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 City Securities Corporation

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.

AdvisorFromToTypeLeftRegistered
John Anthony FranzCity Securities Corporation otherJ.J.B. Hilliard, W.L. Lyons, LLC otherOtherDec 31, 2016Apr 16, 2012
Peter Eugene RainesCity Securities Corporation otherRoss, Sinclaire & Associates, LLC otherOtherDec 31, 2016Jun 13, 2017 (164 d)
Clayton Charles WaltersCity Securities Corporation otherRBC Capital Markets, LLC national BDOtherDec 19, 2016Dec 15, 2016
Sarah TomCity Securities Corporation otherMorgan Stanley wirehouseOtherOct 5, 2016Mar 30, 2022 (2002 d)
Christopher Robert HutchensCity Securities Corporation otherWells Fargo Advisors wirehouseOtherMay 9, 2016May 16, 2016
Jack Ray PerryCity Securities Corporation otherLPL Financial LLC otherOtherNov 25, 2015Nov 24, 2015
Timothy Robert SuttonCity Securities Corporation otherUmbaugh Cash Advisory Services, LLC otherOtherMay 12, 2015Mar 23, 2017 (681 d)
David N BrechbuhlCity Securities Corporation otherCetera Investment Advisers LLC otherOtherFeb 17, 2015Apr 2, 2015 (44 d)
Michael Jay MarienCity Securities Corporation otherRobert W. Baird & Co. Incorporated otherOtherSep 26, 2014Sep 26, 2014
Kyle Cassady KlepschCity Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherMay 19, 2014May 22, 2014
Kenneth Richard KlabundeCity Securities Corporation otherPrecedent Financial Strategies independent RIAOtherNov 15, 2013Nov 15, 2013
Kyle ForcadeCity Securities Corporation otherStifel, Nicolaus & Company, Incorporated national BDOtherOct 3, 2013Oct 7, 2013
Michael Blaise GeratyCity Securities Corporation otherSanctuary Advisors, LLC otherOtherFeb 19, 2013Oct 19, 2017 (1703 d)
Amy Jo RiceCity Securities Corporation otherOneamerica Securities, Inc. otherOtherJun 1, 2012Jun 22, 2012
Marc David KleinCity Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherFeb 21, 2012Mar 19, 2012
Steven Aaron FryeCity Securities Corporation otherRaymond James & Associates, Inc. national BDOtherSep 22, 2011Sep 22, 2011
Keely Su ButrumCity Securities Corporation otherRaymond James & Associates, Inc. national BDOtherSep 22, 2011Sep 22, 2011
James Vernon HartCity Securities Corporation otherRaymond James & Associates, Inc. national BDOtherJun 16, 2011Jun 17, 2011
Ryan W VeldhuizenCity Securities Corporation otherKessler Investment Group, LLC otherOtherFeb 18, 2011Apr 19, 2011 (60 d)
Timothy Robert SuttonCity Securities Corporation otherRaymond James & Associates, Inc. national BDOtherSep 20, 2010Oct 19, 2010
Linda Brown MulcahyCity Securities Corporation otherWells Fargo Advisors wirehouseOtherJul 31, 2009Oct 29, 2009 (90 d)
Brian Charles OsnerCity Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherJan 27, 2009Jan 27, 2009
Thomas William DavisCity Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherNov 19, 2008Nov 19, 2008
Michael Anthony CharlesCity Securities Corporation otherAdvice And Planning Services otherOtherMay 31, 2007Jun 22, 2007
Troy Allen HelmCity Securities Corporation otherSummit Financial Group Inc otherOtherDec 4, 2006Dec 4, 2006
Stephan Lars HodgeCity Securities Corporation otherNorthwestern Mutual Investment Services,LLC otherOtherJun 19, 2006Feb 1, 2007 (227 d)
William Albert BehrendCity Securities Corporation otherFifth Third Securities, Inc. otherOtherJun 16, 2006Jul 19, 2006 (33 d)
Page 1 of 1
27 moves match.