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 |
|---|---|---|---|---|---|
| James Silvagni | Gwn Securities Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2023 | Sep 12, 2023 |
| John Edward Pickarski | Gwn Securities Inc. BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2023 | Sep 5, 2023 |
| Michael Josh Pickarski | Gwn Securities Inc. BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2023 | Aug 30, 2023 |
| Thomas F Sylvestro | Gwn Securities Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2023 | Aug 29, 2023 |
| Jill A. Snyder-Stahl | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2023 | Aug 9, 2023 |
| David Franklin Spivey | Gwn Securities Inc. BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2023 | Jul 9, 2026 (1067 d) |
| Michael Edward Jones | Gwn Securities Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2023 | Aug 4, 2023 |
| Giancarlo Colasuonno | Gwn Securities Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 18, 2023 | Aug 15, 2023 |
| Ryan Wayne Cobb | Gwn Securities Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 5, 2023 | Sep 8, 2023 (65 d) |
| Carlos Javier Tovar | Gwn Securities Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 28, 2023 | Jul 11, 2023 |
| Michelle Miranda | Gwn Securities Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 23, 2023 | Jul 13, 2023 |
| Christian Phillip Miller | Gwn Securities Inc. BD affiliated | Fealty Group LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 22, 2023 | Jun 26, 2023 (35 d) |
| Robert Joseph Dattolo | Gwn Securities Inc. BD affiliated | Alliancebernstein L.P. asset manager | Other | May 15, 2023 | May 26, 2023 |
| Tilden Lester Sowdon | Gwn Securities Inc. BD affiliated | Lifepro Asset Management independent RIA | Affiliated broker-dealer or bank to independent RIA | May 4, 2023 | May 16, 2023 |
| Christian Mcdonald Ramsey | Gwn Securities Inc. BD affiliated | Qria, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 2, 2023 | May 23, 2023 |
| Marcus Jermaine Robinson | Gwn Securities Inc. BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 23, 2023 | Apr 3, 2023 (39 d) |
| Jeremy Michael Leibowitz | Gwn Securities Inc. BD affiliated | Prosperitas Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 2, 2023 | Feb 1, 2023 |
| Carlos Cano | Gwn Securities Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2022 | Feb 6, 2023 (56 d) |
| Joey Sylvester Martin | Gwn Securities Inc. BD affiliated | Soar Financial LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 8, 2022 | Dec 9, 2022 |
| William John Scanlon | Gwn Securities Inc. BD affiliated | Latitude Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 29, 2022 | Aug 9, 2021 |
| Mark John Fisher | Gwn Securities Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 14, 2022 | Nov 14, 2022 |
| Jerome Van Leftwich | Gwn Securities Inc. BD affiliated | Financial Security Services Group, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 31, 2022 | Feb 10, 2023 (102 d) |
| Jean-Philippe Aubry | Gwn Securities Inc. BD affiliated | J.P. Aubry Wealth Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 31, 2022 | Jan 1, 2025 (854 d) |
| Leonard Jun Yi Crutchley Cheah | Gwn Securities Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2022 | Oct 28, 2022 (64 d) |
| Paul J Cook | Gwn Securities Inc. BD affiliated | The Capital Group Investment Advisory Services, LLC other | Other | Aug 2, 2022 | Aug 5, 2022 |
| Joshua Seth Russ | Gwn Securities Inc. BD affiliated | Financial Serenity, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 30, 2022 | Jul 20, 2022 |
| David Ryan Gourley | Gwn Securities Inc. BD affiliated | An Exceptional Life Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 12, 2022 | May 13, 2022 |
| Todd Macdonald Petersen | Gwn Securities Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2022 | Mar 18, 2022 |
| Tracy L Aaron | Gwn Securities Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2022 | Mar 10, 2022 |
| Juan Rhene Ortiz | Gwn Securities Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 4, 2022 | Apr 8, 2022 (35 d) |
| Brent Roy Kimball | Gwn Securities Inc. BD affiliated | Gateway Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2022 | Oct 22, 2023 (633 d) |
| Shane Davis | Gwn Securities Inc. BD affiliated | Elevated Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2022 | Jul 13, 2022 (191 d) |
| Maria L Vargas | Gwn Securities Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2021 | Mar 16, 2022 (92 d) |
| Julie H Barron | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 8, 2021 | Dec 7, 2021 |
| Aiko Yamamoto Leong | Gwn Securities Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 3, 2021 | Jan 7, 2022 (35 d) |
| Sean Alan Stark | Gwn Securities Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2021 | Nov 17, 2021 |
| John Michael Townsend | Gwn Securities Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 21, 2021 | Dec 6, 2021 (46 d) |
| Ericka Marina De La Paz | Gwn Securities Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2021 | Oct 19, 2021 |
| Cheri Landoyer | Gwn Securities Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2021 | Nov 3, 2021 (48 d) |
| Valerie Reyes | Gwn Securities Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2021 | Nov 9, 2021 (56 d) |
| Giovanni Rocco Gallo | Gwn Securities Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2021 | Dec 20, 2021 (113 d) |
| Alexander Cutting Plum | Gwn Securities Inc. BD affiliated | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2021 | Nov 29, 2022 (457 d) |
| Nicholas Forbes Bormann | Gwn Securities Inc. BD affiliated | Bormann Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 18, 2021 | Sep 15, 2021 |
| Joseph Michael Waters | Gwn Securities Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2021 | Jul 30, 2021 |
| Jacqueline B Banister | Gwn Securities Inc. BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2021 | Jul 21, 2021 |
| William Hyde | Gwn Securities Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2021 | Aug 23, 2021 (68 d) |
| Barry A Barnette | Gwn Securities Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2021 | Jun 4, 2021 |
| Kimberly Elaine Saunders | Gwn Securities Inc. BD affiliated | Vestwyze, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 19, 2021 | Jun 3, 2021 |
| Mark Robert Calaci | Gwn Securities Inc. BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 18, 2021 | May 20, 2021 |
| Jack Mackenzie Miceli | Gwn Securities Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 6, 2021 | May 7, 2021 |
| Daniel James-Myron Ryan | Gwn Securities Inc. BD affiliated | Ryan Financial Solutions, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 3, 2021 | Apr 30, 2021 |
| Karina Beyda | Gwn Securities Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 26, 2021 | Jun 7, 2021 (73 d) |
| Danniel Syed Kazi | Gwn Securities Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Feb 17, 2021 | Feb 22, 2021 |
| Christopher Warren Wilbratte | Gwn Securities Inc. BD affiliated | The Fiduciary Alliance independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 2, 2021 | Feb 5, 2021 |
| Richard Cerminara | Gwn Securities Inc. BD affiliated | Richard Cerminara Investor Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2020 | Feb 14, 2021 (45 d) |
| Kenneth Clark Winegar | Gwn Securities Inc. BD affiliated | Interactive Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2020 | Oct 2, 2024 (1371 d) |
| Ethan James Meikle | Gwn Securities Inc. BD affiliated | Intirety, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 14, 2020 | Dec 8, 2020 |
| Shireen Sonian Sharma | Gwn Securities Inc. BD affiliated | Intirety, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 14, 2020 | Dec 8, 2020 |
| William Saboe Ironmonger | Gwn Securities Inc. BD affiliated | Intirety, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 7, 2020 | Dec 3, 2020 |
| Chris Michael Wheeler | Gwn Securities Inc. BD affiliated | Intirety, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 2, 2020 | Nov 2, 2020 |
224 moves match.