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
Charles Dean RappCetera Investment Services LLC otherInvestment Centers Of America, Inc. otherOtherSep 10, 2009Sep 10, 2009
Fu LinCetera Investment Services LLC otherVoya Financial Advisors, Inc. otherOtherSep 10, 2009Dec 15, 2009 (96 d)
Anthony Todd DukeCetera Investment Services LLC otherChase Investment Services Corp. otherOtherSep 9, 2009Sep 23, 2009
Benjamin Dana HalpernCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 3, 2009Sep 25, 2009
Robert P ColettaCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 2, 2009Aug 31, 2009
Jason P MagnottiCetera Investment Services LLC otherTd Ameritrade, Inc. no RAUMOtherSep 1, 2009Jul 23, 2010 (325 d)
Ryan Stephen CarterCetera Investment Services LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 1, 2009Dec 10, 2010 (465 d)
Daniel W GogginsCetera Investment Services LLC otherDavinci Capital Management Inc. state registeredOtherAug 25, 2009Oct 17, 2022 (4801 d)
Andrew J WagnaarCetera Investment Services LLC otherScottrade Investment Management otherOtherAug 24, 2009Apr 30, 2015 (2075 d)
Aaron Scott ThatcherCetera Investment Services LLC otherWells Fargo Investments, LLC unclassifiedOtherAug 24, 2009Aug 25, 2009
Mitchell B OwensCetera Investment Services LLC otherEdward Jones national BDOtherJul 21, 2009Aug 17, 2009
Thomas Joseph LangwayCetera Investment Services LLC otherLPL Financial LLC otherOtherJul 20, 2009Jul 21, 2009
Steven Wayne AikenCetera Investment Services LLC otherOsaic Fs, Inc. otherOtherJul 20, 2009Aug 18, 2009
Willard Dean KlinkCetera Investment Services LLC otherSignator Investors, Inc. otherOtherJul 7, 2009Feb 10, 2010 (218 d)
Kelly Allen WoerdemanCetera Investment Services LLC otherMsi Financial Services, Inc. otherOtherJul 2, 2009Mar 9, 2010 (250 d)
Mary Jean RobbinsCetera Investment Services LLC otherNew England Securities Corporation otherOtherJun 26, 2009Nov 2, 2009 (129 d)
Kirk A MullenCetera Investment Services LLC otherCharles Schwab & Co., Inc. national BDOtherJun 26, 2009Sep 21, 2009 (87 d)
Douglas John PackardCetera Investment Services LLC otherDennis Glynn, Cpa state registeredOtherJun 26, 2009Aug 23, 2021 (4441 d)
Jason J BelyeaCetera Investment Services LLC otherMsi Financial Services, Inc. otherOtherJun 26, 2009Oct 1, 2009 (97 d)
William SjemCetera Investment Services LLC otherCavalier Advisory & Insurance unclassifiedOtherJun 26, 2009Jan 21, 2022 (4592 d)
Nikolas V ButkovCetera Investment Services LLC otherR. Seelaus & Co., Inc. otherOtherJun 26, 2009Sep 15, 2009 (81 d)
Robert Levar DuffusCetera Investment Services LLC otherPeople'S United Advisors, Inc. mixed wealthOtherJun 26, 2009Aug 10, 2021 (4428 d)
Seth Patrick McnallyCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherJun 26, 2009Jul 15, 2010 (384 d)
Torrey Douglas JewettCetera Investment Services LLC otherWells Fargo Investments, LLC unclassifiedOtherJun 26, 2009Jul 1, 2010 (370 d)
John Andrew GordonCetera Investment Services LLC otherThe Patriot Financial Group, LLC otherOtherJun 26, 2009Oct 21, 2016 (2674 d)
Kristi Baker EllingtonCetera Investment Services LLC otherLPL Financial LLC otherOtherJun 22, 2009Jun 23, 2009
Sergio VillaCetera Investment Services LLC otherLPL Financial LLC otherOtherJun 22, 2009Jun 23, 2009
Natalie Jo MerkleyCetera Investment Services LLC otherHuntington Financial Advisors otherOtherJun 15, 2009Sep 15, 2009 (92 d)
Jennifer K StrongCetera Investment Services LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 5, 2009Feb 13, 2015 (2079 d)
Kathleen M WhiteCetera Investment Services LLC otherU.S. Bancorp Advisors, LLC otherOtherJun 5, 2009Sep 10, 2009 (97 d)
