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
Amber Kay OrtizCetera Investment Services LLC otherU.S. Bancorp Advisors, LLC otherOtherFeb 10, 2012May 8, 2013 (453 d)
Julie Louise SmithCetera Investment Services LLC otherMorgan Stanley wirehouseOtherFeb 8, 2012May 28, 2013 (475 d)
Todd Garrett BarnesCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherJan 3, 2012Mar 20, 2013 (442 d)
Robert Eugene CowgillCetera Investment Services LLC otherVoya Financial Advisors, Inc. otherOtherDec 15, 2011Feb 22, 2013 (435 d)
Lee Roy CoxCetera Investment Services LLC otherNational Planning Corporation ("Npc Of America" In Fl & Ny) otherOtherNov 29, 2011Apr 18, 2012 (141 d)
Heather Ann PrattCetera Investment Services LLC otherUBS Financial Services Inc. wirehouseOtherNov 18, 2011Nov 18, 2011
Sara Dawn StilesCetera Investment Services LLC otherStrategic Advisers LLC national BDOtherNov 3, 2011Apr 5, 2012 (154 d)
Michael Lien LiangCetera Investment Services LLC otherLPL Financial LLC otherOtherOct 28, 2011Nov 1, 2011
Andrew Gerard StarostaCetera Investment Services LLC otherLPL Financial LLC otherOtherOct 14, 2011Oct 17, 2011
Scott James GregoryCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherOct 11, 2011Oct 25, 2011
Mary B HaverlyCetera Investment Services LLC otherChase Investment Services Corp. otherOtherSep 30, 2011Sep 30, 2011
Drew Jacob ShealyCetera Investment Services LLC otherCambridge Investment Research Advisors, Inc. otherOtherSep 22, 2011Dec 15, 2016 (1911 d)
Christopher Russell WalterCetera Investment Services LLC otherUnited Brokerage Services Inc otherOtherAug 2, 2011Sep 7, 2011 (36 d)
James Thomas PowellCetera Investment Services LLC otherAllstate Financial Advisors, LLC no RAUMOtherAug 2, 2011Feb 27, 2012 (209 d)
Lori Lynn BushCetera Investment Services LLC otherKuhn Capital Partners independent RIAOtherJul 27, 2011Dec 11, 2024 (4886 d)
Justin Douglas HendersonCetera Investment Services LLC otherCapital One Financial Advisors LLC unclassifiedOtherJul 8, 2011Aug 1, 2011
Suzanne Annette LakeCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherJun 30, 2011Jun 30, 2011
Gerald Dennis FaheyCetera Investment Services LLC otherLPL Financial LLC otherOtherJun 13, 2011Jun 24, 2011
Scott Michael HartmanCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherJun 8, 2011Feb 18, 2015 (1351 d)
Sheldon Cooper ReedCetera Investment Services LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 2, 2011May 24, 2013 (722 d)
Nava Goldenberg SpivakCetera Investment Services LLC otherU.S. Bancorp Investments, Inc. otherOtherJun 2, 2011Jul 14, 2011 (42 d)
Matthew Wayne SchmidtCetera Investment Services LLC otherMorgan Stanley wirehouseOtherMay 9, 2011May 10, 2011
Rachael Anne McbrideCetera Investment Services LLC otherMorgan Stanley wirehouseOtherMay 9, 2011May 31, 2011
William Pennington DunnCetera Investment Services LLC otherFirst Allied Advisory Services, Inc. otherOtherApr 20, 2011Apr 16, 2013 (727 d)
Patrick Brian MurrayCetera Investment Services LLC otherFirstmerit Advisors, Inc. unclassifiedOtherMar 22, 2011May 16, 2012 (421 d)
James Min YooCetera Investment Services LLC otherMorgan Stanley wirehouseOtherMar 21, 2011Jun 8, 2011 (79 d)
Shaun EckCetera Investment Services LLC otherLPL Financial LLC otherOtherMar 8, 2011Mar 17, 2011
John M WelshCetera Investment Services LLC otherLPL Financial LLC otherOtherFeb 11, 2011Mar 3, 2011
Andrew Lucas FinniganCetera Investment Services LLC otherLPL Financial LLC otherOtherFeb 8, 2011May 12, 2011 (93 d)
Gregory Michael ReedCetera Investment Services LLC otherRaymond James Financial Services Advisors, Inc otherOtherFeb 7, 2011Feb 7, 2011
Craig Michael RasmussonCetera Investment Services LLC otherFlorida Financial Advisors, LLC BD affiliatedOtherFeb 4, 2011Jul 2, 2025 (5262 d)
Christopher Andrew BirkenbeulCetera Investment Services LLC otherLPL Financial LLC independent RIAOtherJan 25, 2011Nov 4, 2022 (4301 d)
Steven John WeitzelCetera Investment Services LLC otherLPL Financial LLC otherOtherDec 17, 2010Dec 17, 2010
Mark Kenneth JohnsonCetera Investment Services LLC otherColliers Securities LLC otherOtherDec 9, 2010Dec 13, 2010
Andreas HessCetera Investment Services LLC otherLPL Financial LLC otherOtherNov 26, 2010Dec 3, 2010
Brooke C JohnsenCetera Investment Services LLC otherMorgan Stanley wirehouseOtherNov 19, 2010Dec 2, 2010
Kevin Richard McintoshCetera Investment Services LLC otherCurian Capital, LLC otherOtherNov 15, 2010Jan 25, 2011 (71 d)
Elizabeth S KramerCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherOct 25, 2010May 14, 2013 (932 d)
Christopher Riley AveyCetera Investment Services LLC otherFirst Allied Securities, Inc. otherOtherOct 13, 2010Oct 6, 2010
Scott Gary BloomCetera Investment Services LLC otherU.S. Bancorp Investments, Inc. otherOtherSep 28, 2010Oct 18, 2010
Daniel Roswell OrttCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 15, 2010Sep 16, 2010
Joseph Robert CraneCetera Investment Services LLC otherMorgan Keegan & Company, LLC otherOtherSep 15, 2010Aug 10, 2011 (329 d)
Audrey Kim WilliamsonCetera Investment Services LLC otherFifth Third Securities, Inc. otherOtherAug 19, 2010Oct 6, 2010 (48 d)
Benjamin J MalickCetera Investment Services LLC otherMitchell Capital Management Co otherOtherAug 11, 2010Aug 25, 2014 (1475 d)
Mary F ChambersCetera Investment Services LLC otherEdward Jones national BDOtherAug 9, 2010Jan 21, 2022 (4183 d)
Sean Michael PahutCetera Investment Services LLC otherU.S. Bancorp Investments, Inc. otherOtherJun 28, 2010Jun 29, 2010
Mark Scott TempleCetera Investment Services LLC otherEdward Jones national BDOtherJun 14, 2010Mar 22, 2021 (3934 d)
James DejulioCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 1, 2010
David CarrollCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 1, 2010
Joseph Edward StrakaCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 3, 2010
Denise Lynnette StormCetera Investment Services LLC otherSecurities America Advisors, Inc. otherOtherJun 2, 2010Jun 2, 2010
Joseph Jonathan BixbyCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 3, 2010
Scott Parker MayoCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 2, 2010
Jess Tyler MeekmaCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 1, 2010
Craig Michael SallCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 3, 2010
Douglas Dale GilbertCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 1, 2010
Mark Daniel VanceCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 2, 2010
Aaron Kenneth KoschCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 3, 2010
Melody Lynn HohnCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 3, 2010
David Isaac EssayCetera Investment Services LLC otherFirst National Capital Markets, Inc. otherOtherJun 2, 2010Jun 1, 2010
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536 moves match.