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 |
|---|---|---|---|---|---|
| Thomas Tobias | Transamerica Financial Advisors, LLC BD affiliated | Money Compass Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 20, 2020 | Jan 2, 2026 (1961 d) |
| Kevin Lin | Transamerica Financial Advisors, LLC BD affiliated | Empirikal Partners LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 6, 2020 | Aug 11, 2020 |
| Ryan James Bargfrede | Transamerica Financial Advisors, LLC BD affiliated | The Jamison Edward Group state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 14, 2020 | Sep 23, 2021 (436 d) |
| Rodney Perry Keyes | Transamerica Financial Advisors, LLC BD affiliated | Asset Allocation Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2020 | Aug 11, 2020 (32 d) |
| Wenjie Weng | Transamerica Financial Advisors, LLC BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2020 | Jul 9, 2020 |
| Terrie Martinez | Transamerica Financial Advisors, LLC BD affiliated | Acrylic Financial, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2020 | May 18, 2021 (312 d) |
| Tanya J Bishop | Transamerica Financial Advisors, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2020 | Jul 1, 2020 |
| Maria Lipinski | Transamerica Financial Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2020 | Feb 24, 2022 (609 d) |
| Robert Kent Welsh | Transamerica Financial Advisors, LLC BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2020 | May 13, 2020 |
| Vincent Ronald Buccellato | Transamerica Financial Advisors, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2020 | Mar 17, 2020 |
| Joseph Charles Gitto | Transamerica Financial Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 13, 2020 | Mar 13, 2020 |
| Bonnie Lynn Partin | Transamerica Financial Advisors, LLC BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2020 | Apr 3, 2020 |
| Hunt Stephens Taylor | Transamerica Financial Advisors, LLC BD affiliated | Simplicity Wealth mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2020 | Nov 5, 2025 (2071 d) |
| Irshad Jamal Bannister | Transamerica Financial Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2020 | Mar 3, 2020 |
| Alena Joy Barlow | Transamerica Financial Advisors, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Feb 14, 2020 | Feb 21, 2020 |
| Belinda Rose Fox | Transamerica Financial Advisors, LLC BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2020 | Jan 28, 2020 |
| Shan Lin | Transamerica Financial Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 17, 2020 | Feb 26, 2020 (40 d) |
| An Qi Li | Transamerica Financial Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 13, 2020 | Oct 19, 2021 (645 d) |
| Quincy Linden Baynes | Transamerica Financial Advisors, LLC BD affiliated | Baynes Financial LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 2, 2020 | Dec 22, 2025 (2181 d) |
| Shane A Dayton | Transamerica Financial Advisors, LLC BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 6, 2021 (372 d) |
| Stefan Andrei Cherniawski | Transamerica Financial Advisors, LLC BD affiliated | Madison Avenue Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jun 15, 2026 (2358 d) |
| Rolando Intia | Transamerica Financial Advisors, LLC BD affiliated | J. W. Cole Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2019 | Oct 25, 2021 (664 d) |
| Shahriar Moshrefnoory | Transamerica Financial Advisors, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2019 | Jan 27, 2020 (62 d) |
| Christopher K Johnson | Transamerica Financial Advisors, LLC BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2019 | Dec 5, 2019 |
| Thomas Tipton | Transamerica Financial Advisors, LLC BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2019 | Oct 21, 2024 (1818 d) |
| Ajay Jitendra Vadukul | Transamerica Financial Advisors, LLC BD affiliated | Lifetyme Financial Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 8, 2019 | Nov 7, 2019 |
| Charles Joseph Stewart | Transamerica Financial Advisors, LLC BD affiliated | Water Tower Wealth Management, Inc. unclassified | Other | Sep 23, 2019 | Oct 23, 2019 |
| Gurpreet Singh | Transamerica Financial Advisors, LLC BD affiliated | Infinity Financial Services Advisory independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2019 | Jun 29, 2020 (284 d) |
| Mark O Kim | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2019 | Aug 23, 2019 |
| Michael Lee Remington | Transamerica Financial Advisors, LLC BD affiliated | Miramontes Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 20, 2019 | Aug 29, 2019 |