Todd Arthur KnappCetera Investment Services LLC otherLPL Financial LLC otherOtherJun 5, 2009Jun 24, 2009
Christopher John HansonCetera Investment Services LLC otherPrincipal Securities, Inc. otherOtherJun 1, 2009Jun 10, 2009
David Eaton RathgebCetera Investment Services LLC otherCadaret Grant & Co Inc otherOtherMay 26, 2009Jul 1, 2009 (36 d)
Peter Joseph SuhoskyCetera Investment Services LLC otherInvest Financial Corporation otherOtherMay 20, 2009May 28, 2009
Tim HoffmanCetera Investment Services LLC otherWells Fargo Investments, LLC unclassifiedOtherApr 29, 2009May 1, 2009
Holly DurdelCetera Investment Services LLC otherPnc Wealth Management otherOtherApr 24, 2009Nov 19, 2009 (209 d)
Steven Douglas SandkuhlerCetera Investment Services LLC otherAmeriprise Financial Services, LLC national BDOtherApr 24, 2009May 5, 2009
Jason HummelCetera Investment Services LLC otherOsaic Wealth, Inc. BD affiliatedOtherApr 13, 2009Feb 2, 2026 (6139 d)
Anthony Joseph FortunaCetera Investment Services LLC otherDominari Securities LLC otherOtherApr 1, 2009Jul 2, 2009 (92 d)
James Edward O'ConnorCetera Investment Services LLC otherMorgan Stanley & Co. LLC unclassifiedOtherFeb 13, 2009Feb 17, 2009
Rodney Brian SmithCetera Investment Services LLC otherU.S. Bancorp Investments, Inc. otherOtherFeb 2, 2009Feb 4, 2009
Paul Wallace GoodCetera Investment Services LLC otherLPL Financial LLC otherOtherJan 26, 2009Jan 20, 2009
Jeffrey Wayne TooleyCetera Investment Services LLC otherJ.J.B. Hilliard, W.L. Lyons, LLC otherOtherJan 21, 2009Jan 16, 2009
Tyler Chai ChapmonCetera Investment Services LLC otherState Farm Investment Management Corp. asset managerOtherJan 12, 2009Aug 3, 2018 (3490 d)
Elizabeth Windsor ThompsonCetera Investment Services LLC otherOsaic Fa, Inc. otherOtherJan 6, 2009Apr 29, 2009 (113 d)
Martin Dennis Ian BarinagaCetera Investment Services LLC otherJ. W. Cole Advisors, Inc. otherOtherDec 22, 2008Jan 5, 2009
Donald Joseph ConnickCetera Investment Services LLC otherBbva Compass Investment Solutions, Inc unclassifiedOtherDec 19, 2008Jun 4, 2009 (167 d)
Michael Brett GilesCetera Investment Services LLC otherEagle Strategies LLC otherOtherDec 18, 2008Jul 10, 2009 (204 d)
Kevin Charles ColeCetera Investment Services LLC otherAmeriprise Financial Services, LLC national BDOtherDec 2, 2008Mar 4, 2009 (92 d)
Valerie Jean ZwostaCetera Investment Services LLC otherBok Financial Advisors otherOtherNov 25, 2008Dec 1, 2008
Brian Anthony KellettCetera Investment Services LLC otherLPL Financial LLC otherOtherNov 12, 2008Nov 17, 2008
Erich William RaaschCetera Investment Services LLC otherInvest Financial Corporation otherOtherNov 4, 2008Nov 19, 2008
Steven Jerome SchneiderCetera Investment Services LLC otherLPL Financial LLC otherOtherOct 30, 2008Nov 3, 2008
Darren Michael LimesandCetera Investment Services LLC otherLPL Financial LLC otherOtherOct 30, 2008Nov 3, 2008
Jason Dean StahlCetera Investment Services LLC otherLPL Financial LLC otherOtherOct 30, 2008Nov 3, 2008
Kelly Lopez AtkinsonCetera Investment Services LLC otherValic Financial Advisors, Inc. otherOtherOct 15, 2008Oct 14, 2008
Becky Diane FitzgeraldCetera Investment Services LLC otherCetera Investment Advisers LLC otherOtherOct 15, 2008Jan 21, 2014 (1924 d)
David Lewis MaceCetera Investment Services LLC otherWealth Enhancement Advisory Services, LLC BD affiliatedOtherOct 14, 2008Feb 10, 2025 (5963 d)
Heather Lee LemonCetera Investment Services LLC otherCarney Antell, LLC unclassifiedOtherOct 3, 2008Jan 30, 2009 (119 d)
Jeffrey Scott BoehmCetera Investment Services LLC otherRaymond James Financial Services Advisors, Inc otherOtherSep 29, 2008May 27, 2009 (240 d)
Page 5 of 9PreviousNext
536 moves match.