DFX Intelligence
Advisor moves
Departures from B. Riley Wealth 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 |
|---|---|---|---|---|---|
| Kevin John Dziubela | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 2, 2024 |
| Sean Justin Caplen | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Abbey Elizabeth Ledoux | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 8, 2024 |
| Eric Mendelsohn | B. Riley Wealth Advisors, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Matthew Scott Harris | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Myles Scott | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Changsheng Zhao | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Yanbin Zhu | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 1, 2024 |
| Eric R Cohen | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Oct 17, 2024 |
| Jennifer H. Moerbe | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2024 | Sep 27, 2024 |
| Curtis A. Paul | B. Riley Wealth Advisors, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 18, 2024 | Sep 20, 2024 |
| Robert Januarius Cellucci | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2024 | Sep 16, 2024 |
| William Jason Beard | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2024 | Sep 16, 2024 |
| Herbert Alonzo Taylor | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Sep 19, 2024 |
| Brown Burch Baine | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Sep 19, 2024 |
| Philip Shields Wunderlich | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Sep 19, 2024 |
| Albert Mclemore Alexander | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2024 | Sep 19, 2024 |
| Albert May Alexander | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2024 | Sep 19, 2024 |
| Myranda Johnson | B. Riley Wealth Advisors, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 20, 2024 | Oct 10, 2024 |
| Mark Robert Kaskey | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2024 | Sep 17, 2024 |
| Ann Marie Prizzi | B. Riley Wealth Advisors, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Sep 5, 2024 |
| Clayton Lee Ellis | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Sep 10, 2024 |
| Ronald Alan Richmond | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2024 | Sep 11, 2024 |
| David Dereck Kassir | B. Riley Wealth Advisors, Inc. BD affiliated | Manna Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 28, 2024 | Aug 27, 2024 |
| Eric Thomas Ling | B. Riley Wealth Advisors, Inc. BD affiliated | Accurate Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2024 | Jan 2, 2026 (505 d) |
| Stuart A Ray | B. Riley Wealth Advisors, Inc. BD affiliated | Hilltop Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2024 | Aug 5, 2024 |
| Jacques Frenkel | B. Riley Wealth Advisors, Inc. BD affiliated | Geneva Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 25, 2024 | Jul 24, 2024 |
| James Walker Hays | B. Riley Wealth Advisors, Inc. BD affiliated | Duncan Williams Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 20, 2024 | Jun 14, 2024 |
| Alexander Harrison Snyder | B. Riley Wealth Advisors, Inc. BD affiliated | Duncan Williams Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 20, 2024 | Jun 14, 2024 |
| Amy Koch | B. Riley Wealth Advisors, Inc. BD affiliated | Duncan Williams Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 20, 2024 | Jun 14, 2024 |
| Johnny Nuanes | B. Riley Wealth Advisors, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 13, 2024 | Jun 14, 2024 |
| William Heard Stoddard | B. Riley Wealth Advisors, Inc. BD affiliated | Greenwood Gearhart, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2024 | Jun 18, 2024 |
| Mark Richard Loft | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2024 | May 8, 2024 |
| Robert Howard Keller | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2024 | May 6, 2024 |
| Michael Edwin Crossley | B. Riley Wealth Advisors, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 6, 2024 | May 29, 2024 |
| Carson Mcbee Buell | B. Riley Wealth Advisors, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 6, 2024 | May 3, 2024 |
| Todd Loring Luft | B. Riley Wealth Advisors, Inc. BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2024 | May 3, 2024 |
| James Edward Pinzker | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 18, 2024 | Apr 16, 2024 |
| Sarah Peter | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 18, 2024 | Apr 17, 2024 |
| Marc Alan Liberman | B. Riley Wealth Advisors, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2024 | Apr 18, 2024 |
| Jeffrey Salvatore Cristadoro | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2024 | Apr 11, 2024 |
| Larry Myles Coplan | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2024 | Mar 20, 2024 |
| Gillian Stoddard | B. Riley Wealth Advisors, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2024 | Mar 28, 2024 |
| Roger Daniel Follis | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2024 | Feb 24, 2024 |
| Charles Douglas Hartley | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2024 | Feb 28, 2024 |
| Cory Underwood | B. Riley Wealth Advisors, Inc. BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2024 | Feb 26, 2024 |
| Douglas Edward White | B. Riley Wealth Advisors, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Feb 12, 2024 | Feb 12, 2024 |
| James Rodgers | B. Riley Wealth Advisors, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 30, 2024 | Feb 20, 2024 |
| Robert Ralph Buonanno | B. Riley Wealth Advisors, Inc. BD affiliated | Skyview Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 5, 2024 | Jan 5, 2024 |
| Robert Breck Requard | B. Riley Wealth Advisors, Inc. BD affiliated | Iron River Capital LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 20, 2023 | Dec 15, 2023 |
| Troy Jason Goldberg | B. Riley Wealth Advisors, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2023 | Dec 5, 2023 |
| Jason Johnson Fair | B. Riley Wealth Advisors, Inc. BD affiliated | Stephens BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2023 | Nov 30, 2023 |
| Edward Anthony Hunton | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Nov 27, 2023 |
| Daniel Swift Edmunds | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2023 | Nov 13, 2023 |
| Lynn Renee Sperandeo | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2023 | Nov 10, 2023 |
| Jon M Sanders | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2023 | Nov 6, 2023 |
| John Barry Borton | B. Riley Wealth Advisors, Inc. BD affiliated | Investment Trends Capital Group LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 11, 2023 | Nov 8, 2023 (89 d) |
| Gregory Alan Jacobson | B. Riley Wealth Advisors, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 31, 2023 | Jul 28, 2023 |
| James Walter Murphy | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2023 | Jul 26, 2023 |
| Paul Arthur Laliberte | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2023 | Jul 27, 2023 |
474 moves match.