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 Prospera Financial Services, Inc.

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
Erin Sheehan Marshall	Prospera Financial Services, Inc. independent RIA	Charles Schwab & Co., Inc. national BD	RIA to affiliated broker-dealer or bank	May 7, 2019	May 16, 2019
Richard Allen Yercheck	Prospera Financial Services, Inc. independent RIA	Capital Investment Advisory Services, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Mar 28, 2019	Apr 2, 2019
Sara Gibbs	Prospera Financial Services, Inc. independent RIA	Egi Financial, Inc. independent RIA	RIA to RIA	Jan 11, 2019	Feb 8, 2019
Todd Edward Leake	Prospera Financial Services, Inc. independent RIA	Pillar Capital Management, LLC unclassified	Other	Dec 31, 2018	Nov 13, 2009
Duke Paterson Cope	Prospera Financial Services, Inc. independent RIA	Rfg Advisory, LLC independent RIA	RIA to RIA	Nov 15, 2018	Nov 15, 2018
Robert Ray Bennie	Prospera Financial Services, Inc. independent RIA	Kestra Advisory Services, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Nov 2, 2018	Nov 2, 2018
Christopher Dale Clark	Prospera Financial Services, Inc. other	Securian Financial Services, Inc. BD affiliated	Other	Sep 6, 2018	Oct 18, 2018 (42 d)
Joseph F Pierce	Prospera Financial Services, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Aug 28, 2018	Aug 26, 2018
Hilary Elizabeth O'Malley	Prospera Financial Services, Inc. other	Osaic Wealth, Inc. BD affiliated	Other	Aug 28, 2018	Aug 8, 2023 (1806 d)
Christina Sass Creech	Prospera Financial Services, Inc. other	Robert W. Baird & Co. Incorporated mixed wealth	Other	Aug 28, 2018	Aug 27, 2018
Thomas Alan Graber	Prospera Financial Services, Inc. other	U.S. Bancorp Advisors, LLC BD affiliated	Other	Jul 2, 2018	Jan 30, 2019 (212 d)
Landry Watson	Prospera Financial Services, Inc. other	1st Global Advisors Inc other	Other	Feb 22, 2018	Feb 19, 2018
Stephen Maynard Alinikoff	Prospera Financial Services, Inc. other	Capital Markets Iq, LLC independent RIA	Other	Nov 17, 2017	Nov 17, 2017
Harry Edward O'Conner	Prospera Financial Services, Inc. other	Osaic Fs, Inc. other	Other	Sep 5, 2017	Sep 5, 2017
Jenny Rebecca Elstein	Prospera Financial Services, Inc. other	Lifeplan Group independent RIA	Other	Jul 13, 2017	Sep 13, 2017 (62 d)
Mack Robert Courter	Prospera Financial Services, Inc. other	First Heartland Consultants, Inc. BD affiliated	Other	Jul 5, 2017	May 1, 2026 (3222 d)
David Willingham Lentz	Prospera Financial Services, Inc. other	Kestra Advisory Services, LLC other	Other	Jun 20, 2017	Jun 20, 2017
Todd Lee Buchanan	Prospera Financial Services, Inc. other	Msh Capital Advisors LLC other	Other	Jun 20, 2017	Jun 21, 2017
Misty Claerbout	Prospera Financial Services, Inc. other	Msh Capital Advisors LLC other	Other	Jun 20, 2017	Jun 22, 2017
Gary Buchanan	Prospera Financial Services, Inc. other	Msh Capital Advisors LLC other	Other	Jun 20, 2017	Jun 21, 2017
Michael Lance Phillips	Prospera Financial Services, Inc. other	LPL Financial LLC other	Other	Jun 9, 2017	Jun 7, 2017
Jerry Allen Klusener	Prospera Financial Services, Inc. other	International Assets Investment Management, LLC other	Other	May 12, 2017	May 24, 2017
Kyle David Sikes	Prospera Financial Services, Inc. other	Kalos Management other	Other	Jan 5, 2017	Mar 2, 2017 (56 d)
Karen Marie Clerici	Prospera Financial Services, Inc. other	Transamerica Retirement Advisors, LLC mixed wealth	Other	Nov 15, 2016	Oct 30, 2018 (714 d)
Jennifer Lee Huber	Prospera Financial Services, Inc. other	Hilltop Securities Inc. other	Other	Jul 6, 2016	Jul 5, 2016
David Robert Bennette	Prospera Financial Services, Inc. other	Morgan Stanley wirehouse	Other	May 19, 2016	May 17, 2016
Dana Greathouse	Prospera Financial Services, Inc. other	Bok Financial Private Wealth, Inc. other	Other	Mar 18, 2016	Apr 15, 2016
Stephen Barnett Shipley	Prospera Financial Services, Inc. other	Commonwealth Financial Network national BD	Other	Jan 14, 2016	Jan 14, 2016
John William Rubottom	Prospera Financial Services, Inc. other	Commonwealth Financial Network national BD	Other	Jan 14, 2016	Jan 14, 2016
