors LLC BD affiliated | Blue Jay Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2018 | Apr 24, 2018 |
| Jason Taylor Demland | Cetera Advisors LLC BD affiliated | Blue Jay Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2018 | Apr 24, 2018 |
| Cory James Smith | Cetera Advisors LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 25, 2018 | Dec 19, 2018 (238 d) |
| Jason Adam Gong | Cetera Advisors LLC BD affiliated | Lifelong Wealth Management Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2018 | Mar 29, 2018 |
| Kevin Melamed | Cetera Advisors LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 9, 2018 | Apr 16, 2018 |
| Daniel George Mcpherson | Cetera Advisors LLC BD affiliated | Cg Advisory Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 9, 2018 | Apr 11, 2018 |
| Patrick John Brannan | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 6, 2018 | Apr 2, 2018 |
| Brandon Anderson Bowman | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2018 | Mar 29, 2018 |
| Jeffery Owen Briggs | Cetera Advisors LLC other | Kms Financial Services, Inc BD affiliated | Other | Mar 14, 2018 | Mar 22, 2018 |
| Lorilee Hoalst Jones | Cetera Advisors LLC other | Integrity Alliance, LLC independent RIA | Other | Mar 13, 2018 | Feb 28, 2018 |
| Erinn June Ford | Cetera Advisors LLC other | Kms Financial Services, Inc BD affiliated | Other | Feb 28, 2018 | Mar 16, 2018 |
| Charles Robert Kelly | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 26, 2018 | Feb 16, 2018 |
| Daniel Scott Chabott | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 26, 2018 | Feb 20, 2018 |
| Karalyn Jayne Carlton | Cetera Advisors LLC other | Trademark Financial Management, LLC other | Other | Feb 26, 2018 | Jun 7, 2012 |
| Richard P Darrow | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 26, 2018 | Feb 16, 2018 |
| Teresa R Loll | Cetera Advisors LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 2, 2018 | Mar 29, 2018 (86 d) |
| Joseph John Mandujano | Cetera Advisors LLC other | Cuna Brokerage Services, Inc. other | Other | Dec 31, 2017 | Jan 16, 2018 |
| Terry Charles Seely | Cetera Advisors LLC other | Cetera Investment Advisers LLC other | Other | Dec 22, 2017 | Dec 20, 2017 |
| Melissa Ann Logan | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Dec 21, 2017 | Jan 8, 2018 |
| Andrew R Simpter | Cetera Advisors LLC other | Integrated Wealth Concepts LLC independent RIA | Other | Dec 19, 2017 | Jun 29, 2018 (192 d) |
| Chad Erwin Colbert | Cetera Advisors LLC other | Ibn Financial Services, Inc independent RIA | Other | Nov 27, 2017 | Jul 2, 2021 (1313 d) |
| Gregory Hanna Abdalla | Cetera Advisors LLC other | Securian Financial Services, Inc. other | Other | Nov 22, 2017 | Dec 15, 2017 |
| Sarah Blake Klement | Cetera Advisors LLC other | J.P. Morgan Securities LLC wirehouse | Other | Nov 13, 2017 | Nov 28, 2017 |
| Bonnie Carole Courtney | Cetera Advisors LLC other | Cambridge Financial Group, LLC other | Other | Nov 7, 2017 | Oct 30, 2017 |
| Jeffrey James Heitzman | Cetera Advisors LLC other | 20/20 Capital Management, Inc other | Other | Nov 7, 2017 | Nov 17, 2017 |
| Ryan Paul Forster | Cetera Advisors LLC other | Engage Wealth Advisors, LLC mixed wealth | Other | Nov 3, 2017 | Oct 31, 2017 |
| Taylor James Richardson | Cetera Advisors LLC other | Engage Wealth Advisors, LLC mixed wealth | Other | Nov 3, 2017 | Nov 1, 2017 |
| Bartley Arthur Corfee | Cetera Advisors LLC other | 20/20 Capital Management, Inc other | Other | Nov 3, 2017 | Nov 15, 2017 |
| Darla Diane Main | Cetera Advisors LLC other | The Strategic Financial Alliance other | Other | Nov 1, 2017 | Oct 30, 2017 |
| Andy Patrick Murphy | Cetera Advisors LLC other | Kms Financial Services, Inc BD affiliated | Other | Oct 30, 2017 | Mar 16, 2018 (137 d) |
| Christopher Michael Barone | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Oct 27, 2017 | Jan 5, 2018 (70 d) |
| Troy Robert Moulton | Cetera Advisors LLC other | Osaic Fs, Inc. other | Other | Oct 25, 2017 | Oct 18, 2017 |
| Andrew James Hinrichs | Cetera Advisors LLC other | Engage Wealth Advisors, LLC mixed wealth | Other | Oct 25, 2017 | Nov 1, 2017 |
| Nicholas Foulger Taggart | Cetera Advisors LLC other | Acr Alpine Capital Research, LLC other | Other | Oct 18, 2017 | Nov 8, 2017 |
| James Gerald Hendricks | Cetera Advisors LLC other | Hero Investment Planners LLC no RAUM | Other | Oct 12, 2017 | Jan 21, 2021 (1197 d) |
910 moves match.