DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Departures from Sii Investments, Inc.

A 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.

Advisor	From	To	Type	Left	Registered
Eric Preston Fenton	Sii Investments, Inc. other	Securities America Advisors, Inc. other	Other	Oct 18, 2017	Oct 17, 2017
Rodney Allen Wangler	Sii Investments, Inc. other	Securities America Advisors, Inc. other	Other	Oct 18, 2017	Oct 17, 2017
Jonathan Michael Kroening	Sii Investments, Inc. other	Woodbury Financial Services, Inc. other	Other	Oct 18, 2017	Oct 18, 2017
Kit Joseph Tiell	Sii Investments, Inc. other	Woodbury Financial Services, Inc. other	Other	Oct 18, 2017	Oct 18, 2017
Travis Anthony Tiell	Sii Investments, Inc. other	Woodbury Financial Services, Inc. other	Other	Oct 18, 2017	Oct 18, 2017
Raymond Anthony Skare	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Oct 16, 2017	Oct 16, 2017
Bruce James Iattoni	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Oct 16, 2017	Oct 16, 2017
Corey Dale Heimensen	Sii Investments, Inc. other	Securities America Advisors, Inc. other	Other	Oct 16, 2017	Oct 16, 2017
Duwayne William Boettcher	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Oct 16, 2017	Oct 16, 2017
Jamie Rae Connor	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Oct 16, 2017	Oct 16, 2017
George Alan Paxton	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Oct 4, 2017	Oct 4, 2017
Joseph Charles Roubik	Sii Investments, Inc. other	Woodbury Financial Services, Inc. other	Other	Oct 3, 2017	Oct 2, 2017
Jodie B. Lane	Sii Investments, Inc. other	Woodbury Financial Services, Inc. other	Other	Oct 3, 2017	Oct 2, 2017
Mickey Lee Ellison	Sii Investments, Inc. other	Orion Portfolio Solutions, LLC independent RIA	Other	Oct 2, 2017	Sep 17, 2019 (715 d)
Brendon Michael Derouin	Sii Investments, Inc. other	Woodbury Financial Services, Inc. other	Other	Oct 2, 2017	Oct 2, 2017
Stanley Leonard Zurawski	Sii Investments, Inc. other	Annex Wealth Management, LLC other	Other	Sep 28, 2017	Feb 13, 2009
Stanley L Zurawski	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Sep 28, 2017	Sep 28, 2017
Curtis Brian Magurean	Sii Investments, Inc. other	Northwestern Mutual Investment Services,LLC no RAUM	Other	Sep 8, 2017	Oct 18, 2017 (40 d)
John Kenton Faust	Sii Investments, Inc. other	Independent Financial Group, LLC other	Other	Sep 7, 2017	Sep 7, 2017
Zachary Allen Knutson	Sii Investments, Inc. other	Signator Investors, Inc. other	Other	Aug 10, 2017	Aug 10, 2017
Kiersten Anna Banaszak	Sii Investments, Inc. other	Cetera Investment Advisers LLC BD affiliated	Other	Jul 5, 2017	Jun 29, 2023 (2185 d)
Gary Irwin Nadolsky	Sii Investments, Inc. other	Cetera Investment Advisers LLC BD affiliated	Other	Jul 5, 2017	Jun 29, 2023 (2185 d)
Jennifer Parks	Sii Investments, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 22, 2017	Jul 6, 2017 (45 d)
James Boyd Speights	Sii Investments, Inc. other	Capital Wealth Management, LLC other	Other	May 19, 2017	Jun 2, 2017
Michael Anthony Derosa	Sii Investments, Inc. other	Dovetail Wealth Management, LLC no RAUM	Other	Mar 30, 2017	Jan 9, 2018 (285 d)
Michael Edward Thomas	Sii Investments, Inc. other	Freestate Advisors LLC other	Other	Feb 24, 2017	Nov 20, 2015
Joanna Pauline Guinn	Sii Investments, Inc. other	Associated Investment Services, Inc. other	Other	Feb 23, 2017	May 8, 2017 (74 d)
Aimee Lynn Speier	Sii Investments, Inc. other	Cri Securities, LLC other	Other	Feb 13, 2017	Mar 8, 2017
