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
Julie Gebert	First Financial Equity Corporation BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Affiliated broker-dealer or bank to another	Aug 8, 2019	Oct 7, 2019 (60 d)
Todd Edward Desberg	First Financial Equity Corporation BD affiliated	Woodbury Financial Services, Inc. BD affiliated	Affiliated broker-dealer or bank to another	Aug 7, 2019	Aug 7, 2019
Casey M Vader	First Financial Equity Corporation BD affiliated	Denver Pwm, LLC other	Other	Jan 29, 2019	Jan 22, 2015
Scott Mclaine	First Financial Equity Corporation BD affiliated	Acrylic Financial, Inc. independent RIA	Affiliated broker-dealer or bank to independent RIA	Dec 7, 2018	Nov 30, 2020 (724 d)
Brian Wesley Armstrong	First Financial Equity Corporation BD affiliated	Cwm, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Sep 4, 2018	Sep 5, 2018
Shawndi Lynn Purselley	First Financial Equity Corporation BD affiliated	Cwm, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Sep 4, 2018	Sep 5, 2018
Daniel Pierre Laframboise	First Financial Equity Corporation other	Dl Wealth Management Group state registered	Other	Jan 5, 2018	Mar 13, 2018 (67 d)
William Frederick Delano	First Financial Equity Corporation other	Dl Wealth Management Group state registered	Other	Jan 5, 2018	Jul 8, 2025 (2741 d)
Jon Bruce Park	First Financial Equity Corporation other	Legacy Wealth Planning, LLC no RAUM	Other	Nov 6, 2017	Nov 7, 2017
Daniel Richard Katz	First Financial Equity Corporation other	UBS Financial Services Inc. wirehouse	Other	Aug 30, 2017	Sep 21, 2017
Jarrad Knutson	First Financial Equity Corporation other	J.P. Morgan Securities LLC wirehouse	Other	May 25, 2017	Aug 8, 2017 (75 d)
John Robert Guagliardo	First Financial Equity Corporation other	Aptus Capital Advisors, LLC independent RIA	Other	Apr 5, 2017	Oct 3, 2025 (3103 d)
Leonard Scott Sanford	First Financial Equity Corporation other	Denver Pwm, LLC other	Other	Mar 5, 2017	Aug 26, 2015
Christopher Armstrong	First Financial Equity Corporation other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 1, 2016	Jul 10, 2017 (221 d)
Michael J Allison	First Financial Equity Corporation other	Mdx Wealth Management state registered	Other	Feb 18, 2016	Feb 27, 2016
Richard Jay Whipple	First Financial Equity Corporation other	Whipplewood Advisors, LLC independent RIA	Other	Feb 5, 2016	Aug 9, 2016 (186 d)
Mona Lynn Feeley	First Financial Equity Corporation other	Whipplewood Advisors, LLC independent RIA	Other	Feb 5, 2016	Jun 2, 2016 (118 d)
Philip Sargent Taylor	First Financial Equity Corporation other	One Source Health & Wealth Management no RAUM	Other	Dec 14, 2015	Dec 17, 2015
Frederick J Strouse	First Financial Equity Corporation other	Oneamerica Securities, Inc. other	Other	Nov 16, 2015	Jan 25, 2016 (70 d)
Kenneth A Corlett	First Financial Equity Corporation other	Worthpointe other	Other	Aug 4, 2015	Jul 22, 2015
Garrett Pierce Smith	First Financial Equity Corporation other	Nova Financial Services other	Other	Jun 15, 2015	Jun 15, 2015
Thomas Henry Goetzinger	First Financial Equity Corporation other	Msh Capital Advisors LLC independent RIA	Other	Apr 1, 2015	Aug 25, 2020 (1973 d)
Brian Hayden Johnson	First Financial Equity Corporation other	Cambridge Investment Research Advisors, Inc. other	Other	Dec 1, 2014	Dec 3, 2014
Rodney Alan Smith	First Financial Equity Corporation other	Cuso Financial Services, L.P. other	Other	Oct 17, 2014	Oct 10, 2014
Troy Victor Hunsucker	First Financial Equity Corporation other	Spc other	Other	Oct 17, 2014	Oct 17, 2014
Cortnie Lomas Rodriguez	First Financial Equity Corporation other	Quadcap Wealth Management, LLC other	Other	Jan 28, 2014	Feb 21, 2014
Jeffrey Peterson Wilcock	First Financial Equity Corporation other	Seros Wealth Partners independent RIA	Other	Jul 1, 2013	Mar 11, 2013
Jeremy Windell Smith	First Financial Equity Corporation other	Newmark Capital Management, LLC unclassified	Other	Jul 1, 2013	Jun 17, 2010
Jim M Wagner	First Financial Equity Corporation other	Signal Securities, Inc. other	Other	Mar 19, 2013	Mar 21, 2013
Benjamin Preston Mendenhall	First Financial Equity Corporation other	Ptma Investment Advisors other	Other	Mar 30, 2012	Aug 29, 2017 (1978 d)
William Anthony Lyness	First Financial Equity Corporation other	Pnc Managed Account Solutions, Inc. other	Other	Feb 6, 2012	Jul 25, 2013 (535 d)
Daryl David Eckman	First Financial Equity Corporation other	Eckman Wealth Management, LLC state registered	Other	Jan 31, 2012	Feb 3, 2012
Nicholas Edwin Fuller	First Financial Equity Corporation other	Concert Wealth Management other	Other	May 24, 2011	May 27, 2011
Christopher Labruce Ward	First Financial Equity Corporation other	Chronos Corporation unclassified	Other	Feb 17, 2011	Apr 12, 2011 (54 d)
Lori Schlager Bensing	First Financial Equity Corporation other	Sanders Morris LLC other	Other	Dec 3, 2010	Dec 14, 2010
Paul Zawilenski	First Financial Equity Corporation other	Chase Investment Services Corp. other	Other	Sep 13, 2010	Sep 24, 2010
James Andrews Mills	First Financial Equity Corporation other	Parallel Advisors, LLC other	Other	Jul 12, 2010	Jul 13, 2010
Bruce Louis Sutherland	First Financial Equity Corporation other	Cambridge Investment Research Advisors, Inc. other	Other	Jun 1, 2010	Jun 4, 2010
Thomas Clayton Simmons	First Financial Equity Corporation other	Tcs Financial LLC unclassified	Other	Sep 8, 2008	Jun 25, 2009 (290 d)
Dwight William Galda	First Financial Equity Corporation other	Cambridge Investment Research Advisors, Inc. other	Other	Aug 4, 2008	Aug 4, 2008
David Scott Coffee	First Financial Equity Corporation other	Fox Wealth Advisors LLC unclassified	Other	Jul 1, 2008	Jul 10, 2008
Jay Rabins	First Financial Equity Corporation other	Capital Wealth Management, Inc. unclassified	Other	Aug 9, 2007	Jul 24, 2007
Kurt Diedrich Rohrs	First Financial Equity Corporation other	Qa3 Financial LLC unclassified	Other	Aug 23, 2006	Aug 17, 2006
Bobby Glenn James	First Financial Equity Corporation other	Vsr Advisory Services other	Other	Jun 1, 2006	May 30, 2006

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104 moves match.