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 |
|---|---|---|---|---|---|
| Matthew Joseph Greenan | Advice And Planning Services BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 4, 2020 |
| Casey Ames Herron | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Apr 16, 2021 (154 d) |
| Danielle Marie Moore | Advice And Planning Services BD affiliated | Savant Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 9, 2020 |
| Brian Wesley Duckworth | Advice And Planning Services BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 3, 2020 |
| Noreen Burtner | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Mar 2, 2021 (109 d) |
| Filip Telibasa | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 23, 2020 |
| Anton D. Check | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 21, 2020 (38 d) |
| Steven Robert Light | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Nov 3, 2020 |
| Robert Bradford Davis | Advice And Planning Services BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Aug 16, 2021 (276 d) |
| Sebastian C Marti | Advice And Planning Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 23, 2020 |
| Steven Floyd Owens | Advice And Planning Services BD affiliated | Plancorp, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Mar 25, 2025 (1593 d) |
| Daniel Zufall | Advice And Planning Services BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jul 13, 2022 (607 d) |
| Robert Allen Cox | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Mar 12, 2021 (119 d) |
| Jeff William Partin | Advice And Planning Services BD affiliated | Cerity Partners Ocio LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 13, 2021 (61 d) |
| Richard Debrocco | Advice And Planning Services BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 22, 2021 (101 d) |
| Scott Dana Faulkner | Advice And Planning Services BD affiliated | Cerity Partners Ocio LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 5, 2021 (53 d) |
| Ian Ross Clark | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 12, 2020 |
| Zachary L Newberg | Advice And Planning Services BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Oct 13, 2021 (334 d) |
| Lamont Adrian Brown | Advice And Planning Services BD affiliated | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 3, 2020 |
| Jared Robert Johnson | Advice And Planning Services BD affiliated | Genuine Wealth Management unclassified | Other | Nov 13, 2020 | Dec 17, 2020 (34 d) |
| Aaron Christopher Moberg | Advice And Planning Services BD affiliated | Fbl Wealth Management, LLC no RAUM | Other | Nov 13, 2020 | Nov 17, 2020 |
| Anthony Brown | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Apr 16, 2021 (154 d) |
| Angelo Joseph Pinti | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Nov 4, 2020 |
| Joseph Marino St George | Advice And Planning Services BD affiliated | Dominion Portfolio Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 17, 2020 |
| Stephen Jarret Engel | Advice And Planning Services BD affiliated | Palumbo Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 6, 2020 |
| Steven G. Wolfe | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 17, 2021 (96 d) |
| William Jacob Mcmannis | Advice And Planning Services BD affiliated | Collier Financial, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Dec 17, 2021 (399 d) |
| Michael Joseph Grimm | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Nov 13, 2020 | Dec 7, 2020 |
| Barbara Jean Pettit | Advice And Planning Services BD affiliated | Vicus Capital, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 7, 2021 (55 d) |
| Steven Balerna | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jun 17, 2021 (216 d) |
| Miguel Angel Castaneda | Advice And Planning Services BD affiliated | Concourse Financial Group Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 23, 2020 (40 d) |
| Jake West | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 9, 2020 |
| Jacqueline Collins | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Oct 26, 2021 (347 d) |
| Andrew J Shamy | Advice And Planning Services BD affiliated | Stratos Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 15, 2025 (1524 d) |
| Jade Eagles | Advice And Planning Services BD affiliated | Northwest Asset Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 3, 2020 |
| Brad Russell Burton | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Nov 11, 2020 |
| Joanna Burzynska | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 12, 2021 (60 d) |
| Michael J. Pinto | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 22, 2021 (101 d) |
| John William Wagner | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 1, 2020 |
| Bradford Taylor Hardy | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 1, 2020 |
| Justin C Hughes | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 11, 2020 |
| Anna Rifkin | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 4, 2021 (52 d) |
| Michael Patrick Hannon | Advice And Planning Services BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 17, 2021 (96 d) |
| Erin Lyn Alves | Advice And Planning Services BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Mar 1, 2021 (108 d) |
| Rodney Nicholson | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Nov 13, 2020 | Feb 10, 2026 (1915 d) |
| Adam Kohler | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 23, 2020 |
| Jon Stuart Read | Advice And Planning Services BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 3, 2020 |
| Giancarlo Dorazio | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Mar 12, 2021 (119 d) |
| Jerod Jeffrey Ewing | Advice And Planning Services BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 11, 2021 (90 d) |
| Daniel Anthony Arce | Advice And Planning Services BD affiliated | Snowden Capital Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Apr 6, 2021 (144 d) |
| Larry Roger Melton | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 6, 2021 (54 d) |
| Valerie Ann Rivera | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 12, 2020 |
| Anthony Tyree | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 17, 2020 |
| Gregory C Muir | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 4, 2020 |
| Mariah Marie Maines | Advice And Planning Services BD affiliated | Pathstone independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jun 8, 2021 (207 d) |
| Ari Seth Wiener | Advice And Planning Services BD affiliated | Investment Planning Associates Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 9, 2020 |
| Cody R Wiseman | Advice And Planning Services BD affiliated | Soltis Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Feb 4, 2021 (83 d) |
| Kyle Patrick Cook | Advice And Planning Services BD affiliated | Austin Private Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Apr 30, 2021 (168 d) |
| David Cawley | Advice And Planning Services BD affiliated | Legend Financial Advisors Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jul 1, 2021 (230 d) |
| Brandon Lynn French | Advice And Planning Services BD affiliated | Personal Capital Advisors Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | May 18, 2021 (186 d) |