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
Scott Rivoira	Sii Investments, Inc. other	Cetera Investment Advisers LLC BD affiliated	Other	Oct 28, 2015	Aug 6, 2019 (1378 d)
Jennifer Lynn Szeklinski	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Oct 23, 2015	Oct 23, 2015
Michael Joseph Ferak	Sii Investments, Inc. other	Northwestern Mutual Investment Services,LLC no RAUM	Other	Oct 19, 2015	Jun 16, 2017 (606 d)
Christian John Cyr	Sii Investments, Inc. other	Cyr Financial Inc. independent RIA	Other	Sep 15, 2015	Sep 16, 2015
Jeffrey James Breeling	Sii Investments, Inc. other	Summit Financial Group Inc other	Other	Aug 27, 2015	Aug 27, 2015
Kari Celia Knudsen	Sii Investments, Inc. other	Fsc Securities Corporation other	Other	Jun 25, 2015	Aug 7, 2015 (43 d)
Andrew Edwin Watkins	Sii Investments, Inc. other	Summit Financial Group Inc other	Other	Jun 19, 2015	Jun 18, 2015
Richard Michael Ditaranto	Sii Investments, Inc. other	First Allied Advisory Services, Inc. other	Other	Jun 16, 2015	Jun 29, 2015
Brian Joseph Dibrino	Sii Investments, Inc. other	First Allied Advisory Services, Inc. other	Other	Jun 16, 2015	Jun 17, 2015
Michelle Chavez	Sii Investments, Inc. other	Principal Securities, Inc. other	Other	Jun 15, 2015	Jun 22, 2015
Julie Ann Ellenbecker-Lipsky	Sii Investments, Inc. other	Ellenbecker Investment Group no RAUM	Other	Apr 15, 2015	Dec 2, 2014
Laurie Kay Simons	Sii Investments, Inc. other	Foundations Investment Advisors LLC other	Other	Apr 13, 2015	Jun 19, 2015 (67 d)
Karen Jean Ellenbecker	Sii Investments, Inc. other	Ellenbecker Investment Group no RAUM	Other	Apr 1, 2015	Dec 2, 2014
Jean Ellen Range	Sii Investments, Inc. other	Ellenbecker Investment Group no RAUM	Other	Apr 1, 2015	Dec 4, 2014
Kristina Elizabeth Schnuckel	Sii Investments, Inc. other	Ellenbecker Investment Group no RAUM	Other	Apr 1, 2015	Feb 13, 2015
Michael James Hall	Sii Investments, Inc. other	Gradient Wealth Management no RAUM	Other	Feb 4, 2015	Feb 2, 2015
Jimmy Ray Turner	Sii Investments, Inc. other	Umb Financial Services, Inc. BD affiliated	Other	Jan 28, 2015	May 22, 2018 (1210 d)
Thomas M Dircks	Sii Investments, Inc. other	Ic Advisory Services, Inc. BD affiliated	Other	Dec 31, 2014	May 4, 2022 (2681 d)
Wendy Sue Peperkorn	Sii Investments, Inc. other	Ellenbecker Investment Group no RAUM	Other	Dec 31, 2014	Feb 3, 2015 (34 d)
Lisa Eileen Dregne	Sii Investments, Inc. other	Ellenbecker Investment Group no RAUM	Other	Dec 31, 2014	Feb 4, 2015 (35 d)
Jeffrey Scott Mumma	Sii Investments, Inc. other	Voya Financial Advisors, Inc. other	Other	Dec 12, 2014	Dec 10, 2014
Steven D Culp	Sii Investments, Inc. other	Principal Securities, Inc. other	Other	Dec 1, 2014	Dec 3, 2014
Laura Ann Stanek	Sii Investments, Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Dec 1, 2014	Dec 2, 2014
Ryan Michael Elenbaas	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 17, 2014	Nov 18, 2014
Nathan C Weeber	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Nov 17, 2014	Nov 18, 2014
Kelly Fagan	Sii Investments, Inc. other	Pruco Securities, LLC BD affiliated	Other	Oct 8, 2014	Aug 1, 2019 (1758 d)
Deanna Lee Meyer	Sii Investments, Inc. other	LPL Financial LLC other	Other	Oct 3, 2014	Oct 3, 2014
Craig Donald Rusch	Sii Investments, Inc. other	Sagepoint Financial, Inc. other	Other	Oct 3, 2014	Oct 15, 2014
Thomas Bowen Frost	Sii Investments, Inc. other	All Seasons Investment Advisors, Inc state registered	Other	Sep 26, 2014	Jun 1, 2023 (3170 d)
Christine Marie Senglaub	Sii Investments, Inc. other	Sagepoint Financial, Inc. other	Other	Sep 2, 2014	Sep 3, 2014