Kathleen Honor Mccarthy	Sii Investments, Inc. other	Jason M Orsky Wealth Management LLC unclassified	Other	Jan 4, 2017	Jan 3, 2017
Phillip Lee Bell	Sii Investments, Inc. other	Integrated Advisors Network LLC other	Other	Dec 31, 2016	Jan 5, 2017
Douglas Wellington Shultz	Sii Investments, Inc. other	Integrated Advisors Network LLC other	Other	Dec 15, 2016	Dec 16, 2016
Nicholas John Schneider	Sii Investments, Inc. other	Nicolet Wealth Management no RAUM	Other	Oct 31, 2016	Aug 8, 2016
Lucas Calawerts	Sii Investments, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 11, 2016	Nov 29, 2016 (49 d)
Rohin Lawrence Ullberg	Sii Investments, Inc. other	Independent Financial Group, LLC other	Other	Oct 7, 2016	Sep 16, 2016
Arlene Joan Burson	Sii Investments, Inc. other	First Command Advisory Services other	Other	Sep 23, 2016	Mar 15, 2017 (173 d)
James Phillip Quinlan	Sii Investments, Inc. other	Cliftonlarsonallen Wealth Advisors, LLC other	Other	Sep 21, 2016	Aug 22, 2016
Steven Michael Effert	Sii Investments, Inc. other	Ssn Advisory, Inc. other	Other	Aug 25, 2016	Aug 25, 2016
Michael Richard Mazzella	Sii Investments, Inc. other	Householder Group Estate & Retirement Specialists other	Other	Aug 23, 2016	Sep 7, 2016
Deborah Ann Davis	Sii Investments, Inc. other	Commonwealth Financial Network national BD	Other	Aug 19, 2016	Aug 15, 2016
Carmen Guy Cercone	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Aug 4, 2016
Tyler Allen Brilinski	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Aug 8, 2016
James Lee Bruce	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Jul 28, 2016
Richard Samuel Liberante	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Aug 8, 2016
Danny Thomas	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Jul 28, 2016
Kyle Hess Richardson	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Aug 8, 2016
Aaron M Gordon	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Aug 8, 2016
Laura Jane Grewe	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Jul 29, 2016
Ronald Thomas Davies	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Aug 11, 2016
Jacob Guy Cercone	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Jul 29, 2016
Fiore J Liberta	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Jul 29, 2016
Kevin William Hostert	Sii Investments, Inc. other	Kestra Advisory Services, LLC other	Other	Jul 21, 2016	Jul 29, 2016
Chris Lee Grosskreutz	Sii Investments, Inc. other	Focus Financial other	Other	May 20, 2016	May 27, 2016
David A Hathaway	Sii Investments, Inc. other	Capital Advisors, Inc. other	Other	May 10, 2016	Jun 24, 2016 (45 d)
Wesley Thomas Ehlers	Sii Investments, Inc. other	First Trust Advisors LP asset manager	Other	Feb 17, 2016	Apr 14, 2026 (3709 d)
Stephen Michel Horvath	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Feb 3, 2016	Feb 3, 2016
Roy Jason Hundhausen	Sii Investments, Inc. other	Kms Financial Services, Inc other	Other	Feb 2, 2016	Jan 28, 2016
Paul Mitchell Shepherd	Sii Investments, Inc. other	Tlg Advisors, Inc. other	Other	Jan 27, 2016	Jan 24, 2018 (728 d)
Nancy Joeann Tush	Sii Investments, Inc. other	Wells Fargo Advisors wirehouse	Other	Jan 15, 2016	Jan 19, 2016
Todd Allen Nye	Sii Investments, Inc. other	Independent Financial Group, LLC other	Other	Nov 2, 2015	Dec 14, 2015 (42 d)
Susan M Powell	Sii Investments, Inc. other	Thrivent Investment Management Inc. other	Other	Nov 2, 2015	Nov 11, 2015

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488 moves match.