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 Walnut Street Securities, Inc.

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
Joseph Dennis RoddyWalnut Street Securities, Inc. otherPolaris Retirement Advisors, Inc. unclassifiedOtherSep 5, 2013Feb 1, 2008
Arthur Scott MontgomeryWalnut Street Securities, Inc. otherParamount Financial LLC unclassifiedOtherSep 5, 2013Apr 17, 2009
Joseph Thomas KurzejaWalnut Street Securities, Inc. otherTower Square Securities, Inc. otherOtherSep 5, 2013Jul 29, 2008
Sean David SpellmanWalnut Street Securities, Inc. otherNew England Securities Corporation otherOtherSep 5, 2013Aug 24, 2007
David Oliver CashdollarWalnut Street Securities, Inc. otherCetera Advisor Networks LLC otherOtherSep 3, 2013Sep 3, 2013
Daniel Bernard MayerWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Ralph Thomas ServatiWalnut Street Securities, Inc. otherSecurities Brokerage Services state registeredOtherSep 3, 2013Apr 5, 2011
William Gerard MckennaWalnut Street Securities, Inc. otherProvenance Wealth Advisors no RAUMOtherSep 3, 2013Apr 8, 2013
Anthony Noel WadsworthWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Gerald Lynn MarrinerWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Scott Henry GuetzWalnut Street Securities, Inc. otherCetera Advisor Networks LLC otherOtherSep 3, 2013Sep 3, 2013
Tom Arno StapelWalnut Street Securities, Inc. otherFinancial Management Strategies, Inc. otherOtherSep 3, 2013Jan 20, 2011
Jeffrey Charles KnoxWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Michael David RaymondWalnut Street Securities, Inc. otherCetera Advisor Networks LLC otherOtherSep 3, 2013Sep 3, 2013
Melissa Joy ReiderWalnut Street Securities, Inc. otherFinancial Management Strategies, Inc. otherOtherSep 3, 2013Jul 2, 2013
Steven Scott RichardsonWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
F. Joseph MarshWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
William A NoyceWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
George Dewey EggersWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Laura Lynne PalumboWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
James Donald RichardsWalnut Street Securities, Inc. otherVantage Financial Group, Inc. otherOtherSep 3, 2013Sep 3, 2014 (365 d)
Michael Scott WeismanWalnut Street Securities, Inc. otherVicus Capital, Inc. otherOtherSep 3, 2013Jun 21, 2010
John Joseph SnyderWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Kemper David ArnoldWalnut Street Securities, Inc. otherVicus Capital, Inc. otherOtherSep 3, 2013Jul 21, 2017 (1417 d)
Craig William MarkhamWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Blake Deonne AmickWalnut Street Securities, Inc. otherCetera Advisor Networks LLC otherOtherSep 3, 2013Sep 3, 2013
Michael John MatsonWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
David William JonesWalnut Street Securities, Inc. otherVantage Financial Group, Inc. otherOtherSep 3, 2013Aug 6, 2013
Leonard Prestwich PenrodWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Ronald Allen PetersWalnut Street Securities, Inc. otherVantage Financial Group, Inc. otherOtherSep 3, 2013Feb 12, 2015 (527 d)
Stacey Gibble BarrickWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Thomas Allen BrayWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Apr 9, 2023 (3505 d)
Daniel Scott DonnellanWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Jeffrey Robert MarieaWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
William Eugene WardWalnut Street Securities, Inc. otherVantage Financial Group, Inc. otherOtherSep 3, 2013Nov 7, 2012
Christopher RandazzoWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Kenneth Robert PerkinsWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Wayne Leroy LockeWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Theodore Francis StaatsWalnut Street Securities, Inc. otherSecurities Brokerage Services state registeredOtherSep 3, 2013Dec 11, 2012
Scott Richard MontgomeryWalnut Street Securities, Inc. otherRaymond James Financial Services Advisors, Inc otherOtherSep 3, 2013Sep 11, 2013
Scott Eric HolsteinWalnut Street Securities, Inc. otherVicus Capital, Inc. otherOtherSep 3, 2013Nov 10, 2011
Donald Eugene TinninWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Alexander Wallace BowmanWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Charles Smyth BarkerWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Austin John LindenWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Collier Brent NussbaumerWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Michael Hillel BergmanWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
John Michael EntzWalnut Street Securities, Inc. otherParamount Financial LLC unclassifiedOtherSep 3, 2013Apr 1, 2014 (210 d)
Lucy Cardoso WatsonWalnut Street Securities, Inc. otherVicus Capital, Inc. otherOtherSep 3, 2013Oct 12, 2011
Douglas Paul HarriganWalnut Street Securities, Inc. otherCetera Advisor Networks LLC otherOtherSep 3, 2013Sep 3, 2013
Dennis Jacob HeinWalnut Street Securities, Inc. otherCetera Advisor Networks LLC otherOtherSep 3, 2013Sep 3, 2013
Brian Timothy LeclercqWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Scott A WightWalnut Street Securities, Inc. otherMasland & Barrick Advisory, Inc state registeredOtherSep 3, 2013Feb 19, 2010
Robert Steven GaskinsWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Thomas C. ParonWalnut Street Securities, Inc. otherCetera Advisor Networks LLC otherOtherSep 3, 2013Sep 3, 2013
Bruce Roy WackelinWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Todd Anthony MollWalnut Street Securities, Inc. otherRaymond James Financial Services Advisors, Inc otherOtherSep 3, 2013Sep 11, 2013
Michael J RoehmWalnut Street Securities, Inc. otherCetera Advisor Networks LLC otherOtherSep 3, 2013Sep 3, 2013
Todd Richard KidderWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
Joanne P ScarboroughWalnut Street Securities, Inc. otherCetera Investment Advisers LLC BD affiliatedOtherSep 3, 2013Jun 29, 2023 (3586 d)
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319 moves match.