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 Cetera Investment Services LLC

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
Jennifer Ann BrandtCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherFeb 6, 2014Feb 7, 2014
Kyle Edward FitzpatrickCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherFeb 6, 2014Jan 24, 2014
Amy Jensen DatemaCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherFeb 5, 2014Feb 10, 2014
Christopher David RankinCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherFeb 5, 2014Feb 10, 2014
Daniel Enrique LunaCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherFeb 5, 2014Feb 13, 2014
Marc HsuCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherFeb 4, 2014Feb 4, 2014
Matthew Christopher DurhamCetera Investment Services LLC otherFsa Investment Group, LLC otherOtherJan 29, 2014Mar 2, 2026 (4415 d)
Lindsay Jo Dockter-HolubCetera Investment Services LLC otherCetera Advisor Networks LLC otherOtherJan 13, 2014Nov 19, 2012
Robert Edward SzymanskiCetera Investment Services LLC otherE*Trade Capital Management, LLC otherOtherJan 9, 2014Jan 14, 2014
John M DemasiCetera Investment Services LLC otherEagle Strategies LLC otherOtherJan 9, 2014Feb 26, 2014 (48 d)
Tary Ben MiddlesworthCetera Investment Services LLC otherEntrusted Wealth state registeredOtherDec 31, 2013Jan 9, 2020 (2200 d)
Brenton Friden StranskyCetera Investment Services LLC otherPrivate Advisor Group, LLC otherOtherDec 13, 2013Dec 16, 2013
Diane Marie MuhlerCetera Investment Services LLC otherSuntrust Investment Services, Inc. otherOtherDec 9, 2013Dec 9, 2013
Mark Neale TompkinsCetera Investment Services LLC otherLPL Financial LLC otherOtherNov 25, 2013Nov 25, 2013
Lillian B HendersonCetera Investment Services LLC otherLPL Financial LLC otherOtherNov 8, 2013Nov 5, 2013
Barnard MontgomeryCetera Investment Services LLC otherLPL Financial LLC otherOtherNov 6, 2013Nov 5, 2013
Chadwick ShullCetera Investment Services LLC otherLPL Financial LLC otherOtherNov 6, 2013Nov 5, 2013
Kristie L PassavantCetera Investment Services LLC otherLPL Financial LLC otherOtherNov 6, 2013Nov 11, 2013
James Anthony BrewerCetera Investment Services LLC otherLPL Financial LLC otherOtherNov 6, 2013Nov 5, 2013
Lara W. BurgessCetera Investment Services LLC otherLPL Financial LLC otherOtherNov 6, 2013Nov 5, 2013
Michael Horng-Jyh FangCetera Investment Services LLC otherTransglobal Advisory, LLC independent RIAOtherNov 5, 2013Sep 12, 2014 (311 d)
Ronald Edwin BarnetteCetera Investment Services LLC otherU.S. Bancorp Investments, Inc. otherOtherNov 4, 2013Nov 18, 2013
Andrew Patrick CampbellCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherNov 1, 2013Nov 21, 2013
Travis DenkenbergerCetera Investment Services LLC otherU.S. Bancorp Investments, Inc. otherOtherOct 31, 2013Oct 28, 2013
Jane A VesoulisCetera Investment Services LLC otherJ.P. Morgan Securities LLC wirehouseOtherOct 25, 2013Oct 31, 2013
Bart HartmanCetera Investment Services LLC otherBb&T Investment Services, Inc. no RAUMOtherOct 15, 2013Oct 22, 2013
Neil Christopher ZellickCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherOct 10, 2013Nov 5, 2013
Harold Russell HartonCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherOct 8, 2013Jan 21, 2014 (105 d)
Boo Young SongCetera Investment Services LLC otherU.S. Bancorp Advisors, LLC otherOtherOct 7, 2013Oct 24, 2013
Joseph Michael MelenickCetera Investment Services LLC otherLPL Financial LLC otherOtherOct 4, 2013Oct 7, 2013