| Anthony Michael Lippis | Transamerica Financial Advisors, LLC BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 12, 2019 | Sep 22, 2023 (1502 d) |
| Peter Currie | Transamerica Financial Advisors, LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2019 | Aug 23, 2019 |
| Michael Edgar Weiser | Transamerica Financial Advisors, LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2019 | Nov 9, 2020 (458 d) |
| Michael Raymond Neeley | Transamerica Financial Advisors, LLC BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2019 | Aug 9, 2019 |
| Roger Dale Smothers | Transamerica Financial Advisors, LLC BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2019 | Aug 5, 2019 |
| R. Scott Thompson | Transamerica Financial Advisors, LLC BD affiliated | Pivotpoint Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 6, 2019 | Oct 14, 2020 (435 d) |
| Horace Lee Daniel | Transamerica Financial Advisors, LLC BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2019 | Oct 8, 2019 (67 d) |
| Steve Craig Felsen | Transamerica Financial Advisors, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Aug 2, 2019 | Aug 1, 2019 |
| John Chou | Transamerica Financial Advisors, LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2019 | Aug 27, 2019 |
| Joshua Cole Weir | Transamerica Financial Advisors, LLC BD affiliated | Interactive Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2019 | Aug 12, 2019 |
| Ryan Emerson Bennett | Transamerica Financial Advisors, LLC BD affiliated | First Heartland Consultants, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2019 | Jul 23, 2019 |
| Mark Douglas Jones | Transamerica Financial Advisors, LLC BD affiliated | My Investment Advisor, Inc. unclassified | Other | Jul 16, 2019 | Oct 8, 2019 (84 d) |
| Amiteshwar S Bhatia | Transamerica Financial Advisors, LLC BD affiliated | Royal Investment Adviser state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 10, 2019 | Dec 5, 2019 (148 d) |
| Michael Slyby | Transamerica Financial Advisors, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2019 | Aug 7, 2019 (43 d) |
| Krista Marie Johnson | Transamerica Financial Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2019 | Jun 25, 2019 |
| Denita Renee Clark | Transamerica Financial Advisors, LLC BD affiliated | The Financial Architects Wealth Management LLC unclassified | Other | Jun 4, 2019 | Jan 22, 2020 (232 d) |
| Tina Tzu-Yi Tsao | Transamerica Financial Advisors, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2019 | Jul 22, 2019 (53 d) |
| Eric Edward Swanson | Transamerica Financial Advisors, LLC BD affiliated | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 16, 2019 | May 23, 2019 |
| Leonard Curcio | Transamerica Financial Advisors, LLC BD affiliated | Primerica Advisors national BD | Affiliated broker-dealer or bank to another | May 16, 2019 | May 9, 2021 (724 d) |
| John Francis Stoj | Transamerica Financial Advisors, LLC BD affiliated | Safebridge LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2019 | May 2, 2019 |
| Yaopa Cheng | Transamerica Financial Advisors, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2019 | Apr 29, 2019 |
| Arthur Cheh Hung | Transamerica Financial Advisors, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2019 | Mar 28, 2019 |
| Kaine L. Nicholas | Transamerica Financial Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2019 | Mar 9, 2020 (360 d) |
| Andrew John Christensen | Transamerica Financial Advisors, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 14, 2019 | Sep 17, 2019 (187 d) |
| Brett Derek Gallinger | Transamerica Financial Advisors, LLC BD affiliated | Transamerica Retirement Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Feb 21, 2019 | Feb 22, 2019 |
| Joe Lee | Transamerica Financial Advisors, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Feb 19, 2019 | Mar 11, 2019 |
| Jamel Evan Wright | Transamerica Financial Advisors, LLC BD affiliated | Primerica Advisors national BD | Affiliated broker-dealer or bank to another | Feb 11, 2019 | May 17, 2019 (95 d) |
| Abraham Ernesto Zavala | Transamerica Financial Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 17, 2019 | Apr 18, 2019 (91 d) |
| Yongyi Fan | Transamerica Financial Advisors, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2019 | Jan 21, 2019 |
| Jill Aurell Pettijohn | Transamerica Financial Advisors, LLC BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jun 19, 2020 (536 d) |
1,166 moves match.