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
Jared Edward HoffmasterCetera Investment Services LLC otherRaymond James Financial Services Advisors, Inc otherOtherFeb 11, 2008Feb 26, 2010 (746 d)
Darlene Simard DicksonCetera Investment Services LLC otherCitizens Securities, Inc. otherOtherFeb 6, 2008Feb 12, 2008
John Michael EverettCetera Investment Services LLC otherSchwab Wealth Advisory, Inc. BD affiliatedOtherJan 16, 2008Jan 18, 2019 (4020 d)
Ellen Ella RossCetera Investment Services LLC otherPrivate Advisor Group, LLC BD affiliatedOtherJan 16, 2008Mar 12, 2024 (5900 d)
Thomas J LindiaCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherJan 11, 2008Jan 8, 2008
Jeremy D. ScharesCetera Investment Services LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 3, 2008Jan 17, 2008
Mark BlackmerCetera Investment Services LLC otherLPL Financial LLC otherOtherDec 21, 2007Dec 19, 2007
Paula M ParrishCetera Investment Services LLC otherLPL Financial LLC otherOtherDec 20, 2007Sep 16, 2009 (636 d)
Robert HallCetera Investment Services LLC otherPnc Wealth Management otherOtherDec 17, 2007Dec 21, 2007
Vanessa Leann CordellCetera Investment Services LLC otherGreat American Advisors, Inc. otherOtherDec 17, 2007Jul 28, 2008 (224 d)
Devin Wynne JonesCetera Investment Services LLC otherLPL Financial LLC otherOtherDec 6, 2007Dec 14, 2007
Alexander SixbeyCetera Investment Services LLC otherUvest Financial Services Group, Inc. unclassifiedOtherDec 4, 2007Sep 13, 2007
Jeffrey Keith JoinerCetera Investment Services LLC otherRaymond James Financial Services Advisors, Inc otherOtherDec 3, 2007Jan 2, 2009 (396 d)
Valery Messer McmannCetera Investment Services LLC otherRaymond James Financial Services Advisors, Inc otherOtherDec 3, 2007Jan 2, 2009 (396 d)
John Michael PlumbCetera Investment Services LLC otherRaymond James Financial Services Advisors, Inc otherOtherDec 3, 2007Jan 2, 2009 (396 d)
Ellen Ann PaschalCetera Investment Services LLC otherRaymond James & Associates, Inc. national BDOtherNov 30, 2007Nov 17, 2008 (353 d)
Jeffrey Allen ReedCetera Investment Services LLC otherPnc Wealth Management otherOtherNov 26, 2007Dec 18, 2007
Troy Lane StineCetera Investment Services LLC otherCetera Advisors LLC otherOtherOct 31, 2007Dec 20, 2007 (50 d)
Edward Joseph MeekinsCetera Investment Services LLC otherLPL Financial LLC otherOtherOct 31, 2007Nov 2, 2007
Luke VanzoCetera Investment Services LLC otherThrivent Investment Management Inc. BD affiliatedOtherOct 19, 2007Nov 13, 2018 (4043 d)
Richard Carl SextonCetera Investment Services LLC otherCitizens Securities, Inc. otherOtherOct 16, 2007Nov 6, 2007
James Francis LohnesCetera Investment Services LLC otherVoya Financial Partners, LLC otherOtherOct 12, 2007Aug 22, 2008 (315 d)
Michael Stephen LeoneCetera Investment Services LLC otherCitizens Securities, Inc. otherOtherOct 4, 2007Oct 5, 2007
Phillip Peter ParzialeCetera Investment Services LLC otherCitizens Securities, Inc. otherOtherOct 4, 2007Oct 3, 2007
Harry Keller BermanCetera Investment Services LLC otherThe Mutual Fund Store unclassifiedOtherSep 20, 2007Oct 12, 2007
Michael Lee PaquetteCetera Investment Services LLC otherCitizens Securities, Inc. otherOtherSep 18, 2007Sep 24, 2007
Stephen Francis StarzecCetera Investment Services LLC otherBancwest Investment Services, Inc. (Bwis) otherOtherSep 17, 2007Oct 15, 2008 (394 d)
Bradley Allen BerthiaumeCetera Investment Services LLC otherUvest Financial Services Group, Inc. unclassifiedOtherSep 14, 2007Sep 14, 2007
David Wayne SeverCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 5, 2007Sep 4, 2007
Troy Lee CampbellCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 5, 2007Sep 4, 2007
