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
Skyler Craig Fredrickson	Gwn Securities Inc. other	Planmember Securities Corporation other	Other	Nov 11, 2014	Nov 12, 2014
Joseph Brent Hill	Gwn Securities Inc. other	Planmember Securities Corporation other	Other	Nov 11, 2014	Nov 12, 2014
Gregory J Sagers	Gwn Securities Inc. other	Planmember Securities Corporation other	Other	Nov 4, 2014	Nov 10, 2014
Bradley Campbell Barclay	Gwn Securities Inc. other	Brookstone Wealth Advisors, LLC other	Other	Aug 29, 2014	Nov 5, 2014 (68 d)
Kevin L Ullery	Gwn Securities Inc. other	USA Financial Securities LLC other	Other	Aug 15, 2014	Aug 22, 2014
Sandra Ohehir Keir	Gwn Securities Inc. other	Suncoast Advisory Group unclassified	Other	Aug 5, 2014	Aug 20, 2014
Nila Marie Moore	Gwn Securities Inc. other	Planmember Securities Corporation other	Other	Aug 4, 2014	Aug 1, 2014
Stuart Bruce Allen	Gwn Securities Inc. other	Planmember Securities Corporation other	Other	Jun 27, 2014	Jun 27, 2014
James Luther Patton	Gwn Securities Inc. other	Planmember Securities Corporation other	Other	Jun 25, 2014	Jun 26, 2014
Clifford Ike Nichols	Gwn Securities Inc. other	Planmember Securities Corporation other	Other	Jan 14, 2014	Jan 29, 2014
James Bruce Brennan	Gwn Securities Inc. other	Planmember Securities Corporation other	Other	Jan 14, 2014	Jan 23, 2014
Joshua Edward Bretl	Gwn Securities Inc. other	Wellment Financial independent RIA	Other	Dec 31, 2013	Jan 6, 2015 (371 d)
George Webber	Gwn Securities Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 21, 2013	Mar 17, 2014 (116 d)
Asim Mandhai	Gwn Securities Inc. other	LPL Financial LLC BD affiliated	Other	Oct 3, 2013	Feb 2, 2024 (3774 d)
Charles Brooker Blanton	Gwn Securities Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Sep 9, 2013	Oct 3, 2013
Anne Huth	Gwn Securities Inc. other	Private Advisor Group, LLC other	Other	Jul 1, 2013	Aug 13, 2013 (43 d)
Warren Stephen Mcclellan	Gwn Securities Inc. other	Pruco Securities, LLC other	Other	May 31, 2013	Jun 4, 2013
Justy Abran Armijo	Gwn Securities Inc. other	Cuna Brokerage Services, Inc. other	Other	May 17, 2013	Mar 31, 2015 (683 d)
Cecelia Wynette Fairfax	Gwn Securities Inc. other	Sb Advisory, LLC other	Other	May 10, 2013	May 17, 2013
Julie A Prinkey	Gwn Securities Inc. other	Onpointe Advisory And Financial Services, LLC no RAUM	Other	Nov 7, 2012	Dec 19, 2012 (42 d)
Andrea Patricia Carpenter	Gwn Securities Inc. other	U.S. Bancorp Investments, Inc. other	Other	Sep 28, 2012	Sep 28, 2012
Mark Malnar	Gwn Securities Inc. other	Cetera Advisors LLC other	Other	Jun 27, 2012	Jun 26, 2012
Richard Getty	Gwn Securities Inc. other	Strategic Advisers LLC national BD	Other	Apr 5, 2012	Apr 27, 2012
Ronald Wiatt Gibbs	Gwn Securities Inc. other	Verity Asset Management other	Other	Mar 30, 2012	Apr 10, 2012
Steven James Sandberg	Gwn Securities Inc. other	Onpointe Advisory And Financial Services, LLC no RAUM	Other	Dec 31, 2011	Jan 15, 2013 (381 d)
James Leland Hancock	Gwn Securities Inc. other	Sicor Securities Inc unclassified	Other	Dec 31, 2011	Sep 14, 2012 (258 d)
Trent Alan Schuler	Gwn Securities Inc. other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Sep 1, 2011	Aug 31, 2011
Scott Gerald Fischer	Gwn Securities Inc. other	Enza Financial, LLC independent RIA	Other	Sep 1, 2011	Nov 17, 2021 (3730 d)
Robert Francis Sullivan	Gwn Securities Inc. other	Centaurus Financial, Inc. other	Other	Jun 17, 2011	Jun 17, 2011
Terri M Jarrell	Gwn Securities Inc. other	Cetera Advisors LLC other	Other	Dec 31, 2010	Jan 12, 2011
Lawrence Clay Spencer	Gwn Securities Inc. other	Morgan Stanley wirehouse	Other	Nov 5, 2010	Nov 4, 2010
Jack Randy Fawcett	Gwn Securities Inc. other	Visionary Wealth Planners LLC state registered	Other	Sep 14, 2010	Jan 26, 2022 (4152 d)
Matthew James Anderson	Gwn Securities Inc. other	Td Ameritrade Investment Management, LLC other	Other	Apr 13, 2010	Mar 30, 2010
William Howard Weber	Gwn Securities Inc. other	Huntington Financial Advisors other	Other	Mar 4, 2010	May 2, 2011 (424 d)
Jeffrey Lloyd Gibbens	Gwn Securities Inc. other	Ic Advisory Services, Inc. other	Other	Dec 31, 2009	Jan 6, 2010
Steven R. Burgess	Gwn Securities Inc. other	Cetera Advisor Networks LLC other	Other	Mar 27, 2009	Mar 27, 2009
James Robert Earl	Gwn Securities Inc. other	Jim Earl Financial state registered	Other	Dec 31, 2008	Feb 6, 2009 (37 d)
Joanne Marie Woiteshek	Gwn Securities Inc. other	Founders Financial Securities, LLC independent RIA	Other	Dec 31, 2008	Oct 24, 2025 (6141 d)
Scott Edward Bretl	Gwn Securities Inc. other	Global Financial Private Capital, Inc. other	Other	Feb 27, 2008	Oct 25, 2012 (1702 d)
Miguel Salazar	Gwn Securities Inc. other	Strategic Advisers LLC national BD	Other	Aug 31, 2007	Feb 27, 2008 (180 d)
Robert Davis Van Sant	Gwn Securities Inc. other	Investment Advisors International, Inc. unclassified	Other	Aug 31, 2007	Sep 18, 2007
Alfred James Feronti	Gwn Securities Inc. other	World Capital Advisors, LLC other	Other	Jun 1, 2007	Jan 16, 2008 (229 d)
Layne Virgil Monroe	Gwn Securities Inc. other	Voya Financial Advisors, Inc. other	Other	May 16, 2007	May 16, 2007
Nathan Lee Wilson	Gwn Securities Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Apr 25, 2006	Apr 28, 2006

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224 moves match.