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 Securian Financial Services, 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 |
|---|---|---|---|---|---|
| Justin Baird | Securian Financial Services, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2021 | May 10, 2021 |
| Ricardo Sarricolea | Securian Financial Services, Inc. BD affiliated | Bny Mellon Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2021 | Jun 16, 2021 (41 d) |
| Claire Moscrop | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2021 | May 26, 2021 |
| Joseph Michael Fiore | Securian Financial Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2021 | Jul 27, 2021 (83 d) |
| Richard Raul Lepore | Securian Financial Services, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2021 | May 3, 2021 |
| Matthew Harrison | Securian Financial Services, Inc. BD affiliated | M&T Securities, Inc. unclassified | Other | May 3, 2021 | Apr 30, 2021 |
| Todd Joseph Schroeder | Securian Financial Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2021 | Apr 20, 2021 |
| Andrew Phillip Meeks | Securian Financial Services, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 16, 2021 | Jul 8, 2021 (83 d) |
| Michael Edwin Smith | Securian Financial Services, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2021 | Apr 23, 2021 |
| Shaun Michael Jones | Securian Financial Services, Inc. BD affiliated | Jones Fiduciary Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 31, 2021 | Jan 12, 2022 (287 d) |
| Kindra A Wilson | Securian Financial Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 29, 2021 | Nov 8, 2021 (224 d) |
| Morris Caleb Rich | Securian Financial Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 23, 2021 | Feb 8, 2022 (322 d) |
| Martina Arelis Jimenez Sperry | Securian Financial Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 16, 2021 | Apr 21, 2021 (36 d) |
| Tyson Shawn Howard | Securian Financial Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 16, 2021 | May 3, 2022 (413 d) |
| Michael D Rott | Securian Financial Services, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 15, 2021 | Mar 10, 2021 |
| Michael James Booth | Securian Financial Services, Inc. BD affiliated | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2021 | Nov 1, 2021 (234 d) |
| David Christopher Benson | Securian Financial Services, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2021 | Feb 18, 2021 |
| Aaron Slotnick | Securian Financial Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2021 | Jun 28, 2021 (116 d) |
| Phillip Edward Battin | Securian Financial Services, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2021 | Mar 1, 2021 |
| Michael Fraser | Securian Financial Services, Inc. BD affiliated | Cri Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2021 | Jan 22, 2019 |
| James Christopher Kilian | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 17, 2021 | Feb 17, 2021 |
| Philip Gerard Ferraro | Securian Financial Services, Inc. BD affiliated | Blackridge Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 25, 2021 | Jan 21, 2021 |
| Michael Angelo Nisivoccia | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2021 | Jan 20, 2021 |
| Marc David Warren | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 21, 2021 | Jan 21, 2021 |
| Jeremy Aden Erisman | Securian Financial Services, Inc. BD affiliated | Simplicity Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2021 | Mar 22, 2021 (60 d) |
| Emily Faulkner | Securian Financial Services, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jan 15, 2021 | Mar 3, 2021 (47 d) |
| Carlos Benitez | Securian Financial Services, Inc. BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2021 | May 5, 2021 (114 d) |
| James J. Tully | Securian Financial Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 16, 2020 | Jan 12, 2021 |
| Ossie Patton | Securian Financial Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2020 | Dec 23, 2020 |
| William Butler | Securian Financial Services, Inc. BD affiliated | Hancock Whitney Investment Services Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2020 | Dec 14, 2020 |
| Stephen Chad Clubb | Securian Financial Services, Inc. BD affiliated | Iams Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 7, 2020 | Sep 16, 2021 (283 d) |
| David Francis Bavero | Securian Financial Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2020 | Oct 26, 2020 |
| Larry Franklin Wynn | Securian Financial Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2020 | Oct 26, 2020 |
| Mark Ethan Southard | Securian Financial Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2020 | Oct 26, 2020 |
| Nicholas Richardo Prangner | Securian Financial Services, Inc. BD affiliated | World Equity Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 17, 2020 | Nov 18, 2020 |
| Frank E Hicks | Securian Financial Services, Inc. BD affiliated | Southport Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Dec 18, 2020 (35 d) |
| Richard Arlen Planto | Securian Financial Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2020 | Oct 26, 2020 |
| Richard Alan Sharp | Securian Financial Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2020 | Oct 26, 2020 |
| Christopher Dale Clark | Securian Financial Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2020 | Oct 26, 2020 |
| Scott David Immel | Securian Financial Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2020 | Oct 26, 2020 |
| David Gay | Securian Financial Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2020 | Oct 26, 2020 |
| Robert Lawson Ainsworth | Securian Financial Services, Inc. BD affiliated | Sei Investments Management Corp other | Other | Nov 9, 2020 | Aug 16, 2022 (645 d) |
| Vitali Kan | Securian Financial Services, Inc. BD affiliated | Cri Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2020 | Nov 4, 2019 |
| Claude Clay | Securian Financial Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2020 | May 19, 2021 (203 d) |
| Jess Chambless Crabtree | Securian Financial Services, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Oct 23, 2020 | Aug 9, 2022 (655 d) |
| Andrew Michael Tate | Securian Financial Services, Inc. BD affiliated | Cahill Financial Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 23, 2020 | Oct 27, 2020 |
| James Holloway | Securian Financial Services, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 23, 2020 | Oct 20, 2020 |
| Nicholas Craig Shoulta | Securian Financial Services, Inc. BD affiliated | Beacon Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 23, 2020 | Mar 10, 2026 (1964 d) |
| Iorwuese Ifan | Securian Financial Services, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2020 | Dec 7, 2020 (48 d) |
| Ryan Edward Berry | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 20, 2020 | Oct 14, 2022 (724 d) |
| Gregory John Workman | Securian Financial Services, Inc. BD affiliated | Kelly Financial Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2020 | Feb 17, 2021 (132 d) |
| Michael William Lahl | Securian Financial Services, Inc. BD affiliated | Vista Advisor Group, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 1, 2020 | Sep 14, 2020 |
| Stephen Hever | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2020 | Oct 5, 2020 |
| Brittny Hobkirk | Securian Financial Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 24, 2020 | Jun 17, 2021 (266 d) |
| Nathan Theroux | Securian Financial Services, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 24, 2020 | Dec 2, 2020 (69 d) |
| Michael Patrick Doucette | Securian Financial Services, Inc. BD affiliated | Kelly Financial Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2020 | Sep 29, 2020 |
| Trevor Alex Farrington | Securian Financial Services, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Sep 16, 2020 | Apr 27, 2026 (2049 d) |
| Matthew Benjamin Bond | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2020 | Aug 19, 2020 |
| Marcela Plasencia Renteria | Securian Financial Services, Inc. BD affiliated | Cri Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2020 | Jul 27, 2018 |
| Peter Martin Evans | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2020 | Aug 19, 2020 |
1,362 moves match.