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 |
|---|---|---|---|---|---|
| Chandler Joseph Crespin | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jul 17, 2020 | Dec 27, 2023 (1258 d) |
| Bryan Ercole Labadia | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2020 | Sep 18, 2020 (78 d) |
| Thomas White | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2020 | Sep 10, 2020 (71 d) |
| Dennis John Andres | Advice And Planning Services BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2020 | May 31, 2022 (714 d) |
| James Ryan Watkins | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 15, 2020 | Jul 6, 2020 |
| Lena Kay Morimanno | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 29, 2020 | Jul 17, 2020 (49 d) |
| Kevin R. Stromfeld | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 29, 2020 | Jun 22, 2020 |
| Joseph Mortenson | Advice And Planning Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2020 | Nov 29, 2023 (1282 d) |
| Justin Gibbs | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2020 | Sep 22, 2020 (130 d) |
| Bradley Eisenberg | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2020 | Jun 18, 2020 (36 d) |
| James Christopher Wells | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 13, 2020 | Jun 15, 2020 (33 d) |
| Andrew Ness | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2020 | Sep 21, 2020 (131 d) |
| Christopher Alfred Pieretti | Advice And Planning Services BD affiliated | Euro Pacific Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2020 | Jun 16, 2020 (48 d) |
| Sanjeev Sunder | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 27, 2020 | May 14, 2020 |
| Michael J. Dumont | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 27, 2020 | Nov 30, 2020 (217 d) |
| Taylor John Paules | Advice And Planning Services BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 27, 2020 | Apr 28, 2020 |
| Aaron Douglas Hard | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 26, 2020 | Jun 25, 2020 (60 d) |
| Salvatore Bria | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2020 | Jun 12, 2020 (47 d) |
| Hal Ingram Anderson | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Apr 26, 2020 | Aug 9, 2023 (1200 d) |
| David Michael Teel | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 25, 2020 | Dec 7, 2020 (226 d) |
| Seth Andrew Bennett | Advice And Planning Services BD affiliated | T. Rowe Price Associates, Inc. asset manager | Other | Apr 25, 2020 | Jun 12, 2020 (48 d) |
| Eric Joseph Foley | Advice And Planning Services BD affiliated | Santander Securities BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2020 | Jun 9, 2020 (45 d) |
| Gurvir Singh Grewal | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 25, 2020 | Apr 8, 2020 |
| Stephen Leo Legare | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 24, 2020 | Apr 27, 2020 |
| Rhea Nerissa Foster | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 24, 2020 | Jun 1, 2020 (38 d) |
| Mark Charles Sekera | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 30, 2020 | May 15, 2020 (46 d) |
| Mark Todd Guy | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 30, 2020 | May 4, 2020 (35 d) |
| James M Lin | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 30, 2020 | Aug 3, 2020 (126 d) |
| Andrew Michael Dahl | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 30, 2020 | May 27, 2020 (58 d) |
| Andrew Merwin | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 23, 2020 | Apr 20, 2020 |
| Bradley William Brescia | Advice And Planning Services BD affiliated | Moisand Fitzgerald Tamayo, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 10, 2020 | Jun 19, 2023 (1196 d) |
| Andrew J. Harris | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2020 | Apr 29, 2020 (50 d) |
| Brent Kenneth Kramer | Advice And Planning Services BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 10, 2020 | Apr 3, 2020 |
| Francis Sanchez | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2020 | May 6, 2020 (61 d) |
| Raymond Lyle Durant | Advice And Planning Services BD affiliated | Missionsquare Retirement institutional | Other | Mar 6, 2020 | Apr 28, 2020 (53 d) |
| Thomas Clark Williamson | Advice And Planning Services BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 6, 2020 | Sep 11, 2020 (189 d) |
| Justin Mitchell | Advice And Planning Services BD affiliated | Synovus Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 6, 2020 | Apr 2, 2020 |
| Timothy Thomas Bonk | Advice And Planning Services BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2020 | Apr 6, 2020 (32 d) |
| Mark Eric Leaf | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC institutional | Other | Mar 2, 2020 | Oct 12, 2020 (224 d) |
| Alexandra Fiona Babb | Advice And Planning Services BD affiliated | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2020 | Jan 28, 2021 (339 d) |
| John Draths | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Feb 10, 2020 | Feb 25, 2020 |
| Lindsey Marie Bessant | Advice And Planning Services BD affiliated | Gladstone Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 4, 2020 | Jun 26, 2020 (143 d) |
| David Robert Beam | Advice And Planning Services BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2020 | Mar 26, 2021 (423 d) |
| Eduardo Valero | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jan 28, 2020 | Mar 12, 2020 (44 d) |
| Stephan Vladimir Stojanovic | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2020 | Mar 10, 2020 (46 d) |
| John Patrick Nelligan | Advice And Planning Services BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 21, 2020 | Jan 31, 2020 |
| Nicole Leah White | Advice And Planning Services BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2020 | Mar 3, 2021 (418 d) |
| Derrick Kyle Hobbs | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2020 | Jul 2, 2020 (175 d) |
| Philip James Cocce | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 9, 2020 | Apr 9, 2024 (1552 d) |
| Chris Schafersman | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC institutional | Other | Jan 8, 2020 | Feb 13, 2020 (36 d) |
| Jason Mathew Cohen | Advice And Planning Services BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2020 | Oct 15, 2020 (282 d) |
| James Alan Brauer | Advice And Planning Services BD affiliated | Syntrinsic Investment Counsel, LLC. other | Other | Jan 7, 2020 | May 22, 2020 (136 d) |
| Michael Bono | Advice And Planning Services BD affiliated | W&S Brokerage Services, Inc. no RAUM | Other | Jan 6, 2020 | Feb 21, 2020 (46 d) |
| Linda Aretha Reeves | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 31, 2019 | Dec 14, 2020 (349 d) |
| Dana Seto-Chun | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2019 | Aug 3, 2021 (588 d) |
| Lori Lynn Matthews | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2019 | Feb 18, 2020 (56 d) |
| Gabriel John Sokolowski | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2019 | Feb 20, 2020 (66 d) |
| Chadric Tivonte Davis | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2019 | Jan 8, 2020 |
| Michael Brent Lierley | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC institutional | Other | Dec 10, 2019 | Mar 4, 2021 (450 d) |
| Jacqueline Dana Adler | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2019 | Feb 18, 2020 (74 d) |