DFX Intelligence
Advisor moves
Departures from Securities America Advisors, Inc.What a move isA 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.
1,892 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| April L Martin | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2020 | Jan 23, 2020 |
| Carl Hicks White | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2020 | Jan 16, 2020 |
| Irene Suet Lee-Sluys | Securities America Advisors, Inc. BD affiliated | Gateway Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 16, 2020 | Nov 20, 2025 (2135 d) |
| Thomas Dale Cook | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Jan 16, 2020 |
| Daniel Lee Grote | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Jan 15, 2020 |
| Kevin Thomas Dunn | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Jan 15, 2020 |
| Stephen R Dempsey | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Jan 15, 2020 |
| Shawn Michael Layton | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Jan 15, 2020 |
| Emily Rose Mcdonald | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Jan 2, 2025 (1813 d) |
| Roy Michael Straub | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2020 | Jan 15, 2020 |
| Kerry Lee Monif | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2020 | Jan 15, 2020 |
| Thomas James Mcdonald | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2020 | Jan 16, 2020 |
| Bruce Allen Zirpel | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2020 | Jan 16, 2020 |
| Brett James Cipperley | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2020 | Jan 16, 2020 |
| Christopher Ryan Allred | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2020 | Jan 16, 2020 |
| Andrew M Focht | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2020 | Jan 15, 2020 |
| Taylor Lynn Cleveland | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2020 | Jan 16, 2020 |
| Michael John Forster | Securities America Advisors, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 13, 2020 | Jan 29, 2020 |
| Melodie L Smith | Securities America Advisors, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jan 13, 2020 | Jan 23, 2020 |
| Matthew Graham Watters | Securities America Advisors, Inc. BD affiliated | Midwest Heritage Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2020 | Nov 8, 2019 |
| Philip Stuart Hammond | Securities America Advisors, Inc. BD affiliated | Trendcalc Dynamics state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 7, 2020 | Nov 6, 2017 |
| Jeffrey Dolejs | Securities America Advisors, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 3, 2020 | Feb 12, 2020 (40 d) |
| Luis Emilio Cabuto | Securities America Advisors, Inc. BD affiliated | Verus Capital Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2020 | Jan 1, 2025 (1825 d) |
| Robert Carroll Jones | Securities America Advisors, Inc. BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2019 | Jan 3, 2020 |
| William Xavier Randall | Securities America Advisors, Inc. BD affiliated | Supreme Alliance LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2019 | Aug 27, 2020 (240 d) |
| Brian Donald Burns | Securities America Advisors, Inc. BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2019 | Dec 19, 2019 |
| Jacob Madison Babiuk | Securities America Advisors, Inc. BD affiliated | Sva Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 19, 2019 | Feb 4, 2020 (47 d) |
| Andrew Wayne Harris | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2019 | Dec 13, 2019 |
| Jonathan Phillip Lopez | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2019 | Dec 13, 2019 |
| Charles Robert Aikins | Securities America Advisors, Inc. BD affiliated | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Dec 11, 2019 | Aug 18, 2020 (251 d) |
| Jeffrey Dean Partridge | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2019 | Dec 10, 2019 |
| Nathen John Schneider | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2019 | Dec 10, 2019 |
| William Edward Utes | Securities America Advisors, Inc. BD affiliated | Utes Wealth Strategies state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 2, 2019 | Dec 3, 2019 |
| Lisa Marie Capizzi | Securities America Advisors, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Dec 2, 2019 | Jan 8, 2020 (37 d) |
| Christopher Thomas Doyle | Securities America Advisors, Inc. BD affiliated | Benchmark Advisory Services, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 25, 2019 | Oct 14, 2019 |
| Michael Dean Gourley | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2019 | Nov 21, 2019 |
| Kenneth Scott Small | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Mar 9, 2020 (115 d) |
| Natalie A Jump | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Oct 21, 2019 |
| Steven Maurice Weinstein | Securities America Advisors, Inc. BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2019 | Nov 14, 2019 |
| Anthony Dicapua | Securities America Advisors, Inc. BD affiliated | Focused Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2019 | Oct 12, 2021 (699 d) |
| Thomas Quinn Ellis | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2019 | Nov 12, 2019 |
| Marina Alexandra Armbruster | Securities America Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2019 | Nov 5, 2019 |
| Paul Timothy Reidy | Securities America Advisors, Inc. BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2019 | Nov 21, 2019 |
| Tyler Woods | Securities America Advisors, Inc. BD affiliated | Orion Portfolio Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2019 | Nov 27, 2019 |
| Tyler Joseph Aubrey | Securities America Advisors, Inc. BD affiliated | Define Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2019 | Apr 17, 2021 (523 d) |
| Daniel Christopher Granda | Securities America Advisors, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2019 | Mar 30, 2020 (154 d) |
| Kathleen Jo Scholz | Securities America Advisors, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2019 | Oct 20, 2020 (362 d) |
| Mark Kanyanta | Securities America Advisors, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 22, 2019 | Sep 29, 2020 (343 d) |
| Jamison Anton Jones | Securities America Advisors, Inc. BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2019 | Jan 10, 2020 (85 d) |
| Brandon Douglas Booker | Securities America Advisors, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 7, 2019 | Dec 23, 2019 (77 d) |
| Robert Allen Rader | Securities America Advisors, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2019 | Jan 6, 2020 (95 d) |
| Zachary Joseph White | Securities America Advisors, Inc. BD affiliated | Phillip B. White Co., Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 1, 2019 | Mar 27, 2019 |
| Bruce David White | Securities America Advisors, Inc. BD affiliated | Foothill Securities, Inc. other | Other | Oct 1, 2019 | Dec 12, 2016 |
| Blake Charles Adams | Securities America Advisors, Inc. BD affiliated | 1st Global Advisors Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2019 | Sep 16, 2019 |
| Cynthia Ann Maher | Securities America Advisors, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2019 | Sep 10, 2019 |
| John Nicholas Schneider | Securities America Advisors, Inc. BD affiliated | Kovack Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2019 | Aug 28, 2019 |
| Samuel William Baynes | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2019 | Aug 29, 2019 |
| Gregory Harold Hubbell | Securities America Advisors, Inc. BD affiliated | St. Bernard Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2019 | Aug 18, 2021 (720 d) |
| Karen Gayle Shapiro | Securities America Advisors, Inc. BD affiliated | The Patriot Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2019 | Jul 2, 2019 |
| Mark Lawrence Smith | Securities America Advisors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2019 | Aug 15, 2019 |