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 |
|---|---|---|---|---|---|
| Andrew Charles Quintois | Securian Financial Services, Inc. BD affiliated | Sei Investments Management Corp asset manager | Other | Mar 19, 2019 | May 8, 2019 (50 d) |
| Joshua Kent Lewis | Securian Financial Services, Inc. BD affiliated | V Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 13, 2019 | Apr 16, 2019 (34 d) |
| John Bradford Borden | Securian Financial Services, Inc. BD affiliated | Advisor Resource Council independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2019 | Mar 13, 2019 |
| William Anthony Narduzzi | Securian Financial Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2019 | Jan 11, 2024 (1773 d) |
| Eric Martin Coressel | Securian Financial Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 27, 2019 | Mar 19, 2019 |
| Chase Cole Grundy | Securian Financial Services, Inc. BD affiliated | Beacon Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 27, 2019 | Jan 28, 2020 (335 d) |
| Grant Gotschall | Securian Financial Services, Inc. BD affiliated | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Feb 8, 2019 | Feb 27, 2019 |
| David Claude Roberts | Securian Financial Services, Inc. BD affiliated | Financial Strategies Group, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 6, 2019 | Oct 18, 2019 (254 d) |
| Isaac Norman Staat | Securian Financial Services, Inc. BD affiliated | Orion Portfolio Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2019 | Jan 25, 2021 (720 d) |
| Chaim Meir Weinreb | Securian Financial Services, Inc. BD affiliated | Able Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2019 | Jan 29, 2019 |
| Jason Andrew Beatty | Securian Financial Services, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 25, 2019 | Mar 15, 2019 (49 d) |
| Mark Alan Bonnett | Securian Financial Services, Inc. BD affiliated | Corepath Wealth Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 23, 2019 | Feb 4, 2019 |
| Aldo Raymond Severson | Securian Financial Services, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 9, 2019 | Jan 23, 2019 |
| Gary Thomas Whitehurst | Securian Financial Services, Inc. BD affiliated | Brighter Investing, Pb LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 8, 2019 | Feb 14, 2019 (37 d) |
| Richard Derek Schultenover | Securian Financial Services, Inc. BD affiliated | Corepath Wealth Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2018 | Jan 29, 2019 |
| Kevin Michael Phillips | Securian Financial Services, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Dec 26, 2018 | Dec 20, 2018 |
| Christopher John Purcell | Securian Financial Services, Inc. BD affiliated | Kelman Lazarov Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 18, 2018 | Jan 3, 2019 |
| Rick Evan Mowdy | Securian Financial Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 14, 2018 | Oct 4, 2019 (294 d) |
| Arthur Daniel Veyna | Securian Financial Services, Inc. BD affiliated | Cooper Mcmanus independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 17, 2018 |
| William Nathan Greene | Securian Financial Services, Inc. BD affiliated | Cairn Financial Group state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 7, 2018 | Apr 18, 2019 (132 d) |
| Jalen Adeeb Dagher | Securian Financial Services, Inc. BD affiliated | Cri Securities, LLC other | Other | Dec 7, 2018 | Dec 8, 2016 |
| Victoria Albanese | Securian Financial Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 7, 2018 | Jun 24, 2019 (199 d) |
| Harold Anthony Holtman | Securian Financial Services, Inc. BD affiliated | World Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2018 | Dec 4, 2018 |
| Jeanne Ann Boisen-Baum | Securian Financial Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2018 | Nov 30, 2018 |
| Michael P Barackman | Securian Financial Services, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2018 | Jan 18, 2019 (49 d) |
| Michael Sellitto | Securian Financial Services, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2018 | Oct 11, 2019 (330 d) |
| Richard Brooks Barkley | Securian Financial Services, Inc. BD affiliated | Prime Capital Financial other | Other | Nov 9, 2018 | Nov 5, 2018 |
| Jeff William Grimm | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2018 | Nov 6, 2018 |
| Derek Charles Bailey | Securian Financial Services, Inc. BD affiliated | Empower Advisory Group, LLC institutional | Other | Oct 24, 2018 | Nov 20, 2018 |
