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.

Advisor	From	To	Type	Left	Registered
Jeffrey Scott Boehm	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Sep 29, 2008	May 27, 2009 (240 d)
Nicole Burony-Noble	Cetera Investment Services LLC other	Wells Fargo Advisors wirehouse	Other	Sep 29, 2008	May 16, 2012 (1325 d)
Timothy Arthur Kiesow	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Sep 29, 2008	May 27, 2009 (240 d)
Rita Teresa Van Schoiack	Cetera Investment Services LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Sep 26, 2008	Mar 21, 2024 (5655 d)
Timothy Jon Robinson	Cetera Investment Services LLC other	Securities America Advisors, Inc. other	Other	Sep 10, 2008	Oct 25, 2011 (1140 d)
Clinton Wesley Barnes	Cetera Investment Services LLC other	Banc Of America Investment Services, Inc. unclassified	Other	Sep 2, 2008	Sep 18, 2008
Melinda Frost Davis	Cetera Investment Services LLC other	Cornerstone Wealth Planning state registered	Other	Aug 28, 2008	Jan 17, 2020 (4159 d)
Jeffrey Gerald Mussatt	Cetera Investment Services LLC other	Agili, P.C. other	Other	Aug 19, 2008	Jul 12, 2010 (692 d)
Claudio Mario Mastroianni	Cetera Investment Services LLC other	M&T Securities, Inc. unclassified	Other	Aug 14, 2008	Oct 1, 2009 (413 d)
Robert Lee Stewart	Cetera Investment Services LLC other	Cetera Advisor Networks LLC other	Other	Aug 7, 2008	Apr 16, 2009 (252 d)
Jeff Olbina	Cetera Investment Services LLC other	M&I Financial Advisors, Inc. no RAUM	Other	Jul 11, 2008	Jan 29, 2009 (202 d)
Jeffrey Joseph Moore	Cetera Investment Services LLC other	M&I Financial Advisors, Inc. no RAUM	Other	Jul 11, 2008	Jan 29, 2009 (202 d)
Keith Frederick France	Cetera Investment Services LLC other	M&I Financial Advisors, Inc. no RAUM	Other	Jul 10, 2008	Feb 11, 2009 (216 d)
Eric Todd Lanshe	Cetera Investment Services LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 8, 2008	Jun 19, 2010 (711 d)
Dream Lyn Obrien	Cetera Investment Services LLC other	Investment Centers Of America, Inc. other	Other	Jul 8, 2008	Jul 21, 2008
Michelle Jennifer Blass	Cetera Investment Services LLC other	Ifg Russell Advisors Inc other	Other	Jul 8, 2008	Jul 1, 2010 (723 d)
Timothy Novatnack	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 5, 2008	Jan 2, 2009 (211 d)
Becky Sue Lynch	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 5, 2008	Jun 5, 2008
Kambiz Saadat	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 5, 2008	Jun 4, 2008
Jacqueline Michelle Waterworth	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 5, 2008	Jun 4, 2008
Gregory Francis Wolfe	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 5, 2008	Jun 4, 2008
Jeffrey Scott Krall	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 5, 2008	Jun 4, 2008
John Paul Sauer	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 5, 2008	Jun 4, 2008
Russell Anthony Kuchera	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 5, 2008	Jun 9, 2008
Scott L Poland	Cetera Investment Services LLC other	Wells Fargo Investments, LLC unclassified	Other	Jun 5, 2008	Jun 16, 2008
Gregory Thomas Malin	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 5, 2008	Jan 2, 2009 (211 d)
Larry Eugene Trego	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 5, 2008	Jan 2, 2009 (211 d)
Joseph Robert Shaw	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 5, 2008	Jan 2, 2009 (211 d)
Gerald Thomas Peden	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 5, 2008	Jan 2, 2009 (211 d)
Paul Kit Stetter	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 5, 2008	Jan 2, 2009 (211 d)
Nicolo Sollena	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 5, 2008	Jan 2, 2009 (211 d)
