DFX 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 |
|---|---|---|---|---|---|
| George Edward Heathcote | Transamerica Financial Advisors, LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2022 | Mar 30, 2022 |
| Ryan Bell | Transamerica Financial Advisors, LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2022 | Mar 30, 2022 |
| David Bronzal Dennis | Transamerica Financial Advisors, LLC BD affiliated | Mwa Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 18, 2022 | Mar 29, 2022 |
| Wei Wu | Transamerica Financial Advisors, LLC BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2022 | Mar 11, 2022 |
| Shannon M. Davis | Transamerica Financial Advisors, LLC BD affiliated | Retirement Plan Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Feb 23, 2022 | Mar 1, 2022 |
| Paul Franklin Paxton | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2022 | Jan 25, 2022 |
| Thomas Tanner | Transamerica Financial Advisors, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2022 | Jan 31, 2022 |
| Scott Toshio Nishimura | Transamerica Financial Advisors, LLC BD affiliated | Continuum Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 25, 2022 | Feb 15, 2022 |
| Lyndsey Nicole Monahan | Transamerica Financial Advisors, LLC BD affiliated | Black Mammoth LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 18, 2022 | Feb 7, 2022 |
| Stephen Allen Vranek | Transamerica Financial Advisors, LLC BD affiliated | Virtue Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 24, 2021 | Jan 14, 2022 |
| Jason Lewis Wiseman | Transamerica Financial Advisors, LLC BD affiliated | Scf Investment Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2021 | Dec 21, 2021 |
| James Neal Lavy | Transamerica Financial Advisors, LLC BD affiliated | Ae Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2021 | Dec 17, 2021 |
| Andrew Michael Machenheimer | Transamerica Financial Advisors, LLC BD affiliated | Cerity Partners Ocio LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 7, 2021 | Apr 4, 2022 (118 d) |
| Graham G Ross | Transamerica Financial Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 7, 2021 | Mar 15, 2022 (98 d) |
| Jeremy Alan Hartle | Transamerica Financial Advisors, LLC BD affiliated | Croak Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 7, 2021 | Dec 7, 2021 |
| Joshua Minaya Nelms | Transamerica Financial Advisors, LLC BD affiliated | Mwa Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2021 | Mar 11, 2022 (98 d) |
| Deepak Goyal | Transamerica Financial Advisors, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2021 | Dec 1, 2021 |
| Diego De Los Santos | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2021 | Nov 18, 2021 |
| Jeanna Lynn Stecklein | Transamerica Financial Advisors, LLC BD affiliated | Orion Portfolio Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 29, 2021 | Jan 31, 2022 (63 d) |
| Michael Meade Troyer | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 23, 2021 | Nov 24, 2021 |
| Yongyi Fan | Transamerica Financial Advisors, LLC BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2021 | Dec 21, 2021 (32 d) |
| Richard R Davis | Transamerica Financial Advisors, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 8, 2021 | Jul 11, 2023 (610 d) |
| Hong Y Chiu | Transamerica Financial Advisors, LLC BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2021 | Nov 14, 2022 (371 d) |
| Edward Campbell Lee | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2021 | Nov 1, 2021 |
| Daniel Philip Essian | Transamerica Financial Advisors, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2021 | Sep 12, 2022 (314 d) |
| Li Tian | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2021 | Oct 7, 2021 |
| Shane Roth | Transamerica Financial Advisors, LLC BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 6, 2021 | Oct 7, 2021 |
| Margaret Ann Barrett | Transamerica Financial Advisors, LLC BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2021 | Nov 3, 2021 (37 d) |
| Gordon Ralph Baker | Transamerica Financial Advisors, LLC BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2021 | Sep 2, 2021 |
| Shelly Marie Malone | Transamerica Financial Advisors, LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2021 | Aug 11, 2022 (351 d) |
| Shawn Sharafkah | Transamerica Financial Advisors, LLC BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2021 | Jun 28, 2023 (672 d) |