Kenneth David LoebelCetera Investment Services LLC otherMadison Avenue Securities, LLC otherOtherOct 4, 2013Oct 22, 2013
Scott Browning CoombesCetera Investment Services LLC otherScottrade Investment Management otherOtherOct 4, 2013Apr 29, 2016 (938 d)
Daniel ReeceCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherOct 3, 2013Oct 23, 2013
Antonio F CibellaCetera Investment Services LLC otherLPL Financial LLC otherOtherOct 1, 2013Oct 15, 2013
James Daniel LandersCetera Investment Services LLC otherRaymond James Financial Services Advisors, Inc otherOtherSep 30, 2013Jan 16, 2014 (108 d)
Charles Franklin BrownCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 13, 2013Sep 9, 2013
Tabitha Leigh BondCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherSep 11, 2013Sep 17, 2013
Christopher Arthur MarkosCetera Investment Services LLC otherInvestors Capital Advisory otherOtherSep 10, 2013Sep 6, 2013
Michael Stephen HodgesCetera Investment Services LLC otherIndependent Financial Partners otherOtherSep 9, 2013Dec 8, 2015 (820 d)
Steve Ching Huang ChenCetera Investment Services LLC otherU.S. Bancorp Investments, Inc. otherOtherSep 9, 2013Sep 6, 2013
William Andrew SniderCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherSep 4, 2013Apr 14, 2014 (222 d)
Elliott GeeCetera Investment Services LLC otherStrategic Advisers LLC national BDOtherAug 29, 2013Oct 4, 2013 (36 d)
Benedetto Tony AgostinoCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherAug 26, 2013Jul 2, 2014 (310 d)
Chad A ClarkCetera Investment Services LLC otherPnc Wealth Management otherOtherJul 19, 2013Aug 27, 2013 (39 d)
Allen Warren SpainCetera Investment Services LLC otherValic Financial Advisors, Inc. otherOtherJun 28, 2013Feb 22, 2018 (1700 d)
Oliver Y TaoCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherMay 31, 2013Jan 21, 2014 (235 d)
Sharron ScogginsCetera Investment Services LLC otherLPL Financial LLC otherOtherApr 30, 2013May 1, 2013
Lisa SmithCetera Investment Services LLC otherLPL Financial LLC otherOtherApr 30, 2013May 1, 2013
Daryk BraytonCetera Investment Services LLC otherLPL Financial LLC otherOtherApr 30, 2013Apr 30, 2013
Stephen Nye BouslogCetera Investment Services LLC otherLPL Financial LLC otherOtherApr 30, 2013Apr 30, 2013
Mark EssenfeldCetera Investment Services LLC otherLPL Financial LLC otherOtherApr 30, 2013Apr 30, 2013
Robert Louis PuzCetera Investment Services LLC otherUsadvisors Wealth Management, LLC no RAUMOtherApr 24, 2013May 15, 2013
Mary Elizabeth BlackardCetera Investment Services LLC otherAmeriprise Financial Services, LLC national BDOtherApr 23, 2013Apr 19, 2013
Brandon BeckCetera Investment Services LLC otherFirst Financial Securities Of America, Inc. unclassifiedOtherApr 15, 2013Jan 10, 2014 (270 d)
Scott A HatlerCetera Investment Services LLC otherUBS Financial Services Inc. wirehouseOtherApr 5, 2013Apr 8, 2013
Robin Doreen MartinCetera Investment Services LLC otherU.S. Bancorp Advisors, LLC otherOtherMar 22, 2013May 7, 2013 (46 d)
John Edward MartfeldCetera Investment Services LLC otherLevel Four Advisory Services otherOtherMar 8, 2013Mar 26, 2013
Brent Erik CarlsonCetera Investment Services LLC otherLPL Financial LLC otherOtherMar 6, 2013Mar 5, 2013
Jimmy DiepCetera Investment Services LLC otherTd Ameritrade, Inc. no RAUMOtherMar 6, 2013Mar 27, 2013
Jeffrey Scott BoehmCetera Investment Services LLC otherRaymond James Financial Services Advisors, Inc otherOtherFeb 27, 2013Mar 1, 2013
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535 moves match.