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 |
|---|---|---|---|---|---|
| Geri Cuicci | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Nov 27, 2019 (629 d) |
| Sandra Eleanor Yates | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Sep 7, 2018 (183 d) |
| Dereik W Smith | Scottrade Investment Management BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Mar 10, 2026 (2924 d) |
| Donald Wayne Nadeja | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | May 17, 2018 (70 d) |
| Julie Louise Shumake | Scottrade Investment Management BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | May 7, 2018 (60 d) |
| John Zamboanga | Scottrade Investment Management BD affiliated | Continuum Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | Oct 1, 2018 (207 d) |
| Standar Hammonds | Scottrade Investment Management BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Mar 15, 2018 |
| Scott Everett Graul | Scottrade Investment Management BD affiliated | Questar Asset Management, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Oct 22, 2018 (228 d) |
| David Leroy Pritikin | Scottrade Investment Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Mar 5, 2020 (728 d) |
| Anthony Morea | Scottrade Investment Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Oct 18, 2019 (589 d) |
| Mark Rorke Remund | Scottrade Investment Management BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Jan 31, 2019 (329 d) |
| Kurtis Frederick Kallien | Scottrade Investment Management BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Nov 27, 2018 (264 d) |
| Kevin P Hopkins | Scottrade Investment Management BD affiliated | Corda Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | Mar 15, 2018 |
| Joseph Silerto | Scottrade Investment Management BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Mar 28, 2019 (385 d) |
| Matthew Lake Brown | Scottrade Investment Management BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Apr 30, 2018 (53 d) |
| Brooks David Vanderzee | Scottrade Investment Management BD affiliated | Transamerica Retirement Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | Apr 26, 2018 (49 d) |
| Douglas G Anderson | Scottrade Investment Management BD affiliated | Transamerica Retirement Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | May 30, 2018 (83 d) |
| Scott Michael Marshall | Scottrade Investment Management BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Dec 24, 2020 (1022 d) |
| Martin Noonan Holt | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Aug 15, 2018 (160 d) |
| Stephen Daniel Grimes | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Apr 6, 2018 |
| John David Feiden | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | May 3, 2018 (56 d) |
| John Martin Bopp | Scottrade Investment Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Aug 31, 2018 (176 d) |
| Christopher Carl Blohm | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Feb 18, 2019 (347 d) |
| John Girona Labrador | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Apr 23, 2018 (46 d) |
| Paul D. Romano | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Jun 29, 2018 (113 d) |
| Cullen Tarlac Williams | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Mar 21, 2018 |
| Peter Clayton Viles | Scottrade Investment Management BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | May 16, 2019 (434 d) |
| Walter Corea | Scottrade Investment Management BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Nov 21, 2018 (258 d) |
| George Raad Steele | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Oct 22, 2018 (228 d) |
| Shane Michael Rebert | Scottrade Investment Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Jun 6, 2018 (90 d) |
| Kevin Robert Leblanc | Scottrade Investment Management BD affiliated | Santander Securities BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Apr 20, 2018 (43 d) |
| Jeremy Michael Kittoe | Scottrade Investment Management BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 8, 2018 | Feb 5, 2019 (334 d) |
| Brian Kim | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Dec 17, 2018 (284 d) |
| Trung La | Scottrade Investment Management BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | Sep 5, 2018 (181 d) |
| Rajesh Gulrajani | Scottrade Investment Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Apr 23, 2019 (411 d) |
| Jahangir Ali Sultan | Scottrade Investment Management BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Mar 5, 2019 (362 d) |
| Jason Scott Hildebrant | Scottrade Investment Management BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Mar 26, 2019 (383 d) |
| Scott A Rosati | Scottrade Investment Management BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Oct 16, 2018 (222 d) |
| Alfonso Durazo | Scottrade Investment Management BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Oct 16, 2018 (222 d) |
| Samuel Jordan | Scottrade Investment Management BD affiliated | Primerica Advisors national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Mar 2, 2020 (725 d) |
| Justin Robert Leeson | Scottrade Investment Management BD affiliated | Frontier Investment Management Co independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | Dec 10, 2018 (277 d) |
| Michael Lambert Beckner | Scottrade Investment Management BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | May 15, 2018 (68 d) |
| Stephen Elcock | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | May 8, 2018 (61 d) |
| Samuel Phillip Davis | Scottrade Investment Management BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Nov 29, 2018 (266 d) |
| Joshua Daniel Amundsen | Scottrade Investment Management BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Mar 6, 2018 |
| Autumn Lynne Maack | Scottrade Investment Management BD affiliated | Prime Capital Financial other | Other | Mar 8, 2018 | May 13, 2019 (431 d) |
| Jason N Hale | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Aug 19, 2019 (529 d) |
| Michael Curtis Cameron | Scottrade Investment Management BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Dec 4, 2018 (271 d) |
| Randolph Allen Finneman | Scottrade Investment Management BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Apr 8, 2019 (396 d) |
| Samuel Franco | Scottrade Investment Management BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Nov 5, 2018 (242 d) |
| Michelle Ann Rozycki | Scottrade Investment Management BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | May 23, 2018 (76 d) |
| Damon Liang | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Apr 3, 2018 |
| Ji Yun Wang | Scottrade Investment Management BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | May 11, 2018 (64 d) |
| Antoine Kthuy Le | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Feb 26, 2019 (355 d) |
| Jason Thomas Wilkes | Scottrade Investment Management BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Apr 9, 2018 (32 d) |
| Julio Maico Castillo | Scottrade Investment Management BD affiliated | Transamerica Retirement Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | Apr 23, 2018 (46 d) |
| Arda Kara Thomas | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Oct 23, 2018 (229 d) |
| Ibtasam Mahmood | Scottrade Investment Management BD affiliated | Amj Financial Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2018 | Apr 28, 2018 (51 d) |
| Jennifer Holmes | Scottrade Investment Management BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2018 | Apr 12, 2018 (35 d) |
| Anthony M Domenella | Scottrade Investment Management BD affiliated | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | May 16, 2018 (69 d) |
440 moves match.