| Shu-Hsin Suzanne Hsieh | Transamerica Financial Advisors, LLC BD affiliated | Transglobal Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 11, 2021 | Jul 19, 2022 (342 d) |
| Muhammad Salahuddin Khan | Transamerica Financial Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 11, 2021 | Oct 8, 2021 (58 d) |
| Stefan Arthur Johnson | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2021 | Jul 26, 2021 |
| Justin Derick Savich | Transamerica Financial Advisors, LLC BD affiliated | Kovack Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2021 | Jun 23, 2021 |
| Michael Faraci | Transamerica Financial Advisors, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 8, 2021 | May 12, 2025 (1434 d) |
| Paul Tod Monax | Transamerica Financial Advisors, LLC BD affiliated | Agile Wealth LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 2, 2021 | Aug 11, 2021 (70 d) |
| Chase Fryer | Transamerica Financial Advisors, LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2021 | May 18, 2021 |
| Kyle Austin Demyan | Transamerica Financial Advisors, LLC BD affiliated | Encompass More Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 18, 2021 | Mar 11, 2026 (1758 d) |
| Chasidy Yocum | Transamerica Financial Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 3, 2021 | May 18, 2021 |
| Benedicto Canlas Santiago | Transamerica Financial Advisors, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2021 | Oct 29, 2021 (211 d) |
| Joanna Sue Stookey Walker | Transamerica Financial Advisors, LLC BD affiliated | Growstrong Wealth Strategies independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2021 | Apr 1, 2021 |
| Elizabeth Michelle Walker-Sadler | Transamerica Financial Advisors, LLC BD affiliated | T. Rowe Price Associates, Inc. asset manager | Other | Mar 23, 2021 | Apr 8, 2021 |
| Fritz-Gerald Vilton | Transamerica Financial Advisors, LLC BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Nov 9, 2022 (623 d) |
| Marcus Roger Stookey | Transamerica Financial Advisors, LLC BD affiliated | Growstrong Wealth Strategies independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 18, 2021 | Feb 19, 2021 |
| Timothy Tyrone Ashley | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2021 | Feb 10, 2021 |
| Denny Hooten | Transamerica Financial Advisors, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 5, 2021 | Feb 18, 2021 |
| John Joseph Faure | Transamerica Financial Advisors, LLC BD affiliated | Wealth Watch Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2021 | Feb 16, 2021 |
| Daniel Carl Pascone | Transamerica Financial Advisors, LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2020 | Nov 25, 2020 |
| Christian Alexander Williams | Transamerica Financial Advisors, LLC BD affiliated | Driven Investments LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2020 | Dec 1, 2020 |
| Jaime Samudio | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2020 | Nov 19, 2020 |
| Timothy Reid Underwood | Transamerica Financial Advisors, LLC BD affiliated | Growstrong Wealth Strategies independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 10, 2020 | Feb 16, 2021 (98 d) |
| Jared Michael Sosa | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2020 | Oct 19, 2020 |
| Gregory Fuller Kite | Transamerica Financial Advisors, LLC BD affiliated | Polley Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 12, 2020 | Oct 20, 2020 |
| Kevin Gregory Jinkerson | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2020 | Oct 5, 2020 |
| Mark N. Dougal | Transamerica Financial Advisors, LLC BD affiliated | Go Wealth Management mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 29, 2020 | Nov 30, 2021 (427 d) |
| Justin Curtis Repp | Transamerica Financial Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 15, 2020 | Sep 7, 2022 (722 d) |
| Erik Douglas Utzinger | Transamerica Financial Advisors, LLC BD affiliated | Growstrong Wealth Strategies independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2020 | Sep 10, 2020 |
| Jeffrey Mark Wexler | Transamerica Financial Advisors, LLC BD affiliated | Wexler Enterprises state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 2, 2020 | Jul 28, 2022 (694 d) |
| Li Ping Cytrynowicz | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2020 | Sep 22, 2020 |
1,166 moves match.