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 Scottrade Investment Management
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 |
|---|---|---|---|---|---|
| Nicholas J Streit | Scottrade Investment Management BD affiliated | Morningstar Investment Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Jul 10, 2019 (488 d) |
| George Banks | Scottrade Investment Management BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | May 2, 2018 (54 d) |
| Cole Christopher Adamson | Scottrade Investment Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | May 18, 2018 (70 d) |
| Mark Robert Phillips | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | May 29, 2018 (81 d) |
| Nathan David Stewart | Scottrade Investment Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Mar 5, 2018 |
| Svetlana Zuyeva | Scottrade Investment Management BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jan 30, 2019 (327 d) |
| Suzanne Marie Funk | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Jun 19, 2018 (102 d) |
| Troy Aaron Rouleau | Scottrade Investment Management BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Aug 7, 2018 (151 d) |
| Chen Zhao | Scottrade Investment Management BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jun 3, 2019 (451 d) |
| Michael D. Law | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Mar 8, 2018 |
| Michelle Joy Quinn | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Nov 5, 2018 (241 d) |
| Stacey Corrine Cicotello | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Mar 28, 2018 |
| Douglas G Galantowicz | Scottrade Investment Management BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jul 25, 2018 (138 d) |
| George Nepacena Mejia | Scottrade Investment Management BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Dec 10, 2019 (641 d) |
| Sebastian Ramos | Scottrade Investment Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Jun 25, 2019 (473 d) |
| Bryan Shore | Scottrade Investment Management BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | May 14, 2018 (66 d) |
| Brad Jensen Meador | Scottrade Investment Management BD affiliated | Valic Financial Advisors, Inc. other | Other | Mar 9, 2018 | Mar 5, 2018 |
| Nicholas A Garcia | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Nov 21, 2018 (257 d) |
| Daniel T. Devonald | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Mar 5, 2019 (361 d) |
| Jacob Ross Biltz | Scottrade Investment Management BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Sep 24, 2018 (199 d) |
| Brian Self | Scottrade Investment Management BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jun 8, 2018 (91 d) |
| Nicholas Selca | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Mar 27, 2018 |
| Brian Walter Cunningham | Scottrade Investment Management BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Oct 2, 2018 (207 d) |
| Michael Irving Tan | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Apr 13, 2018 (35 d) |
| Travis Deshune Maverick | Scottrade Investment Management BD affiliated | First Horizon Advisors, Inc other | Other | Mar 9, 2018 | Mar 29, 2018 |
| Jordan Timothy Bannerman | Scottrade Investment Management BD affiliated | Usaa Investment Services Company BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jan 3, 2019 (300 d) |
| Jonathan Ewanio | Scottrade Investment Management BD affiliated | Saxony Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Mar 12, 2018 |
| Damon B. Hopkins | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Sep 18, 2018 (193 d) |
| Christopher Alan Shelton | Scottrade Investment Management BD affiliated | Cetera Investment Advisers LLC other | Other | Mar 9, 2018 | Mar 12, 2018 |
| Matt R Lybarger | Scottrade Investment Management BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Mar 9, 2018 | Nov 30, 2020 (997 d) |
| Ryan Scherer | Scottrade Investment Management BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jun 29, 2023 (1938 d) |
| William Jared Salansky | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Jul 23, 2018 (136 d) |
| Daniel Perez | Scottrade Investment Management BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jun 7, 2018 (90 d) |
| Timothy Scott Brady | Scottrade Investment Management BD affiliated | Jrs Investments And Wealth Preservation, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 9, 2018 | Jun 25, 2018 (108 d) |
| Mohammad Hameed | Scottrade Investment Management BD affiliated | Frost Investment Services other | Other | Mar 9, 2018 | Jun 21, 2018 (104 d) |
| Tyler William Fortney | Scottrade Investment Management BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Apr 18, 2018 (40 d) |
| Brandon Bernardo | Scottrade Investment Management BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Apr 5, 2018 |
| John Brandon Lawrence | Scottrade Investment Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Nov 16, 2018 (252 d) |
| Timothy Faig | Scottrade Investment Management BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Mar 19, 2018 |
| Megan Marissa Rahmes | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Mar 29, 2018 |
| Charles William Reimers | Scottrade Investment Management BD affiliated | Burrus independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Nov 5, 2018 (241 d) |
| Taylor Marie Johnson | Scottrade Investment Management BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jun 4, 2018 (87 d) |
| Andrew R Morales | Scottrade Investment Management BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | May 25, 2021 (1173 d) |
| Erik David Kent | Scottrade Investment Management BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Mar 29, 2018 |
| David Puka | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | May 9, 2018 (61 d) |
| Kevin Edward Seales | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | May 24, 2023 (1902 d) |
| Brandise Dennis | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Jun 15, 2018 (98 d) |
| Garrett Johnson | Scottrade Investment Management BD affiliated | Neuberger Berman Bd LLC no RAUM | Other | Mar 9, 2018 | May 2, 2018 (54 d) |
| Jason Ballard Broyles | Scottrade Investment Management BD affiliated | Empower Advisory Group, LLC institutional | Other | Mar 9, 2018 | Apr 12, 2018 (34 d) |
| Prescott Lewis Padgett | Scottrade Investment Management BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Apr 10, 2018 (32 d) |
| Christopher Scott Finley | Scottrade Investment Management BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Mar 28, 2018 |
| John Anthony Giamanco | Scottrade Investment Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | May 7, 2018 (59 d) |
| John Michael Milligan | Scottrade Investment Management BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jan 1, 2025 (2490 d) |
| Cyrus Scott Smith | Scottrade Investment Management BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Apr 16, 2018 (38 d) |
| Duane Cameron Davis | Scottrade Investment Management BD affiliated | Corda Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | Feb 28, 2019 (357 d) |
| Anthony Pappas | Scottrade Investment Management BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Jun 22, 2018 (106 d) |
| Charles H Sampson | Scottrade Investment Management BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Jun 4, 2018 (88 d) |
| Mark A Garcia | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | May 7, 2018 (60 d) |
| Michael John Bronson | Scottrade Investment Management BD affiliated | Voya Retirement Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | May 15, 2018 (68 d) |
| Anthony James Stapleton | Scottrade Investment Management BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | Oct 26, 2018 (232 d) |
440 moves match.