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 |
|---|---|---|---|---|---|
| Scott Robert Hurley | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Dec 6, 2019 | Jan 6, 2020 (31 d) |
| Thomas Donavan Fitzgerald | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 20, 2019 | Jan 10, 2020 (51 d) |
| Nouachi Vang | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2019 | Jan 2, 2020 (44 d) |
| Kiersten J Large | Advice And Planning Services BD affiliated | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 15, 2019 | Dec 19, 2019 (34 d) |
| Brittany Nicole Williams | Advice And Planning Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Jan 10, 2020 (56 d) |
| Jeffrey Scott Dunn | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 15, 2019 | Nov 19, 2019 |
| Michael Paul Jensen | Advice And Planning Services BD affiliated | Robinhood Asset Management BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2019 | May 28, 2026 (2388 d) |
| Thomas Dicristofaro | Advice And Planning Services BD affiliated | Edelman Financial Engines mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 12, 2019 | Apr 16, 2020 (156 d) |
| David Robert Carl Mitchell | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC institutional | Other | Nov 12, 2019 | Oct 8, 2020 (331 d) |
| Levi Allen Lamfers | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2019 | Dec 16, 2024 (1865 d) |
| Regina Suki Moran | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 4, 2019 | Jul 21, 2020 (260 d) |
| Joseph Edward Fortunato | Advice And Planning Services BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 24, 2019 | Jan 15, 2020 (83 d) |
| Anthony Paul Folino | Advice And Planning Services BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2019 | Oct 21, 2019 |
| Brian Patrick Harpur | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 10, 2019 | Mar 16, 2020 (158 d) |
| Gregory Scott Latini | Advice And Planning Services BD affiliated | United Capital Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 10, 2019 | Dec 9, 2019 (60 d) |
| Ardis Owens | Advice And Planning Services BD affiliated | Chelsea Advisory Services, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 10, 2019 | Sep 30, 2021 (721 d) |
| Matthew Martin Puttroff | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 10, 2019 | Oct 21, 2019 |
| Sarah Jane Huelsman | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 10, 2019 | Nov 1, 2019 |
| Michelle Linne Best | Advice And Planning Services BD affiliated | Cliftonlarsonallen Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2019 | Dec 11, 2019 (64 d) |
| James C Haggard | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2019 | Nov 8, 2019 (32 d) |
| Megan A Moore | Advice And Planning Services BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 17, 2019 | Oct 1, 2019 |
| Paul Richard Lagrange | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 16, 2019 | Oct 17, 2019 (31 d) |
| Mark Sauceda | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2019 | Oct 30, 2019 (44 d) |
| Stanley Michael Williams | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2019 | Jun 6, 2024 (1728 d) |
| Michelle Turner Lane | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2019 | Feb 7, 2020 (150 d) |
| Steve Michael Mccarthy | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 10, 2019 | Jan 6, 2020 (118 d) |
| Matthew Alexander Williamson | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2019 | Jun 3, 2020 (267 d) |
| James Adam Tracy | Advice And Planning Services BD affiliated | Wesbanco Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2019 | Oct 8, 2019 |
| Alan Gregory Bradley | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 4, 2019 | Oct 1, 2019 |
| Andrew Bret Burquest | Advice And Planning Services BD affiliated | Alden Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2019 | Sep 3, 2021 (730 d) |
| Gabriella Catsicas | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 16, 2019 | Sep 27, 2019 (42 d) |
| Robert Bruce Joslyn | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2019 | Sep 30, 2019 (45 d) |
| Visonja Andrianopoulos | Advice And Planning Services BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2019 | Nov 5, 2019 (82 d) |
| Jeffrey Lloyd Nelson | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 14, 2019 | Jun 23, 2022 (1044 d) |
| Algie R Horton | Advice And Planning Services BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 12, 2019 | Sep 26, 2019 (45 d) |
| Spencer Gordon Daw | Advice And Planning Services BD affiliated | Polaris Wealth Advisory Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 12, 2019 | Oct 18, 2019 (67 d) |
| Matthew Jon Krause | Advice And Planning Services BD affiliated | Altus Wealth Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 12, 2019 | Sep 10, 2019 |
| Jeffery Mingo | Advice And Planning Services BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2019 | Feb 3, 2020 (180 d) |
| David Edward Ernst | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2019 | Dec 3, 2019 (118 d) |
| Anil Chacko | Advice And Planning Services BD affiliated | Goodman Financial Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2019 | Sep 5, 2019 |
| Eric Jay Smith | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 25, 2019 | Aug 22, 2019 |
| Jared Clark Van Moorlehem | Advice And Planning Services BD affiliated | Plan Sponsor Solutions unclassified | Other | Jul 24, 2019 | Sep 13, 2019 (51 d) |
| Michael Jennings Trotter | Advice And Planning Services BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2019 | Feb 28, 2020 (219 d) |
| Renee A Schuster | Advice And Planning Services BD affiliated | Rockwood Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2019 | Aug 14, 2019 |
| Charles Christopher Scott | Advice And Planning Services BD affiliated | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2019 | Nov 6, 2019 (113 d) |
| Maura Mallaney | Advice And Planning Services BD affiliated | Macro Consulting Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 12, 2019 | Oct 22, 2019 (102 d) |
| Sheila Barrientos Tondre | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 12, 2019 | Oct 10, 2019 (90 d) |
| Jeremy Vaughn Mitchell | Advice And Planning Services BD affiliated | Pnc Managed Account Solutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2019 | Sep 17, 2019 (67 d) |
| Don Felipe Santos | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2019 | Oct 22, 2024 (1938 d) |
| Ignacio Quiroz | Advice And Planning Services BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2019 | Jan 25, 2021 (572 d) |
| Christopher Robert Lane | Advice And Planning Services BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2019 | Aug 19, 2019 (47 d) |
| Anthony John Rocchio | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 13, 2019 | Jul 12, 2019 |
| Bradly Scott Hoggatt | Advice And Planning Services BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2019 | Sep 1, 2021 (812 d) |
| Donald Michael Klein | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jun 11, 2019 | Aug 1, 2019 (51 d) |
| Chukwuemeka Matthew Onyia | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 11, 2019 | Jul 17, 2019 (36 d) |
| George Thomas Ingram | Advice And Planning Services BD affiliated | Glass Jacobson Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2019 | Jul 25, 2019 (49 d) |
| Michael James Wegge | Advice And Planning Services BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | Jul 2, 2019 (32 d) |
| Jason Patrick Wooten | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2019 | Jul 9, 2019 (42 d) |
| John Henry Bryant | Advice And Planning Services BD affiliated | Horizon Investments LLC other | Other | May 28, 2019 | Jul 29, 2019 (62 d) |
| Sarah Jane Kyle | Advice And Planning Services BD affiliated | Bmo Harris Financial Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2019 | Jun 26, 2019 (33 d) |