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 Gwn Securities 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 |
|---|---|---|---|---|---|
| Peter Steven Franco | Gwn Securities Inc. BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 21, 2026 | Aug 28, 2026 |
| Jason Kyle Rogers | Gwn Securities Inc. BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jul 7, 2026 | Jul 15, 2026 |
| Daniel William Worthington | Gwn Securities Inc. BD affiliated | Stonebridge Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2026 | Jun 25, 2026 |
| Carter Moffitt | Gwn Securities Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 29, 2026 | Jun 17, 2026 |
| Tyler Eric Zaborsky | Gwn Securities Inc. BD affiliated | Impact Partnership Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2026 | May 1, 2026 |
| Julian Carter Driver | Gwn Securities Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2026 | May 12, 2026 |
| Andrew John Mcculloch | Gwn Securities Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2026 | Mar 27, 2026 |
| Brian Thomas White | Gwn Securities Inc. BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2026 | Apr 22, 2026 |
| Ireland Hatch | Gwn Securities Inc. BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Mar 19, 2026 | Apr 23, 2026 (35 d) |
| Riley James Thompson | Gwn Securities Inc. BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Mar 19, 2026 | Aug 7, 2026 (141 d) |
| Haein Choi | Gwn Securities Inc. BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jan 28, 2026 | Feb 18, 2026 |
| Jared M Gruccio | Gwn Securities Inc. BD affiliated | Advice To Thrive state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 27, 2026 | Jan 23, 2026 |
| Kevin F Lamberson | Gwn Securities Inc. BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 12, 2026 | Jul 27, 2026 (196 d) |
| Sharlene Jamison | Gwn Securities Inc. BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2025 | Mar 19, 2026 (93 d) |
| Justin Anthony Baierl | Gwn Securities Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2025 | Oct 24, 2025 |
| Cole Taylor Finley | Gwn Securities Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Aug 26, 2025 | Nov 3, 2025 (69 d) |
| William Benjamin | Gwn Securities Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2025 | Aug 1, 2025 |
| Kyle Matthew Farley | Gwn Securities Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 11, 2025 | Aug 19, 2025 (39 d) |
| Simona Taurosevicius | Gwn Securities Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2025 | Jul 8, 2025 |
| Ryan Kelsey Roth | Gwn Securities Inc. BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jun 27, 2025 | Sep 11, 2025 (76 d) |
| Yuan Yao | Gwn Securities Inc. BD affiliated | Goldman Sachs Wealth Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2025 | Aug 14, 2025 (66 d) |
| John Paul Johnson | Gwn Securities Inc. BD affiliated | Triad Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2025 | Jun 4, 2025 |
| Tyson Andrew Pointer | Gwn Securities Inc. BD affiliated | Triad Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2025 | Jun 4, 2025 |
| Jonah Elias Leppert Simenauer | Gwn Securities Inc. BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | May 29, 2025 | Jul 10, 2025 (42 d) |
| Erica Guadalupe Zaragoza | Gwn Securities Inc. BD affiliated | Prosperitas Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 12, 2025 | May 12, 2025 |
| Lynn Stebbins | Gwn Securities Inc. BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2025 | Mar 21, 2025 |
| Austin John Schrock | Gwn Securities Inc. BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2025 | Mar 21, 2025 |
| Anthony S. Pavia | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 18, 2025 | Mar 18, 2025 |
| Kenneth Sedlock | Gwn Securities Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 25, 2024 |
| Jennifer Lee Villarreal | Gwn Securities Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 26, 2024 |
| Robert L. Cox | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2024 | Nov 8, 2024 |
| Thomas Alexander Ely | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2024 | Nov 13, 2024 |
| Robert E. Laine | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2024 | Nov 10, 2024 |
| Donna Pierce Webb | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2024 | Nov 8, 2024 |
| Marcin Filip Swiderski | Gwn Securities Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2024 | Oct 28, 2024 |
| Mark Anthony Kubik | Gwn Securities Inc. BD affiliated | Mwa Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2024 | Dec 7, 2025 (459 d) |
| Mark Edward Henderson | Gwn Securities Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2024 | Sep 5, 2024 |
| Ashley Katie Ting | Gwn Securities Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2024 | May 8, 2024 |
| Riley Harris Feldman | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 19, 2024 | Apr 19, 2024 |
| Cameron Thomas Elafros | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 19, 2024 | Apr 18, 2024 |
| Rayce Nunley | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 19, 2024 | Apr 19, 2024 |
| Korosh Ataei | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 19, 2024 | Apr 19, 2024 |
| Zachery Roth | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 19, 2024 | Apr 19, 2024 |
| Brendan Michael Riley | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 19, 2024 | Apr 19, 2024 |
| Justin Joyce | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 19, 2024 | Apr 19, 2024 |
| Daniel Joseph Weatherton | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 18, 2024 | Apr 19, 2024 |
| Coleman Crawford Davis | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 17, 2024 | Apr 19, 2024 |
| Quan Dat Anh Nguyen | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 16, 2024 | Apr 19, 2024 |
| Garrett Travis John Ronning | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 16, 2024 | Apr 23, 2024 |
| Michael D. Nguyen | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 16, 2024 | Apr 19, 2024 |
| Brandon Jake Blankenship | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 16, 2024 | Apr 19, 2024 |
| Arnold J Staton | Gwn Securities Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Apr 4, 2024 | Apr 3, 2024 |
| Kathleen Murphy | Gwn Securities Inc. BD affiliated | Lincoln Investment independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2024 | Jan 2, 2024 |
| Joseph Fernandes | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 4, 2024 |
| Fernando Efrain Recalde | Gwn Securities Inc. BD affiliated | First Retirement Services LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 14, 2023 | Dec 20, 2023 |
| Sean Henry Culbertson | Gwn Securities Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2023 | Jan 17, 2025 (422 d) |
| Christopher L Zehetmaier | Gwn Securities Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2023 | Nov 14, 2023 |
| John Alison Fahnestock | Gwn Securities Inc. BD affiliated | Q3 Asset Management Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2023 | Oct 18, 2023 |
| Michael Joseph Lynch | Gwn Securities Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2023 | Feb 3, 2025 (495 d) |
| Christian Kubosh | Gwn Securities Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 19, 2023 | Jan 8, 2024 (111 d) |
Page 1 of 4Next
224 moves match.