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
Brian Quinn ColemanCetera Investment Services LLC otherKey Investment Services LLC otherOtherFeb 26, 2013Apr 3, 2013 (36 d)
Mark J. HovanicCetera Investment Services LLC otherConsolidated Portfolio Review Corp otherOtherFeb 8, 2013Jan 12, 2015 (703 d)
Jonathan Richard FerrellCetera Investment Services LLC otherOsaic Institutions, Inc. otherOtherFeb 7, 2013Feb 15, 2013
Ryan Patrick MollCetera Investment Services LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 24, 2013Feb 13, 2013
Douglas Eugene HenkeCetera Investment Services LLC otherCreative Financial Designs, Inc. otherOtherJan 17, 2013Jan 17, 2013
Rochelle Lea MurphyCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherJan 8, 2013Feb 4, 2013
Justin Mark LevanetzCetera Investment Services LLC otherJ.P. Morgan Securities LLC wirehouseOtherDec 20, 2012Dec 20, 2012
Andrew M. NakagawaCetera Investment Services LLC otherU.S. Bancorp Advisors, LLC otherOtherDec 20, 2012Mar 14, 2013 (84 d)
Gerald Joseph MccreadyCetera Investment Services LLC otherRaymond James Financial Services Advisors, Inc otherOtherDec 18, 2012Dec 18, 2012
Kevin Thomas NollCetera Investment Services LLC otherLPL Financial LLC otherOtherDec 5, 2012Dec 4, 2012
Alisha Marie NorrisCetera Investment Services LLC otherLPL Financial LLC otherOtherDec 5, 2012Dec 4, 2012
Vincent Francis DobranskyCetera Investment Services LLC otherAmeriprise Financial Services, LLC national BDOtherDec 4, 2012May 10, 2013 (157 d)
Leah M. BartleyCetera Investment Services LLC otherValic Financial Advisors, Inc. otherOtherNov 29, 2012Nov 12, 2014 (713 d)
Donald Joseph ChristensonCetera Investment Services LLC otherCetera Investment Advisers LLC BD affiliatedOtherNov 13, 2012Jun 29, 2023 (3880 d)
Bradley Gene BrodersenCetera Investment Services LLC otherEagle Strategies LLC otherOtherNov 1, 2012May 20, 2013 (200 d)
Zebradee Isadore JacksonCetera Investment Services LLC otherCitizens Securities, Inc. otherOtherNov 1, 2012Oct 18, 2012
Brent Robert BridenbackCetera Investment Services LLC otherSteward Partners Investment Solutions, LLC otherOtherOct 24, 2012Oct 30, 2012
Therese Illeene MisnerCetera Investment Services LLC otherJ.P. Morgan Securities LLC wirehouseOtherOct 16, 2012May 10, 2013 (206 d)
Gregory Edward SmythCetera Investment Services LLC otherCuna Brokerage Services, Inc. otherOtherOct 11, 2012Mar 22, 2014 (527 d)
Linda E. MoranCetera Investment Services LLC otherAmeriprise Financial Services, LLC national BDOtherSep 21, 2012Oct 10, 2012
Jeremy Michael ShaferCetera Investment Services LLC otherRfm Financial Solutions, LLC otherOtherSep 14, 2012Sep 21, 2012
Asta SandersCetera Investment Services LLC otherEmpowered Retirement, Inc. state registeredOtherSep 12, 2012May 12, 2015 (972 d)
Jennifer Lynne ArpsCetera Investment Services LLC otherH. Beck, Inc. otherOtherSep 10, 2012Dec 14, 2012 (95 d)
Cory James ThompsonCetera Investment Services LLC otherFirst Independent Advisory Services, Inc. unclassifiedOtherSep 4, 2012Jan 2, 2013 (120 d)
John Chaopin YangCetera Investment Services LLC otherPacrim Advisory Services state registeredOtherAug 20, 2012Sep 19, 2012
Jason Edward MayCetera Investment Services LLC otherLPL Financial LLC otherOtherAug 10, 2012Aug 15, 2012
Joseph Raymond EckelkampCetera Investment Services LLC otherEdward Jones national BDOtherAug 7, 2012Aug 24, 2012
David Lawrence TuyoCetera Investment Services LLC otherCuso Financial Services, L.P. otherOtherAug 2, 2012May 19, 2014 (655 d)