William Tracy ThompsonCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 5, 2007Sep 4, 2007
Ryan Tracy OsborneCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 5, 2007Sep 4, 2007
Christopher Todd HargisCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 5, 2007Sep 4, 2007
Matthew Adam DayCetera Investment Services LLC otherLPL Financial LLC otherOtherSep 5, 2007Sep 4, 2007
Gregory Allen CovaltCetera Investment Services LLC otherUvest Financial Services Group, Inc. unclassifiedOtherSep 4, 2007Sep 6, 2007
Jack S SihCetera Investment Services LLC otherAnchor Wealth Management unclassifiedOtherSep 4, 2007Oct 3, 2007
Paul David MillerCetera Investment Services LLC otherSterne Agee Investment Advisor Services, Inc. otherOtherAug 28, 2007Sep 7, 2007
Stephen Robert WiperCetera Investment Services LLC otherAdvice And Planning Services otherOtherAug 22, 2007Oct 18, 2016 (3345 d)
Deatra Jeanne HarringtonCetera Investment Services LLC otherLPL Financial LLC otherOtherAug 15, 2007Aug 16, 2007
Liyun Chang ChiCetera Investment Services LLC otherCitigroup Global Markets Inc. otherOtherAug 8, 2007Aug 23, 2007
Stephen BartlettCetera Investment Services LLC otherWells Fargo Investments, LLC unclassifiedOtherAug 3, 2007Aug 30, 2007
Peter Randall ZierhutCetera Investment Services LLC otherVoya Financial Advisors, Inc. otherOtherAug 3, 2007Aug 16, 2007
Brian Keith SurovikCetera Investment Services LLC otherAmeriprise Financial Services, LLC national BDOtherJul 25, 2007Jun 21, 2018 (3984 d)
David Lawrence TuyoCetera Investment Services LLC otherLPL Financial LLC otherOtherJul 24, 2007Feb 15, 2008 (206 d)
Lonnie Gene SimpsonCetera Investment Services LLC otherRaymond James Financial Services, Inc. unclassifiedOtherJul 17, 2007Jul 18, 2007
Neal Joseph MckennaCetera Investment Services LLC otherBanc Of America Investment Services, Inc. unclassifiedOtherJul 12, 2007Jul 16, 2007
Anthony Todd DukeCetera Investment Services LLC otherFirst Montauk Securities Corp. unclassifiedOtherJul 12, 2007Aug 6, 2007
Joseph Bedford JamesCetera Investment Services LLC otherMoney Managers, Inc. otherOtherJul 3, 2007Dec 4, 2007 (154 d)
Lydia Faye MobleyCetera Investment Services LLC otherCuna Brokerage Services, Inc. otherOtherJun 29, 2007Jul 16, 2007
Anthony Reynard WesterfieldCetera Investment Services LLC otherBbva Compass Investment Solutions, Inc unclassifiedOtherJun 27, 2007Aug 13, 2007 (47 d)
John William EiseleCetera Investment Services LLC otherWells Fargo Advisors wirehouseOtherJun 25, 2007Mar 31, 2009 (645 d)
Denise Lee GartenCetera Investment Services LLC otherTransamerica Financial Advisors, LLC otherOtherJun 6, 2007Jul 11, 2007 (35 d)
William Jene TebeauxCetera Investment Services LLC otherParagon Financial Advisors otherOtherMay 23, 2007May 16, 2007
Julia Sky KingCetera Investment Services LLC otherLPL Financial LLC otherOtherMay 11, 2007May 18, 2007
John Natale RussoCetera Investment Services LLC otherHsbc Securities (USA) Inc. otherOtherMay 3, 2007May 9, 2007
David Grant PattonCetera Investment Services LLC otherWells Fargo Investments, LLC unclassifiedOtherMay 2, 2007Apr 30, 2007
Richard CaseyCetera Investment Services LLC otherU.S. Bancorp Investments, Inc. otherOtherApr 27, 2007Jan 6, 2010 (985 d)
Samuel K YamCetera Investment Services LLC otherCiticorp Investment Services unclassifiedOtherApr 5, 2007Apr 12, 2007
Chris WestonCetera Investment Services LLC otherSecurities America Advisors, Inc. otherOtherMar 30, 2007May 1, 2007 (32 d)
Emil DefeoCetera Investment Services LLC otherPnc Wealth Management otherOtherMar 19, 2007Mar 20, 2007
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537 moves match.