DFX Intelligence
Advisor moves
Departures from J. W. Cole Advisors, 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 |
|---|---|---|---|---|---|
| Hunter Mires | J. W. Cole Advisors, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2023 | Oct 3, 2023 |
| Patrick Michael Garrity | J. W. Cole Advisors, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2023 | Jan 23, 2024 (97 d) |
| Laurey Leiko Shibuya | J. W. Cole Advisors, Inc. BD affiliated | Financial Planning Hawaii, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 4, 2023 | Jan 21, 2022 |
| Eric David Duncan | J. W. Cole Advisors, Inc. BD affiliated | Wealth Enhancement Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 3, 2023 | Nov 2, 2023 |
| Jude Harvey Wilson | J. W. Cole Advisors, Inc. BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2023 | Sep 5, 2023 |
| Roland Robert Greco | J. W. Cole Advisors, Inc. BD affiliated | Impact Partnership Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2023 | Sep 24, 2025 (741 d) |
| Heike Soell Parrish | J. W. Cole Advisors, Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2023 | Sep 1, 2023 |
| Brian Joseph Malizia | J. W. Cole Advisors, Inc. BD affiliated | Lakeshore Capital Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 10, 2023 | Jun 30, 2023 |
| Christopher Andrew Barberini | J. W. Cole Advisors, Inc. BD affiliated | Lakeshore Capital Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 10, 2023 | Jun 30, 2023 |
| Rolando Intia | J. W. Cole Advisors, Inc. BD affiliated | Lakeshore Capital Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 10, 2023 | Jun 30, 2023 |
| Carol Ann Schmidlin | J. W. Cole Advisors, Inc. BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2023 | Jun 16, 2023 |
| James Stuart Gallagher | J. W. Cole Advisors, Inc. BD affiliated | Waterstone Financial Advisory LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 18, 2023 | May 19, 2023 |
| Craig Christopher Meuer | J. W. Cole Advisors, Inc. BD affiliated | New Era Financial Advisors, Inc. other | Other | May 2, 2023 | Jan 22, 2014 |
| Shad Ketcher | J. W. Cole Advisors, Inc. BD affiliated | Wealth Enhancement Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2023 | May 17, 2023 |
| Cole Brian Babcock | J. W. Cole Advisors, Inc. BD affiliated | Wealth Enhancement Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2023 | May 1, 2023 |
| Parker Maxwell Marsh | J. W. Cole Advisors, Inc. BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2023 | Feb 13, 2023 |
| Michael Robert Finnie | J. W. Cole Advisors, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2023 | Jan 5, 2023 |
| Guy Michael Brannum | J. W. Cole Advisors, Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2022 | Dec 6, 2023 (340 d) |
| Joe Dennis Murray | J. W. Cole Advisors, Inc. BD affiliated | Cl Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2022 | Jan 3, 2023 |
| Lacy Louise Baluta | J. W. Cole Advisors, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Dec 31, 2022 | Jan 23, 2023 |
| Zakerie Thompson | J. W. Cole Advisors, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 6, 2022 | Feb 22, 2023 (78 d) |
| Matthew Kenneth Harper | J. W. Cole Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2022 | Jul 20, 2024 (593 d) |
| Josef Alan Waltenbaugh | J. W. Cole Advisors, Inc. BD affiliated | Signal Advisors Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 1, 2022 | Mar 16, 2023 (105 d) |
| Patrick Richard Kelly | J. W. Cole Advisors, Inc. BD affiliated | Signal Advisors Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2022 | Jan 1, 2026 (1127 d) |
| Grover C. Henson | J. W. Cole Advisors, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 29, 2022 | Oct 31, 2022 |
| William Eric Rownd | J. W. Cole Advisors, Inc. independent RIA | LPL Financial LLC independent RIA | RIA to RIA | Nov 2, 2022 | Nov 1, 2022 |
| Benjamin Buchanan | J. W. Cole Advisors, Inc. independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Sep 12, 2022 | Nov 22, 2022 (71 d) |
| Jonathan Keith Britt | J. W. Cole Advisors, Inc. independent RIA | Vanguard Advisers, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 8, 2022 | Nov 15, 2022 (68 d) |
| John Ingraham | J. W. Cole Advisors, Inc. independent RIA | Buck Wealth Strategies, LLC no RAUM | RIA to a newly registered adviser | Jul 1, 2022 | Jul 12, 2022 |
| Shawn Robert Mueller | J. W. Cole Advisors, Inc. independent RIA | Ae Wealth Management, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 11, 2022 | May 11, 2022 |
| Stefan Austin Burke | J. W. Cole Advisors, Inc. independent RIA | LPL Financial LLC independent RIA | RIA to RIA | Mar 28, 2022 | Apr 7, 2022 |
