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 Mmc Securities 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
Steven Joseph WhitmanMmc Securities LLC no RAUMUsi Securities, Inc. no RAUMOtherJan 6, 2020Jul 28, 2025 (2030 d)
Christopher Robert CoddMmc Securities LLC no RAUMD.A. Davidson & Co. independent RIAOtherDec 31, 2019Oct 14, 2022 (1018 d)
Brian Michael ZitoMmc Securities LLC no RAUMWealthspire Retirement Advisory institutionalOtherDec 31, 2019Aug 8, 2024 (1682 d)
Jay W HaysMmc Securities LLC no RAUMKestra Advisory Services, LLC BD affiliatedOtherDec 31, 2019Mar 16, 2023 (1171 d)
Cameron WrennallMmc Securities LLC no RAUMCreative Planning independent RIAOtherDec 31, 2019Nov 15, 2023 (1415 d)
Luther Charles MeythalerMmc Securities LLC no RAUMCommerce Street Investment Management institutionalOtherDec 31, 2019Oct 20, 2020 (294 d)
Michael Edward SylvesterMmc Securities LLC no RAUMFarther independent RIAOtherNov 30, 2018Jul 18, 2022 (1326 d)
Kevin Michael ClemsonMmc Securities LLC no RAUMUsi Advisors institutionalOtherDec 18, 2017Jul 31, 2018 (225 d)
Hubert Paul KingsleyMmc Securities LLC no RAUMLockton Investment Advisors, LLC no RAUMOtherSep 8, 2017Dec 18, 2017 (101 d)
Christina Anne TunisonMmc Securities LLC no RAUMSeia otherOtherJul 21, 2017Sep 27, 2017 (68 d)
Charles Francis MansfieldMmc Securities LLC no RAUMLPL Financial LLC otherOtherJun 7, 2016Jul 1, 2016
Christopher Peter Michael HerselMmc Securities LLC no RAUMIndependent Financial Partners otherOtherJul 7, 2015Jul 24, 2015
Kipp Gordon SmallMmc Securities LLC no RAUMCaptrust Advisors, LLC otherOtherApr 17, 2015Jul 7, 2016 (447 d)
Kerrie Jm CaseyMmc Securities LLC no RAUMCreative Planning Institutional Advisors, LLC otherOtherFeb 27, 2015Sep 25, 2015 (210 d)
Amanda Hayda StaplesMmc Securities LLC no RAUMRobert W. Baird & Co. Incorporated otherOtherDec 18, 2014Jan 6, 2015
Jeffrey Robert KleinMmc Securities LLC no RAUMKestra Advisory Services, LLC otherOtherOct 31, 2013Oct 24, 2017 (1454 d)
Jueryll Normand B BuanMmc Securities LLC no RAUMLockton Investment Advisors, LLC no RAUMOtherOct 4, 2013Oct 22, 2013
Robert Anthony Dean EagleMmc Securities LLC no RAUMCaptrust otherOtherSep 5, 2013Apr 15, 2015 (587 d)
John Cothran EllisMmc Securities LLC no RAUMUBS Financial Services Inc. wirehouseOtherAug 9, 2013Aug 14, 2013
Julie Hilliard WilsonMmc Securities LLC no RAUMLockton Investment Advisors, LLC no RAUMOtherOct 25, 2012Jan 30, 2018 (1923 d)
Thomas Paul SimonsonMmc Securities LLC no RAUMLockton Investment Advisors, LLC no RAUMOtherAug 10, 2012Aug 20, 2012
Richard Thomas LaniganMmc Securities LLC no RAUMSignator Investors, Inc. otherOtherApr 2, 2012Mar 10, 2014 (707 d)
Kelli HamptonMmc Securities LLC no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 2, 2012Sep 11, 2013 (527 d)
David S DonohoeMmc Securities LLC no RAUMPnc Wealth Management otherOtherApr 2, 2012Mar 12, 2013 (344 d)
Kimberly Dawn MelloMmc Securities LLC no RAUMEdelman Financial Engines otherOtherMar 15, 2012Apr 16, 2012 (32 d)
Lisa Faith VaillancourtMmc Securities LLC no RAUMSecurities America Advisors, Inc. otherOtherFeb 17, 2012Feb 10, 2014 (724 d)
Robert Domenic MacdonaldMmc Securities LLC no RAUMTd Ameritrade Investment Management, LLC otherOtherJul 19, 2010Sep 3, 2010 (46 d)
Sarala KattaMmc Securities LLC no RAUMMsi Financial Services, Inc. otherOtherMar 2, 2010Mar 8, 2010
James Martin AidMmc Securities LLC no RAUMWells Fargo Advisors wirehouseOtherOct 6, 2008Oct 13, 2008
James Alan Ian LaschingerMmc Securities LLC no RAUMNfp Advisor Services, LLC otherOtherOct 2, 2007Oct 18, 2007
Jeffrey Michael PetroneMmc Securities LLC no RAUMCreative Planning Institutional Advisors, LLC otherOtherJul 13, 2007Jan 30, 2008 (201 d)
Brian Patrick AbadMmc Securities LLC no RAUMFinancial Telesis, Inc. otherOtherJun 11, 2007Jun 20, 2007
Lisa Lorraine SpurlockMmc Securities LLC no RAUMParady Wealth Management independent RIAOtherJan 4, 2007Oct 6, 2020 (5024 d)
Edmund Henry HindersMmc Securities LLC no RAUMCbiz Retirement Plan Advisory Services otherOtherNov 16, 2006Jan 3, 2007 (48 d)
Jill Barry SheaMmc Securities LLC no RAUMCantella & Co., Inc. otherOtherSep 26, 2006Sep 13, 2006
Thomas Albert ClarkMmc Securities LLC no RAUMSagepoint Financial, Inc. otherOtherJun 21, 2005Oct 18, 2006 (484 d)
Christian Michael BretzMmc Securities LLC no RAUMWells Fargo Insurance Services Investment Advisors, Inc. unclassifiedOtherMay 20, 2005Jun 28, 2005 (39 d)
Christopher James CallMmc Securities LLC no RAUMWells Fargo Insurance Services Investment Advisors, Inc. unclassifiedOtherMay 2, 2005Jul 5, 2005 (64 d)
Polly Jane BrooksMmc Securities LLC no RAUMPrincipal Securities, Inc. otherOtherApr 22, 2005Jun 28, 2005 (67 d)
Jon S OgrenMmc Securities LLC no RAUMNorthwestern Mutual Investment Services,LLC otherOtherDec 3, 2004Nov 14, 2005 (346 d)
Richard Joseph StraubMmc Securities LLC no RAUMStrategic Advisers LLC national BDOtherMay 12, 2004Dec 17, 2013 (3506 d)
David Alan SoczekMmc Securities LLC no RAUMTlg Advisors, Inc. BD affiliatedOtherApr 21, 2004Feb 3, 2025 (7593 d)
John Phillip EvansMmc Securities LLC no RAUMCreative Planning Institutional Advisors, LLC otherOtherFeb 2, 2004Jan 24, 2007 (1087 d)
Darrell Thomas AlfordMmc Securities LLC no RAUMPrincipal Securities, Inc. otherOtherJan 12, 2004Jan 22, 2004
George Joseph ManningMmc Securities LLC no RAUMPrincipal Securities, Inc. otherOtherDec 4, 2003Aug 8, 2005 (613 d)
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45 moves match.