DFX Intelligence
RIA Intelligence
Advisor moves
Departures from Transamerica Financial Advisors, 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 |
|---|---|---|---|---|---|
| James Anthony Delaney | Transamerica Financial Advisors, LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2023 | Jun 13, 2023 |
| Calvin Bruce Chambers | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2023 | Jun 20, 2023 |
| Brett Richard Polzin | Transamerica Financial Advisors, LLC BD affiliated | Eight Peaks Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 12, 2023 | Aug 8, 2023 (57 d) |
| Gary Curtis Warnica | Transamerica Financial Advisors, LLC BD affiliated | Diversify Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2023 | Dec 18, 2023 (193 d) |
| Randall Clifford Barnes | Transamerica Financial Advisors, LLC BD affiliated | Scf Investment Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 25, 2023 | May 25, 2023 |
| David A Morris | Transamerica Financial Advisors, LLC BD affiliated | Kingswood Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2023 | May 17, 2023 |
| Catherine Patrice Garcia | Transamerica Financial Advisors, LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2023 | May 15, 2023 |
| Jonathan Wright | Transamerica Financial Advisors, LLC BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2023 | May 2, 2023 |
| Fradel Barber | Transamerica Financial Advisors, LLC BD affiliated | The World Changers Investments, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 20, 2023 | Nov 6, 2024 (566 d) |
| Deborah Lorraine Daniels | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 18, 2023 | Apr 17, 2023 |
| Kelly James Collins | Transamerica Financial Advisors, LLC BD affiliated | Yale Capital Corp. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 17, 2023 | Apr 18, 2023 |
| Rodger A Jordan | Transamerica Financial Advisors, LLC BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2023 | May 10, 2023 |
| Brett B Megrue | Transamerica Financial Advisors, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2023 | Mar 29, 2023 |
| Kelcy Leigh Wilcox Weiger | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2023 | Mar 1, 2023 |
| Norman Berry Taylor | Transamerica Financial Advisors, LLC BD affiliated | Api Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 24, 2023 | May 24, 2023 (89 d) |
| Felix Sherrard Lemarinel | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 2, 2023 | Feb 2, 2023 |
| Todd Jay Cloward | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 24, 2023 | Jan 27, 2023 |
| Jonathan Jerry Arayata Lucas | Transamerica Financial Advisors, LLC BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 19, 2023 | Apr 12, 2023 (83 d) |
| Yan Chen | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 19, 2023 | Jan 20, 2023 |
| Vanessa Odile Wagner | Transamerica Financial Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2023 | Jun 29, 2023 (162 d) |
| Spiro Alexander Nanakos | Transamerica Financial Advisors, LLC BD affiliated | Golden Eagle Capital Advisors, Inc. other | Other | Dec 31, 2022 | Jan 25, 2025 (756 d) |
| George Chuwang Chuang | Transamerica Financial Advisors, LLC BD affiliated | Continuum Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2022 | Dec 15, 2023 (359 d) |
| Andrew M Schneider | Transamerica Financial Advisors, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 21, 2022 | Dec 21, 2022 |
| Jose Luis Munoz | Transamerica Financial Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2022 | Dec 8, 2022 |
| Wei-Ping Lo | Transamerica Financial Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2022 | Jun 26, 2024 (558 d) |
| Robert C Hall | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 13, 2022 | Dec 9, 2022 |
| Steven Gerard Tornatore | Transamerica Financial Advisors, LLC BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 7, 2022 | Feb 21, 2023 (76 d) |
| William Robert Walker | Transamerica Financial Advisors, LLC BD affiliated | Concorde Asset Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2022 | Feb 6, 2023 (62 d) |
| Byung Kim | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 23, 2022 | Feb 7, 2023 (76 d) |
| Victor Luis Zayas | Transamerica Financial Advisors, LLC BD affiliated | Stronghold Capital Partners LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 18, 2022 | Nov 29, 2022 |
| Faith Morris | Transamerica Financial Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2022 | Aug 4, 2023 (283 d) |
