DFX Intelligence
Advisor moves
Departures from Advice And Planning ServicesWhat a move isA 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.
1,609 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Annie Jean Gottbehuet | Advice And Planning Services BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2020 | Jan 1, 2025 (1491 d) |
| Roemello Christopher Shavers | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2020 | Dec 21, 2020 |
| Sarah Kelsey Pham | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Nov 17, 2020 | Jan 13, 2021 (57 d) |
| David Scott Fedrizzi | Advice And Planning Services BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Oct 28, 2022 (714 d) |
| Margaret Webster | Advice And Planning Services BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Sep 13, 2021 (304 d) |
| Janet Mccabe | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 30, 2020 |
| Geoffrey David Southwell | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 5, 2021 (84 d) |
| Denise Goldstein | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Sep 4, 2026 (2121 d) |
| James G. Pontious | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Mar 11, 2021 (118 d) |
| Jack Yale | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 25, 2020 |
| Patrick Hugh Burgdorf | Advice And Planning Services BD affiliated | Westpark Capital, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Dec 2, 2020 |
| Robert Scott Magnacca | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC other | Other | Nov 13, 2020 | Jan 20, 2022 (433 d) |
| Jonathan Spors | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC institutional | Other | Nov 13, 2020 | Mar 1, 2021 (108 d) |
| Shelley L. Scalise | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jun 2, 2022 (566 d) |
| Craig Thomas Bisagna | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Sep 17, 2021 (308 d) |
| Richard Patrick Gill | Advice And Planning Services BD affiliated | Missionsquare Retirement institutional | Other | Nov 13, 2020 | May 3, 2022 (536 d) |
| Timothy D Stout | Advice And Planning Services BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jul 16, 2021 (245 d) |
| Luigi R. Auriemma | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 11, 2020 |
| Linda Murphy | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 20, 2021 (68 d) |
| Colbert D. Chang | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Mar 5, 2021 (112 d) |
| Marlo Anne Chambers | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 3, 2020 |
| Courtney E. Foster | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | May 6, 2021 (174 d) |
| Michelle Arnst Slawny | Advice And Planning Services BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 30, 2020 |
| Richard Scott Padow | Advice And Planning Services BD affiliated | Alight Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 21, 2022 (434 d) |
| Scott Joseph Jimison | Advice And Planning Services BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 3, 2020 |
| Todd Preston Saunders | Advice And Planning Services BD affiliated | Spire Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | May 7, 2021 (175 d) |
| David Carrara | Advice And Planning Services BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Apr 14, 2021 (152 d) |
| Daniel Joseph D'Andreano | Advice And Planning Services BD affiliated | S.E.E.D. Planning Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Feb 28, 2021 (107 d) |
| Steven Robert Herbst | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Apr 15, 2021 (153 d) |
| Bradford D. Cook | Advice And Planning Services BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 3, 2020 |
| Gregory Stuart Swindling | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Dec 16, 2020 (33 d) |
| Stefanie Ann Porter | Advice And Planning Services BD affiliated | White Pine Investment Co independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Apr 6, 2022 (509 d) |
| Eleanor Tobin Stubbs | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 4, 2021 (52 d) |
| Sheila Maureen Gugliuzza | Advice And Planning Services BD affiliated | Edelman Financial Engines mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Dec 7, 2020 |
| George Frederic Von Eiff | Advice And Planning Services BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jul 19, 2022 (613 d) |
| James R Angwin | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Dec 15, 2021 (397 d) |
| Eugina Rodriguez | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Oct 21, 2021 (342 d) |
| Gregory Stephen Ryan | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Aug 12, 2021 (272 d) |
| Adam Caleb Ward | Advice And Planning Services BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Apr 30, 2021 (168 d) |
| Cheryl Lynn Red | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Aug 15, 2025 (1736 d) |
| Judith De Bry | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 21, 2021 (69 d) |
| Mark Daniel Mentasti | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC institutional | Other | Nov 13, 2020 | Dec 3, 2020 |
| Mark Leonard Digangi | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Jun 3, 2021 (202 d) |
| Neil Kevin Flaherty | Advice And Planning Services BD affiliated | The Foundry Financial Group, Inc. other | Other | Nov 13, 2020 | Nov 4, 2020 |
| Thomas William Evans | Advice And Planning Services BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Aug 5, 2024 (1361 d) |
| Andrew James Thurlow | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Apr 27, 2021 (165 d) |
| Andrew Lawrence Fritts | Advice And Planning Services BD affiliated | Johnson Wealth Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Sep 14, 2021 (305 d) |
| Anthony Walia | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 2, 2021 (81 d) |
| Hugh Blake-Thomas | Advice And Planning Services BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Sep 20, 2021 (311 d) |
| Douglas R Villing | Advice And Planning Services BD affiliated | J.P. King Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 4, 2021 (52 d) |
| Matthew Thomas Malafa | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 14, 2021 (62 d) |
| Bruce Edward Davis | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Oct 29, 2021 (350 d) |
| Joshua Johnston Rauschenbach | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 22, 2021 (101 d) |
| Robert Allan Helgeland | Advice And Planning Services BD affiliated | Theory Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 3, 2020 |
| Susan Jones Martin | Advice And Planning Services BD affiliated | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Oct 27, 2022 (713 d) |
| Alexander Cesar | Advice And Planning Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 24, 2020 |
| Catherine Elizabeth Bradford | Advice And Planning Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 9, 2020 |
| Debra Iorio | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jul 12, 2021 (241 d) |
| Evaggelia Themis Hatzimanolis | Advice And Planning Services BD affiliated | United Capital Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 26, 2021 (74 d) |
| Timothy Olin Urie | Advice And Planning Services BD affiliated | Wealthshield Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | May 12, 2021 (180 d) |