Christopher Nardone	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 5, 2008	Jun 4, 2008
Russell Melville Hanscom	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 4, 2008	Jun 4, 2008
William Stephen Campbell	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 4, 2008	Jan 2, 2009 (212 d)
Jason Brian Baver	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 4, 2008	Jan 2, 2009 (212 d)
Donald George Guiswite	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 4, 2008	Jan 2, 2009 (212 d)
Clifford John Short	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 4, 2008	Jun 5, 2008
Mary M Phillips	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Jun 4, 2008	Jun 5, 2008
Michele Lee Good	Cetera Investment Services LLC other	Raymond James Financial Services Advisors, Inc other	Other	Jun 4, 2008	Jan 2, 2009 (212 d)
Joseph Scott Malmborg	Cetera Investment Services LLC other	Commonwealth Financial Network national BD	Other	Jun 2, 2008	Mar 31, 2014 (2128 d)
Rajesh Gulrajani	Cetera Investment Services LLC other	Banc Of America Investment Services, Inc. unclassified	Other	May 28, 2008	May 23, 2008
Robert Michael Bonacorsi	Cetera Investment Services LLC other	LPL Financial LLC other	Other	May 27, 2008	May 23, 2008
Richard John Jennings	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	May 22, 2008	Jul 14, 2008 (53 d)
Eric Hyung Kim	Cetera Investment Services LLC other	Positive Delta Asset Management LLC other	Other	May 20, 2008	Jul 29, 2008 (70 d)
Brent Lane Peterson	Cetera Investment Services LLC other	RBC Capital Markets, LLC national BD	Other	May 16, 2008	May 16, 2008
William Howard Black	Cetera Investment Services LLC other	Ifg Advisory, LLC other	Other	May 14, 2008	Sep 25, 2015 (2690 d)
Jeff Chad Carlile	Cetera Investment Services LLC other	Bbva Compass Investment Solutions, Inc unclassified	Other	May 14, 2008	May 14, 2008
Kristin Nicole Campbell	Cetera Investment Services LLC other	Bbva Compass Investment Solutions, Inc unclassified	Other	May 14, 2008	May 14, 2008
Dwight Latham Davenport	Cetera Investment Services LLC other	Penobscot Investment Management Company, Inc. other	Other	Apr 22, 2008	Sep 19, 2008 (150 d)
Alan Barry Krichman	Cetera Investment Services LLC other	Wamu Investments, Inc. unclassified	Other	Apr 15, 2008	Apr 23, 2008
Christopher White Eddy	Cetera Investment Services LLC other	Osaic Institutions, Inc. other	Other	Apr 15, 2008	Aug 15, 2012 (1583 d)
Victor Taylor Caron	Cetera Investment Services LLC other	Cuso Financial Services, L.P. other	Other	Apr 10, 2008	Apr 16, 2008
Kon Son	Cetera Investment Services LLC other	Tower Square Securities, Inc. other	Other	Apr 10, 2008	May 28, 2008 (48 d)
Robert David Zoda	Cetera Investment Services LLC other	Momentum Independent Network Inc. other	Other	Mar 20, 2008	Sep 4, 2009 (533 d)
Thomas John Cama	Cetera Investment Services LLC other	Voya Financial Partners, LLC other	Other	Mar 11, 2008	Mar 14, 2008
Kevin Sanborn Ryan	Cetera Investment Services LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 10, 2008	Feb 21, 2008
Guillermo Hector Monge	Cetera Investment Services LLC other	Cue Financial Group, Inc. other	Other	Mar 4, 2008	Mar 6, 2008
Jay Lynn Guyer	Cetera Investment Services LLC other	M&T Securities, Inc. unclassified	Other	Feb 26, 2008	Apr 28, 2008 (62 d)
James Eric Quillen	Cetera Investment Services LLC other	Truist Advisory Services, Inc. BD affiliated	Other	Feb 26, 2008	Mar 10, 2020 (4396 d)
Jennifer Jae Young Baick	Cetera Investment Services LLC other	Positive Delta Asset Management LLC other	Other	Feb 12, 2008	Apr 22, 2008 (70 d)

Page 6 of 9Previous Next

537 moves match.