| Donald Leon Hawkinson | Securian Financial Services, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2018 | Oct 22, 2018 |
| Justin Limmer | Securian Financial Services, Inc. BD affiliated | Ashton Thomas Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 16, 2018 | Oct 17, 2018 |
| Sophia Yu Liu | Securian Financial Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 27, 2018 | Nov 8, 2018 (42 d) |
| Nathan Scott Powell | Securian Financial Services, Inc. BD affiliated | Legacy Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2018 | May 20, 2025 (2429 d) |
| Christopher Shawn De Veny | Securian Financial Services, Inc. BD affiliated | Wealth Watch Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2018 | Oct 30, 2024 (2238 d) |
| Earl Franklin Vaughn | Securian Financial Services, Inc. BD affiliated | Altruistic Investing mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2018 | Sep 25, 2018 |
| Jeffrey Charles Busbee | Securian Financial Services, Inc. BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 10, 2018 | Aug 17, 2018 |
| Leeland Runestad | Securian Financial Services, Inc. BD affiliated | Corecap Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2018 | Jan 4, 2019 (116 d) |
| James Tietema | Securian Financial Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 6, 2018 | Sep 11, 2018 |
| Garrett Gunnar Jones | Securian Financial Services, Inc. BD affiliated | Crossroads Planning state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 6, 2018 | Apr 22, 2025 (2420 d) |
| Christopher Dodds | Securian Financial Services, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Sep 4, 2018 | Oct 1, 2018 |
| Brian William Frey | Securian Financial Services, Inc. BD affiliated | Gv Financial Advisors, Inc. unclassified | Other | Aug 31, 2018 | Aug 24, 2010 |
| Matthew Lee Ratchenski | Securian Financial Services, Inc. BD affiliated | Cuna Brokerage Services, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2018 | Sep 24, 2018 |
| Nolan Kauhiahiwa Sam Ku | Securian Financial Services, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2018 | Oct 8, 2018 (40 d) |
| Yoel Kaplowitz | Securian Financial Services, Inc. BD affiliated | Able Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 29, 2018 | Sep 5, 2018 |
| Seth Philip Hodes | Securian Financial Services, Inc. BD affiliated | Able Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 21, 2018 | Aug 22, 2018 |
| John Tyler Vander Ploeg | Securian Financial Services, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 17, 2018 | Sep 27, 2018 (41 d) |
| Camille Margaret Smith | Securian Financial Services, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 16, 2018 | Aug 17, 2018 |
| Edward Bradley Smith | Securian Financial Services, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 16, 2018 | Aug 14, 2018 |
| Joshua Allen Geary | Securian Financial Services, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 15, 2018 | Aug 24, 2018 |
| Thomas Jack Bonnington | Securian Financial Services, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2018 | Aug 14, 2018 |
| Jeffrey Paul Artherholt | Securian Financial Services, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2018 | Jul 19, 2018 |
| Steven Thomas Curry | Securian Financial Services, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2018 | Jul 19, 2018 |
| Lisa Amelia Samuels | Securian Financial Services, Inc. BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2018 | Aug 21, 2018 |
| Cherisse Reumont | Securian Financial Services, Inc. BD affiliated | Honeyvest LLC unclassified | Other | Aug 2, 2018 | Sep 19, 2018 (48 d) |
| Deborah Rochelle Yurchak | Securian Financial Services, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2018 | Aug 8, 2018 |
| Daniel James Pessagno | Securian Financial Services, Inc. BD affiliated | Cic Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 5, 2018 | Aug 16, 2018 (42 d) |
| Scott Andrew Stewart | Securian Financial Services, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2018 | Nov 12, 2018 (143 d) |
| Matthew Scott Mohning | Securian Financial Services, Inc. BD affiliated | Msm Financial, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 22, 2018 | Aug 31, 2018 (70 d) |
| David Bosch | Securian Financial Services, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jun 13, 2018 | Oct 30, 2018 (139 d) |
| James Euart Cochran | Securian Financial Services, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 12, 2018 | Jun 11, 2018 |
1,362 moves match.