| John Robert Deitrick | J. W. Cole Advisors, Inc. independent RIA | Ard Advisory Services, LLC state registered | RIA to a state-registered adviser | Mar 21, 2022 | Mar 21, 2022 |
| Nadine Sieglinde Witt | J. W. Cole Advisors, Inc. independent RIA | Personal Capital Advisors Corporation independent RIA | RIA to RIA | Mar 14, 2022 | Apr 26, 2022 (43 d) |
| Michael Todd Reep | J. W. Cole Advisors, Inc. independent RIA | Tucker Asset Management LLC independent RIA | RIA to RIA | Feb 4, 2022 | Feb 7, 2022 |
| Gerri A Harrison | J. W. Cole Advisors, Inc. independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 19, 2022 | Jan 10, 2022 |
| John Picardi | J. W. Cole Advisors, Inc. independent RIA | Bison Wealth, LLC independent RIA | RIA to RIA | Jan 11, 2022 | Aug 23, 2022 (224 d) |
| Brooke Emily Napiwocki | J. W. Cole Advisors, Inc. independent RIA | Pegasus Partners independent RIA | RIA to RIA | Dec 22, 2021 | Feb 2, 2022 (42 d) |
| Penny Lee Di Giovanna | J. W. Cole Advisors, Inc. independent RIA | Semmax Financial Advisors, Inc. independent RIA | RIA to RIA | Nov 30, 2021 | Dec 2, 2021 |
| Maria Keith | J. W. Cole Advisors, Inc. independent RIA | Public Advisors LLC no RAUM | RIA to a newly registered adviser | Nov 17, 2021 | Nov 15, 2023 (728 d) |
| Timothy Todd Van Houten | J. W. Cole Advisors, Inc. independent RIA | Life Planning Advisors LLC other | Other | Oct 7, 2021 | Nov 30, 2021 (54 d) |
| Robert A Thigpen | J. W. Cole Advisors, Inc. independent RIA | Cyndeo Wealth Partners independent RIA | RIA to RIA | Sep 30, 2021 | Sep 10, 2021 |
| James Stephenson | J. W. Cole Advisors, Inc. independent RIA | Chelsea Advisory Services, Inc independent RIA | RIA to RIA | Sep 27, 2021 | Sep 30, 2021 |
| Christopher David Drew | J. W. Cole Advisors, Inc. independent RIA | Advisory Services Network independent RIA | RIA to RIA | Sep 16, 2021 | Sep 14, 2021 |
| John Joseph Ditrani | J. W. Cole Advisors, Inc. independent RIA | Advisory Services Network independent RIA | RIA to RIA | Aug 27, 2021 | Sep 10, 2021 |
| Austin James Ferlita | J. W. Cole Advisors, Inc. independent RIA | Advisory Services Network independent RIA | RIA to RIA | Aug 27, 2021 | Sep 10, 2021 |
| James Dean Kersey | J. W. Cole Advisors, Inc. independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | May 27, 2021 | May 26, 2021 |
| Allyson Lynn Snow | J. W. Cole Advisors, Inc. independent RIA | Raymond James & Associates, Inc. national BD | RIA to affiliated broker-dealer or bank | May 17, 2021 | Nov 21, 2022 (553 d) |
| Joshua Daniel Cloke | J. W. Cole Advisors, Inc. independent RIA | Roehl & Yi Investment Advisors, LLC independent RIA | RIA to RIA | Mar 31, 2021 | Mar 10, 2021 |
| Tigran Hovhannes Muradyan | J. W. Cole Advisors, Inc. independent RIA | Centura Wealth Advisory independent RIA | RIA to RIA | Mar 19, 2021 | Mar 15, 2021 |
| Joseph Daniel Wirbick | J. W. Cole Advisors, Inc. independent RIA | Sequinox Wealth Advisors, LLC. unclassified | Other | Dec 31, 2020 | Feb 4, 2019 |
| Matthew J Lebo | J. W. Cole Advisors, Inc. independent RIA | Mulholland Wealth Advisors, LLC asset manager | Other | Dec 22, 2020 | Dec 18, 2020 |
| Teressa Dawn Beard | J. W. Cole Advisors, Inc. independent RIA | Mulholland Wealth Advisors, LLC asset manager | Other | Dec 22, 2020 | Dec 18, 2020 |
| Amy Elizabeth Bennage | J. W. Cole Advisors, Inc. independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 15, 2020 | Dec 2, 2020 |
| Kimberly Ann Hamlin | J. W. Cole Advisors, Inc. independent RIA | Voya Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 24, 2020 | Jan 6, 2021 (43 d) |
| Justin Dolan | J. W. Cole Advisors, Inc. independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Oct 6, 2020 | Sep 10, 2020 |
| Keith Merwin Oslie | J. W. Cole Advisors, Inc. independent RIA | Defined Financial Planning LLC independent RIA | RIA to RIA | Oct 6, 2020 | Sep 30, 2020 |
| Samuel Vasquez Gaeta | J. W. Cole Advisors, Inc. independent RIA | Defined Financial Planning LLC independent RIA | RIA to RIA | Sep 29, 2020 | Sep 30, 2020 |
| Joseph Lauria Dipaolo | J. W. Cole Advisors, Inc. independent RIA | Dipaolo Financial Group, Inc. independent RIA | RIA to RIA | Sep 25, 2020 | Aug 27, 2020 |
| Mari Dawn Lloyd | J. W. Cole Advisors, Inc. independent RIA | Cambridge Investment Research Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 17, 2020 | Aug 19, 2020 |
| Mark Steven Arola | J. W. Cole Advisors, Inc. independent RIA | Ae Wealth Management, LLC independent RIA | RIA to RIA | Sep 16, 2020 | Aug 17, 2020 |
272 moves match.