| Lea Rosel Bush | Transamerica Financial Advisors, LLC BD affiliated | Asset Allocation Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2022 | Apr 30, 2023 (207 d) |
| Deepa Gibbons | Transamerica Financial Advisors, LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2022 | Sep 27, 2022 |
| Shuning Li | Transamerica Financial Advisors, LLC BD affiliated | Transglobal Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 22, 2022 | Aug 18, 2023 (330 d) |
| Kyle Harrison | Transamerica Financial Advisors, LLC BD affiliated | Csenge Advisory Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2022 | Oct 20, 2022 (34 d) |
| Donna R Barnhill | Transamerica Financial Advisors, LLC BD affiliated | Tucker Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 1, 2022 | Sep 6, 2022 |
| Niklaus W Pleisch | Transamerica Financial Advisors, LLC BD affiliated | Kingswood Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2022 | Sep 1, 2022 |
| Robert Brink Van Cleave | Transamerica Financial Advisors, LLC BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2022 | Sep 6, 2022 |
| Richard Arthur Shively | Transamerica Financial Advisors, LLC BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2022 | Nov 22, 2023 (450 d) |
| Dilmurod S Adkhamov | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2022 | Mar 15, 2023 (217 d) |
| Robert Rowland Blount | Transamerica Financial Advisors, LLC BD affiliated | Lion Street Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2022 | Sep 20, 2022 (41 d) |
| Xinge Zhang | Transamerica Financial Advisors, LLC BD affiliated | Bankers Life Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2022 | Jul 25, 2022 |
| Ashton Lanham | Transamerica Financial Advisors, LLC BD affiliated | Fwg Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 25, 2022 | Jul 22, 2022 |
| Nathan A Smith | Transamerica Financial Advisors, LLC BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2022 | Aug 31, 2022 (40 d) |
| Thomas Henry Stapleton | Transamerica Financial Advisors, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2022 | Aug 4, 2022 |
| Latricia Peck | Transamerica Financial Advisors, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 15, 2022 | Aug 30, 2022 (46 d) |
| Christopher Layton Claridge | Transamerica Financial Advisors, LLC BD affiliated | Dfpg Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2022 | Jun 16, 2022 |
| Graham Edward Macneill | Transamerica Financial Advisors, LLC BD affiliated | Crowdstreet Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 14, 2022 | Jul 5, 2022 |
| Layne Curtis Jensen | Transamerica Financial Advisors, LLC BD affiliated | Dfpg Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2022 | Jun 1, 2022 |
| Jeff S. Calhoun | Transamerica Financial Advisors, LLC BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2022 | Jul 19, 2022 (46 d) |
| William Patrick Hinder | Transamerica Financial Advisors, LLC BD affiliated | Brookstone Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2022 | Jun 16, 2022 |
| Robert Anthony Sale | Transamerica Financial Advisors, LLC BD affiliated | Dfpg Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2022 | Jun 3, 2022 |
| Tommy Call Jensen | Transamerica Financial Advisors, LLC BD affiliated | Dfpg Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2022 | Jun 14, 2022 |
| Alfredo Guerrero | Transamerica Financial Advisors, LLC BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2022 | May 20, 2024 (725 d) |
| Cary Peter Green | Transamerica Financial Advisors, LLC BD affiliated | Green Era Financial LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 16, 2022 | Feb 8, 2023 (268 d) |
| Austin Christopher Lee | Transamerica Financial Advisors, LLC BD affiliated | Lee Financial Group state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 11, 2022 | Apr 23, 2025 (1078 d) |
| Don Stewart | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2022 | May 2, 2022 |
| Tricia Monique Mcintosh | Transamerica Financial Advisors, LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 27, 2022 | Dec 12, 2022 (229 d) |
| Andrea Maria Randazzo | Transamerica Financial Advisors, LLC BD affiliated | Geneos Wealth Management, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2022 | Apr 21, 2022 |
| Alejandro Hirsch Marin | Transamerica Financial Advisors, LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 19, 2022 | May 11, 2022 |
1,165 moves match.