Susan June DerenzoCetera Investment Services LLC otherLPL Financial LLC otherOtherAug 1, 2012Aug 1, 2012
John Charles CameronCetera Investment Services LLC otherLPL Financial LLC otherOtherJul 17, 2012Aug 1, 2012
David Deane PowellCetera Investment Services LLC otherFirst Independent Advisory Services, Inc. unclassifiedOtherJul 3, 2012Jul 5, 2012
David Reynolds TraceyCetera Investment Services LLC otherPathway Financial Advisers, LLC otherOtherJul 3, 2012Dec 13, 2017 (1989 d)
Thomas Francis BennettCetera Investment Services LLC otherNew England Securities Corporation otherOtherJun 25, 2012Aug 8, 2012 (44 d)
Wesley Adam WeinsteinCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherJun 18, 2012Jun 15, 2012
Ashley Lauren KremhelmerCetera Investment Services LLC otherStrategic Advisers LLC national BDOtherJun 4, 2012Jun 19, 2012
Alan Lee CrouseCetera Investment Services LLC otherTransamerica Retirement Advisors, LLC otherOtherMay 31, 2012May 22, 2014 (721 d)
Hui-Chen ChenCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherMay 29, 2012May 29, 2012
Blaine Allen PetersonCetera Investment Services LLC otherMorgan Stanley wirehouseOtherApr 30, 2012May 25, 2012
Ronna Marie VogesCetera Investment Services LLC otherInvestment Management Group otherOtherApr 30, 2012Jun 20, 2024 (4434 d)
Michael Robert OsgoodCetera Investment Services LLC otherCuna Brokerage Services, Inc. otherOtherApr 25, 2012Feb 26, 2013 (307 d)
Jason David DrayCetera Investment Services LLC otherFisher Investments otherOtherMar 30, 2012Nov 25, 2015 (1335 d)
Terry Albert PasqualeCetera Investment Services LLC otherMsi Financial Services, Inc. otherOtherMar 23, 2012Jul 31, 2012 (130 d)
Jaime Lynn WynsmaCetera Investment Services LLC otherInvestment Professionals, Inc. otherOtherMar 5, 2012Feb 29, 2012
Debra Rae MartinCetera Investment Services LLC otherAdvice And Planning Services otherOtherMar 2, 2012Nov 28, 2012 (271 d)
Jon Bradley BurnettCetera Investment Services LLC otherLPL Financial LLC otherOtherFeb 21, 2012Feb 21, 2012
Adam Lee DeskinsCetera Investment Services LLC otherWoodbury Financial Services, Inc. otherOtherFeb 17, 2012Feb 17, 2012
Hamilton Loftin MartinCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 7, 2012
Eric Christopher DubrocCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 7, 2012
Keri Vogel DanielCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 7, 2012
Rebecca Lyn SequeiraCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 7, 2012
Larry CuervoCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 15, 2012
Sondra Jones RobbinsCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 10, 2012
James Joseph McgintyCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 17, 2012
Graham Garrett HemeltCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 7, 2012
Donald Richard AbaunzaCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 8, 2012
Wayne Joseph MurryCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 7, 2012
Sayde L SmithCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 10, 2012
Thomas Eugene SmithCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 8, 2012
Monica Lea ShermanCetera Investment Services LLC otherHancock Whitney Investment Services Inc. otherOtherFeb 13, 2012Feb 21, 2012
Amber Kay OrtizCetera Investment Services LLC otherU.S. Bancorp Advisors, LLC otherOtherFeb 10, 2012May 8, 2013 (453 d)
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535 moves match.