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 |
|---|---|---|---|---|---|
| John Paul Mabini | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2022 | May 2, 2022 |
| Colin Patrick Brady | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 30, 2022 | Jun 24, 2022 (86 d) |
| John Robert Beck | Advice And Planning Services BD affiliated | Regentatlantic independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 30, 2022 | Apr 5, 2022 |
| William Joseph Stratton | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC other | Other | Mar 30, 2022 | May 10, 2022 (41 d) |
| Ali Ardehali | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2022 | Apr 5, 2022 |
| Jennifer Hollenbeck Anker | Advice And Planning Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2022 | Apr 28, 2022 (36 d) |
| Brandt Baldwin | Advice And Planning Services BD affiliated | Neuberger Berman Bd LLC no RAUM | Other | Mar 23, 2022 | Mar 30, 2022 |
| Amy Helen Secor | Advice And Planning Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2022 | Apr 18, 2022 |
| Preeti Shah Tandon | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 22, 2022 | Apr 22, 2022 (31 d) |
| Kristine Marie Moore | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2022 | Apr 5, 2022 |
| Timothy John Sommer | Advice And Planning Services BD affiliated | The Capital Group Investment Advisory Services, LLC other | Other | Mar 9, 2022 | Apr 13, 2022 (35 d) |
| Anpu Lau Stephens | Advice And Planning Services BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2022 | Apr 24, 2022 (46 d) |
| Julie Ann Flores | Advice And Planning Services BD affiliated | Pfg Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2022 | Mar 9, 2023 (365 d) |
| Gregory Norman Beck | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2022 | Jul 15, 2022 (129 d) |
| Nicholas Johnstone Troiano | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 4, 2022 | Apr 1, 2022 |
| Matthew Mattice | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 4, 2022 | Apr 1, 2022 |
| John Alan Caplan | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2022 | Apr 5, 2022 (33 d) |
| Daniel Timothy Fagan | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Apr 5, 2022 (34 d) |
| Matthew Hartstein | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Apr 1, 2022 |
| Hui Yao Kelly Lin | Advice And Planning Services BD affiliated | Wealthshield Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2022 | Mar 31, 2022 |
| Paul Clifford Serie | Advice And Planning Services BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Apr 1, 2022 |
| Corey Johnson | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC other | Other | Mar 2, 2022 | Mar 8, 2022 |
| Kevin Marshall Brooks | Advice And Planning Services BD affiliated | Wealthshield Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2022 | Mar 31, 2022 |
| Luis Diego Mora | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2022 | Apr 22, 2022 (51 d) |
| Alexandra Ochev Sandberg | Advice And Planning Services BD affiliated | Threadline Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2022 | Jul 26, 2022 (146 d) |
| Brad Arrington | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2022 | Jun 22, 2022 (113 d) |
| John Cliffton Massar | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2022 | Feb 10, 2022 |
| Robert Alexander Cannon | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC other | Other | Feb 4, 2022 | Nov 21, 2022 (290 d) |
| Andrew Paul Scibetta | Advice And Planning Services BD affiliated | Cross Border Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 19, 2022 | Dec 1, 2022 (316 d) |
| Michael J Rosenberg | Advice And Planning Services BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2022 | Sep 2, 2022 (227 d) |
| Keith Thomas Truex | Advice And Planning Services BD affiliated | Edelman Financial Engines mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2022 | Feb 15, 2022 (32 d) |
| Christopher J Diskin | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2022 | Jan 13, 2022 |
| Garrett Sutton | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 7, 2022 | Mar 21, 2022 (73 d) |
| Lisa Fulco | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 3, 2022 | Jan 14, 2022 |
| Matthew Whitworth Martin | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jan 3, 2022 | Mar 10, 2022 (66 d) |
| Jonathan Michael Mertens | Advice And Planning Services BD affiliated | United Capital Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2021 | Apr 6, 2022 (107 d) |
| Robert Nathan Borham | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2021 | Feb 1, 2022 (61 d) |
| Sean Marcus Gallup | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 24, 2021 | Jan 9, 2022 (46 d) |
| Adam Selby | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Dec 22, 2021 (36 d) |
| Scott Lawrence Peterich | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Jan 28, 2022 (73 d) |
| Ayad Amary | Advice And Planning Services BD affiliated | Wealthcare Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 12, 2021 | Dec 6, 2021 |
| Joel Salcedo | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 10, 2021 | Nov 15, 2021 |
| Robert Earl Singletary | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC other | Other | Nov 9, 2021 | Nov 9, 2021 |
| Carlos Alberto Prince | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 4, 2021 | Nov 29, 2021 |
| Matthew Baity | Advice And Planning Services BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2021 | Oct 28, 2021 |
| Mauro Esteban Maich | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 27, 2021 | Nov 8, 2021 |
| Nathan James Putnam | Advice And Planning Services BD affiliated | Ferguson Wellman Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 21, 2021 | Nov 22, 2021 (32 d) |
| Joseph David Clay | Advice And Planning Services BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2021 | Jul 21, 2022 (301 d) |
| Joseph Austin Hoffman | Advice And Planning Services BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2021 | Oct 14, 2021 |
| Tyler James Nielson | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Sep 15, 2021 | Jan 28, 2022 (135 d) |
| David Robert Wheatley | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2021 | Oct 7, 2021 |
| Timothy O'Shea | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2021 | Oct 4, 2021 |
| William Clayton Mcdonald | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2021 | Oct 4, 2021 |
| Tracy William Green | Advice And Planning Services BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 2, 2021 | Oct 14, 2021 (42 d) |
| Amy Susan Hipple | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Sep 2, 2021 | Apr 3, 2023 (578 d) |
| William Edward Burmeister | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 25, 2021 | Sep 20, 2021 |
| Sheri Ann Zimmerman | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2021 | Oct 13, 2021 (50 d) |
| Erold Merko | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 24, 2021 | Sep 20, 2021 |
| Nardis Walker | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Aug 20, 2021 | Oct 25, 2021 (66 d) |
| Thomas John Domin | Advice And Planning Services BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2021 | Aug 19, 2021 |