DFX Intelligence

RIA Intelligence

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
Tatum Koy Schuler	Cetera Investment Services LLC other	American Century Advisory Services, Inc. no RAUM	Other	Jan 10, 2006	Jan 8, 2007 (363 d)
Daniel Vanwagoner Kill	Cetera Investment Services LLC other	Principal Securities, Inc. other	Other	Jan 6, 2006	Mar 5, 2010 (1519 d)
Sally Stout Witt	Cetera Investment Services LLC other	Wells Fargo Investments, LLC unclassified	Other	Dec 13, 2005	Mar 22, 2006 (99 d)
William Ralph Keenan	Cetera Investment Services LLC other	LPL Financial LLC other	Other	Dec 2, 2005	Jan 3, 2006 (32 d)
Benjamin David Shively	Cetera Investment Services LLC other	Ami Investment Management Inc mixed wealth	Other	Dec 1, 2005	Aug 26, 2022 (6112 d)
Bruce Thomas Gross	Cetera Investment Services LLC other	Wells Fargo Advisors wirehouse	Other	Nov 21, 2005	Dec 2, 2005
Bryan Scott Mccain	Cetera Investment Services LLC other	Voya Financial Partners, LLC other	Other	Nov 21, 2005	Feb 16, 2007 (452 d)
Robert James Halldin	Cetera Investment Services LLC other	Banc Of America Investment Services, Inc. unclassified	Other	Nov 11, 2005	Nov 10, 2005
Chad Duane Anderson	Cetera Investment Services LLC other	Edward Jones national BD	Other	Nov 1, 2005	Nov 14, 2005
Ryan Matthew Huber	Cetera Investment Services LLC other	Uvest Financial Services Group, Inc. unclassified	Other	Sep 23, 2005	Sep 28, 2005
Michael John Westerman	Cetera Investment Services LLC other	Arvest Wealth Management other	Other	Sep 22, 2005	May 26, 2006 (246 d)
Timothy Asche	Cetera Investment Services LLC other	Eagle Strategies LLC other	Other	Sep 19, 2005	May 7, 2012 (2422 d)
Jonathan Howard Jarvis	Cetera Investment Services LLC other	Essex National Securities, Inc. other	Other	Sep 1, 2005	Aug 24, 2005
Michael A Comperchio	Cetera Investment Services LLC other	Essex National Securities, Inc. other	Other	Sep 1, 2005	Aug 24, 2005
Victoria A Cox	Cetera Investment Services LLC other	Wells Fargo Investments, LLC unclassified	Other	Jul 26, 2005	Aug 16, 2005
Mark Edward Romin	Cetera Investment Services LLC other	Citigroup Global Markets Inc. other	Other	Jun 6, 2005	Aug 28, 2006 (448 d)
Michael John Siedschlag	Cetera Investment Services LLC other	Personal Capital Advisors Corporation other	Other	May 27, 2005	Jan 1, 2014 (3141 d)
Randy King Barkley	Cetera Investment Services LLC other	Liberty Group, LLC unclassified	Other	Apr 1, 2005	Mar 1, 2005
Jennifer Anne Emmons Carlson	Cetera Investment Services LLC other	Morgan Stanley Dw Inc. unclassified	Other	Mar 9, 2005	Apr 28, 2005 (50 d)
Peter Francis Forbes	Cetera Investment Services LLC other	B. Riley Wealth Advisors, Inc. other	Other	Feb 22, 2005	Apr 14, 2005 (51 d)
Maurice Hamilton Patterson	Cetera Investment Services LLC other	Walnut Street Securities, Inc. other	Other	Jan 26, 2005	Feb 11, 2005
Karen Lisa Baszak	Cetera Investment Services LLC other	LPL Financial LLC other	Other	Jan 19, 2005	Feb 11, 2005
Bradley James Erickson	Cetera Investment Services LLC other	Woodbury Financial Services, Inc. other	Other	Jan 11, 2005	Jan 24, 2005
Jeffrey Michael White	Cetera Investment Services LLC other	Waddell & Reed other	Other	Jan 10, 2005	Jan 3, 2006 (358 d)
Mark Von Brakel	Cetera Investment Services LLC other	Investment Centers Of America, Inc. other	Other	Nov 1, 2004	Nov 9, 2004
Paul Matthew Damm	Cetera Investment Services LLC other	Wilmington Trust Investment Management other	Other	Oct 14, 2004	Oct 20, 2004
Brian J Reeves	Cetera Investment Services LLC other	Raymond James Financial Services, Inc. unclassified	Other	Oct 8, 2004	Nov 17, 2004 (40 d)
Robbie L Arend	Cetera Investment Services LLC other	Wells Fargo Investments, LLC unclassified	Other	Oct 1, 2004	Jun 29, 2005 (271 d)
