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 First Financial Equity Corporation
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 |
|---|---|---|---|---|---|
| Jeffrey Scott Graves | First Financial Equity Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2022 | Jun 29, 2023 (277 d) |
| Randy Wayne Sitzman | First Financial Equity Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2022 | Jun 29, 2023 (277 d) |
| Donell Roscoe Small | First Financial Equity Corporation BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2022 | Apr 6, 2022 |
| Troy Allen Bruce | First Financial Equity Corporation BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2022 | Apr 7, 2022 |
| Bart Brendan Jagodzinski | First Financial Equity Corporation BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2022 | Apr 5, 2022 |
| Mark Joseph Debourg | First Financial Equity Corporation BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2022 | Apr 6, 2022 |
| Jesse Thomas Norman | First Financial Equity Corporation BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2022 | Apr 6, 2022 |
| Jason Curtis Wise | First Financial Equity Corporation BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2022 | Apr 6, 2022 |
| Isaac J Orth | First Financial Equity Corporation BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2022 | Apr 6, 2022 |
| Joshua Caleb Harter | First Financial Equity Corporation BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 25, 2022 | Apr 27, 2022 |
| Zachary Stuart Brodt | First Financial Equity Corporation BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2022 | May 11, 2022 |
| Mark Ryan | First Financial Equity Corporation BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2022 | Apr 20, 2023 (363 d) |
| Joel Kent Wilkinson | First Financial Equity Corporation BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2022 | Apr 20, 2022 |
| John Paul Barringer | First Financial Equity Corporation BD affiliated | Denver Pwm, LLC other | Other | Apr 20, 2022 | Jan 22, 2015 |
| James Richard Shaver | First Financial Equity Corporation BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2022 | Apr 20, 2022 |
| Pearley Hughes Wells | First Financial Equity Corporation BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2022 | Apr 20, 2022 |
| Reed Thomas Rudkin | First Financial Equity Corporation BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2022 | Apr 20, 2022 |
| John P Page | First Financial Equity Corporation BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2022 | Apr 20, 2022 |
| Austen Joseph Leninger | First Financial Equity Corporation BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2022 | Apr 20, 2022 |
| Gregory Allen Eastman | First Financial Equity Corporation BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 7, 2022 | Apr 4, 2022 |
| Edward Nathan George | First Financial Equity Corporation BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 7, 2022 | Apr 4, 2022 |
| Stephen Michael John | First Financial Equity Corporation BD affiliated | Northsight Wealth Management unclassified | Other | Apr 7, 2022 | Apr 13, 2022 |
| Brandon Jamison Gibson | First Financial Equity Corporation BD affiliated | Apeiron independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 6, 2022 | Apr 6, 2022 |
| Lisa Johnson Rizzo | First Financial Equity Corporation BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2022 | Mar 21, 2022 |
| Anne Marie Perry | First Financial Equity Corporation BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2022 | Mar 21, 2022 |
| Rockwell Stuart Pearson | First Financial Equity Corporation BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2022 | Mar 21, 2022 |
| Jennifer Marie Frey | First Financial Equity Corporation BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2022 | Mar 30, 2022 |
| Bruce (Brett) Palmer Emmeluth | First Financial Equity Corporation BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2022 | Mar 31, 2022 |
| William Glen Newbury | First Financial Equity Corporation BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2022 | Mar 11, 2022 |
| Russell C Harris | First Financial Equity Corporation BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2022 | Mar 7, 2022 |
| Michael Adolph Federico | First Financial Equity Corporation BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2022 | Mar 11, 2022 |
| Robert Joseph Courter | First Financial Equity Corporation BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2022 | Mar 11, 2022 |
| Alphonsus Richard Panzera | First Financial Equity Corporation BD affiliated | Corporate & Institutional Services, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 31, 2022 | Jul 26, 2022 (117 d) |
| Patrick T Duffy | First Financial Equity Corporation BD affiliated | Scf Investment Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2022 | Mar 31, 2022 |
| Victoria Chin-I Wang | First Financial Equity Corporation BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 10, 2022 | Mar 7, 2022 |
| Frank Peter Messano | First Financial Equity Corporation BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 10, 2022 | Mar 7, 2022 |
| Paul Alphonse Perreault | First Financial Equity Corporation BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2022 | Mar 4, 2022 |
| Michael William Prahl | First Financial Equity Corporation BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2022 | Mar 17, 2022 |
| Dieter Gunter Bollmann | First Financial Equity Corporation BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2022 | Mar 4, 2022 |
| Eric Landon Christus | First Financial Equity Corporation BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2022 | Mar 17, 2022 |
| David Allen Carter | First Financial Equity Corporation BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Apr 21, 2022 (50 d) |
| Luis Manuel Espinoza | First Financial Equity Corporation BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Feb 24, 2022 |
| Marilee Alice Stephens | First Financial Equity Corporation BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 1, 2022 | Feb 24, 2022 |
| Matthew Douglas Nevins | First Financial Equity Corporation BD affiliated | Pfg Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2022 | Mar 10, 2022 |
| Renee Elise Rael | First Financial Equity Corporation BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2022 | Mar 10, 2022 |
| Gregory Scott Hermes | First Financial Equity Corporation BD affiliated | Balboa Wealth Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 14, 2022 | Feb 10, 2022 |
| Duane Kevin Shumaker | First Financial Equity Corporation BD affiliated | Balboa Wealth Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 14, 2022 | Feb 11, 2022 |
| Ryan Christopher Robinson | First Financial Equity Corporation BD affiliated | Balboa Wealth Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 14, 2022 | Feb 11, 2022 |
| Benton Lane Pruitt | First Financial Equity Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2022 | Jul 26, 2024 (935 d) |
| Matthew James Pickett | First Financial Equity Corporation BD affiliated | Innovative Adviser Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 12, 2021 | Aug 13, 2021 |
| Robert Lynn Huish | First Financial Equity Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2021 | Mar 21, 2024 (1030 d) |
| Matthew David Calhoun | First Financial Equity Corporation BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2021 | May 5, 2021 |
| David Matthew Mowad | First Financial Equity Corporation BD affiliated | Balboa Wealth Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 18, 2021 | Mar 10, 2021 |
| Sarah Nowfel | First Financial Equity Corporation BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2021 | Mar 5, 2021 |
| Robert Anthony Spicer | First Financial Equity Corporation BD affiliated | Denver Pwm, LLC no RAUM | Other | Jan 7, 2021 | May 7, 2014 |
| Michael Kenneth Self | First Financial Equity Corporation BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2021 | Mar 21, 2024 (1171 d) |
| Rodney Arin Becker | First Financial Equity Corporation BD affiliated | Whipplewood Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 21, 2020 | Oct 20, 2020 |
| Joseph Ernest Hubbard | First Financial Equity Corporation BD affiliated | Whipplewood Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 4, 2020 | Feb 3, 2020 |
| Lee Kim Brown | First Financial Equity Corporation BD affiliated | Packerland Brokerage Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2020 | Jan 21, 2020 |
| Russell A Andrews | First Financial Equity Corporation BD affiliated | Tcfg Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2020 | Jan 3, 2020 |
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104 moves match.