Michael William Townsend	Prospera Financial Services, Inc. other	Waddell & Reed other	Other	Nov 30, 2015	Jan 6, 2015
Richard Paul Mills	Prospera Financial Services, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 18, 2015	Nov 16, 2015
William Eric Bishoff	Prospera Financial Services, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 18, 2015	Nov 16, 2015
Adam Edward Bray	Prospera Financial Services, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 18, 2015	Nov 16, 2015
Daniel Stephen Phillips	Prospera Financial Services, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 18, 2015	Nov 16, 2015
Bradley Austin Turlington	Prospera Financial Services, Inc. other	Nfp Advisor Services, LLC other	Other	Jul 27, 2015	Jul 10, 2015
William Terrial Roach	Prospera Financial Services, Inc. other	Dominion Capital Wealth Advisors state registered	Other	Jul 6, 2015	Jul 2, 2015
Thomas Norman Zirbel	Prospera Financial Services, Inc. other	Fbl Investment Management Services, Inc. other	Other	Jul 2, 2015	Jul 21, 2016 (385 d)
Jennifer Lee Nelson	Prospera Financial Services, Inc. other	Dominion Capital Wealth Advisors state registered	Other	Jun 24, 2015	Jun 24, 2015
Shanth David	Prospera Financial Services, Inc. other	1st Global Advisors Inc other	Other	Jun 11, 2015	Jun 10, 2015
Ivan Stephen Sacks	Prospera Financial Services, Inc. other	B. Riley Wealth Advisors, Inc. other	Other	Apr 24, 2015	Apr 23, 2015
Preston Paul Mokris	Prospera Financial Services, Inc. other	Concorde Asset Management, LLC other	Other	Jan 7, 2015	Jan 7, 2015
Thomas Kevin Ambrose	Prospera Financial Services, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Jun 6, 2014	Jul 2, 2014
Cindy Michelle Tamborello	Prospera Financial Services, Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 8, 2014	Dec 17, 2013
Andrew George Gergatsoulis	Prospera Financial Services, Inc. other	Aegis Capital Corp. other	Other	Nov 5, 2013	Nov 6, 2013
Peter Carmine Covino	Prospera Financial Services, Inc. other	American Independent Securities Group, LLC other	Other	Oct 7, 2013	Mar 3, 2014 (147 d)
Ross Wayne Luekenga	Prospera Financial Services, Inc. other	American Independent Securities Group, LLC other	Other	Oct 7, 2013	Oct 4, 2013
Helen Mary Colon	Prospera Financial Services, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Aug 29, 2013	Sep 27, 2013
Joe David Myers	Prospera Financial Services, Inc. other	Independent Financial Group, LLC other	Other	Apr 17, 2013	Apr 25, 2013
Mark Devin Johnson	Prospera Financial Services, Inc. other	Rbf Wealth Advisors other	Other	Jan 2, 2013	Jan 25, 2013
William Larry Standridge	Prospera Financial Services, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Dec 31, 2012	Apr 29, 2013 (119 d)
Jeri D Barrientos	Prospera Financial Services, Inc. other	Woodbury Financial Services, Inc. other	Other	Apr 5, 2012	Apr 3, 2012
Mark Dennie Howard	Prospera Financial Services, Inc. other	Cetera Advisors LLC other	Other	Feb 21, 2012	Apr 9, 2013 (413 d)
Alexander Patrick Kline	Prospera Financial Services, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Dec 20, 2011	Dec 21, 2011
Thomas Spessard Cain	Prospera Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Jul 5, 2011	Jul 5, 2011
Matthew J Nielsen	Prospera Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Jul 5, 2011	Jul 1, 2011
Robert Joseph Mcdonough	Prospera Financial Services, Inc. other	Wealth Resources, Inc. unclassified	Other	Mar 16, 2011	Jan 2, 2003
Erick Byrum Dahl	Prospera Financial Services, Inc. other	Mulvihill Asset Management, LLC unclassified	Other	Nov 30, 2010	Dec 2, 2010
Andrew James Allen Head	Prospera Financial Services, Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Jun 30, 2009	Jun 30, 2009
Alan David Luttman	Prospera Financial Services, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Dec 12, 2008	Nov 19, 2008
Michael Patrick Braddy	Prospera Financial Services, Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Dec 12, 2008	Nov 19, 2008

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125 moves match.