Scott Allan Rovito	Cetera Investment Services LLC other	Wells Fargo Advisors wirehouse	Other	Aug 6, 2004	Aug 9, 2004
Vivian Elizabeth Brooks	Cetera Investment Services LLC other	Money Concepts Advisory Service other	Other	Jul 15, 2004	Apr 1, 2013 (3182 d)
Michael Anne Brannen	Cetera Investment Services LLC other	Rda Financial Network other	Other	Jul 15, 2004	Aug 26, 2008 (1503 d)
Matthew J Barhorst	Cetera Investment Services LLC other	Advice And Planning Services other	Other	Jul 15, 2004	Jul 11, 2005 (361 d)
Enrique Ulloa	Cetera Investment Services LLC other	Wells Fargo Investments, LLC unclassified	Other	Jun 18, 2004	Jul 1, 2004
Steven Mark Mitchell	Cetera Investment Services LLC other	Main Street Financial Advisors state registered	Other	Jun 1, 2004	Mar 30, 2016 (4320 d)
Jerry Leon Cutaia	Cetera Investment Services LLC other	Waddell & Reed other	Other	May 3, 2004	May 6, 2004
Samuel Nicholas Wells	Cetera Investment Services LLC other	Edward Jones national BD	Other	Apr 22, 2004	Nov 8, 2006 (930 d)
Werner Maiwald	Cetera Investment Services LLC other	Investors Capital Advisory other	Other	Apr 21, 2004	Mar 10, 2006 (688 d)
Brenda Elizabeth Black	Cetera Investment Services LLC other	Legacy Investment Partners, LLC other	Other	Apr 2, 2004	Oct 29, 2004 (210 d)
Fu Lin	Cetera Investment Services LLC other	Ucb Investment Services, Inc. unclassified	Other	Mar 8, 2004	Apr 21, 2004 (44 d)
Steven Lee Barnes	Cetera Investment Services LLC other	Orr Financial Group unclassified	Other	Feb 23, 2004	Mar 29, 2006 (765 d)
Shu-Yuan Lai	Cetera Investment Services LLC other	Uvest Financial Services Group, Inc. unclassified	Other	Feb 17, 2004	Nov 29, 2004 (286 d)
Hui-Chen Chen	Cetera Investment Services LLC other	Uvest Financial Services Group, Inc. unclassified	Other	Feb 13, 2004	Feb 13, 2004
Lisa Ann Leonard	Cetera Investment Services LLC other	Voya Financial Advisors, Inc. other	Other	Dec 31, 2003	Jan 13, 2003
Douglas Clay Arthur	Cetera Investment Services LLC other	Bi Investments, LLC unclassified	Other	Dec 18, 2003	Dec 15, 2003
Ronald Scott Pozen	Cetera Investment Services LLC other	Fifth Third Securities, Inc. other	Other	Oct 31, 2003	Dec 16, 2008 (1873 d)
Jacob Joshua Marley	Cetera Investment Services LLC other	John Hancock Distributors LLC unclassified	Other	Jul 28, 2003	Nov 20, 2003 (115 d)
Sonja Gunda Rogers	Cetera Investment Services LLC other	A. G. Edwards & Sons, Inc. unclassified	Other	Jun 30, 2003	Jul 1, 2003
Patterson James Mckinlay	Cetera Investment Services LLC other	Osaic Fa, Inc. other	Other	Apr 16, 2003	Jun 18, 2003 (63 d)
Jill Harris Slayton	Cetera Investment Services LLC other	LPL Financial LLC other	Other	Apr 2, 2003	Apr 3, 2003
Russell Wayne Samples	Cetera Investment Services LLC other	Edward Jones national BD	Other	Apr 2, 2003	Apr 22, 2009 (2212 d)
Timothy Lane Wilson	Cetera Investment Services LLC other	LPL Financial LLC other	Other	Apr 2, 2003	Apr 1, 2003
Michelle Casper	Cetera Investment Services LLC other	Wells Fargo Investments, LLC unclassified	Other	Feb 3, 2003	Feb 20, 2003
Jeff Cheng Jin	Cetera Investment Services LLC other	Ucb Investment Services, Inc. unclassified	Other	Dec 13, 2002	Apr 13, 2004 (487 d)
Frank Cook Harris	Cetera Investment Services LLC other	Invest Financial Corporation other	Other	Nov 22, 2002	Nov 25, 2002
Reynaldo Castro Jr.	Cetera Investment Services LLC other	Fintegra, LLC other	Other	Oct 11, 2002	Oct 6, 2005 (1091 d)
Beatrice Francoise Nunez	Cetera Investment Services LLC other	Bbva Compass Investment Solutions, Inc unclassified	Other	Oct 11, 2002	Nov 13, 2009 (2590 d)
Peter J Dupuis	Cetera Investment Services LLC other	Citizens Securities, Inc. other	Other	Apr 30, 2002	Feb 10, 2003 (286 d)

Page 9 of 9Previous

537 moves match.