Jean Ann Brown	Sii Investments, Inc. other	Calton & Associates, Inc. other	Other	Aug 26, 2014	Jul 26, 2016 (700 d)
Terry S. Sawchuk	Sii Investments, Inc. other	Nfp Advisor Services, LLC other	Other	Aug 20, 2014	Aug 18, 2014
William G Langenstein	Sii Investments, Inc. other	Nfp Advisor Services, LLC other	Other	Aug 20, 2014	Aug 19, 2014
Emerson Joseph Fersch	Sii Investments, Inc. other	Independent Financial Group, LLC other	Other	Jul 11, 2014	Jun 30, 2014
Jay Frederick Haffley	Sii Investments, Inc. other	Bancwest Investment Services, Inc. (Bwis) other	Other	Jun 3, 2014	Aug 6, 2014 (64 d)
Matthew Blair Burk	Sii Investments, Inc. other	1st Global Advisors Inc other	Other	Jun 3, 2014	Oct 6, 2014 (125 d)
Timothy Richard Yee	Sii Investments, Inc. other	LPL Financial LLC other	Other	Jun 2, 2014	May 30, 2014
Erik Ryan Walker	Sii Investments, Inc. other	Verus Capital Partners, LLC other	Other	Apr 14, 2014	Jun 19, 2014 (66 d)
Michael Edward Andries	Sii Investments, Inc. other	Securities America Advisors, Inc. other	Other	Mar 26, 2014	Mar 14, 2014
Robert Dean Coffin	Sii Investments, Inc. other	Level Four Advisory Services other	Other	Mar 3, 2014	Mar 7, 2014
Jeff J. Kim	Sii Investments, Inc. other	B.B. Graham & Company, Inc. other	Other	Jan 21, 2014	Feb 5, 2014
Deanna Lynn Renfro	Sii Investments, Inc. other	First Allied Advisory Services, Inc. other	Other	Dec 9, 2013	Dec 9, 2013
Corey Ryan Schepper	Sii Investments, Inc. other	First Allied Advisory Services, Inc. other	Other	Oct 17, 2013	Oct 15, 2013
Cameron Lee Stiles	Sii Investments, Inc. other	First Allied Advisory Services, Inc. other	Other	Oct 17, 2013	Apr 7, 2014 (172 d)
Sarah Wigbels Welch	Sii Investments, Inc. other	Stratos Wealth Partners, Ltd other	Other	Oct 10, 2013	Jan 14, 2014 (96 d)
William Stephen Taylor	Sii Investments, Inc. other	LPL Financial LLC other	Other	Sep 17, 2013	Sep 27, 2013
Corbin Wade Krell	Sii Investments, Inc. other	Questar Asset Management, Inc. other	Other	Sep 9, 2013	Oct 2, 2013
Jesse David Wagner	Sii Investments, Inc. other	Investment Centers Of America, Inc. other	Other	Sep 6, 2013	Apr 9, 2009
Scott Bruce Robison	Sii Investments, Inc. other	Cbiz Retirement Plan Advisory Services other	Other	Aug 5, 2013	Aug 19, 2013
Mark Joseph Slattery	Sii Investments, Inc. other	Securities America Advisors, Inc. other	Other	Jun 5, 2013	Jun 3, 2013
Jody John Otto	Sii Investments, Inc. other	Securities America Advisors, Inc. other	Other	Jun 4, 2013	Nov 21, 2013 (170 d)
Michael Marvin Muske	Sii Investments, Inc. other	Securities America Advisors, Inc. other	Other	Jun 4, 2013	Nov 20, 2013 (169 d)
Frank Charles Stama	Sii Investments, Inc. other	Northeastern Wealth Management, LLC unclassified	Other	Apr 24, 2013	Apr 18, 2013
Joseph Anthony Stumbroski	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Mar 6, 2013	Mar 6, 2013
Michael Vincent Valencia	Sii Investments, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Mar 6, 2013	Mar 6, 2013
Todd Charles Silliman	Sii Investments, Inc. other	The Way Point Advisory Group LLC unclassified	Other	Jan 31, 2013	Mar 31, 2016 (1155 d)
Jeremy Wilkins Laub	Sii Investments, Inc. other	Commonwealth Financial Network national BD	Other	Jan 30, 2013	Jan 18, 2013
Michael David Lambrix	Sii Investments, Inc. other	Commonwealth Financial Network national BD	Other	Jan 30, 2013	Jan 18, 2013
James Joseph Galante	Sii Investments, Inc. other	Commonwealth Financial Network national BD	Other	Jan 30, 2013	Jan 18, 2013
Adam R Horde	Sii Investments, Inc. other	Commonwealth Financial Network national BD	Other	Jan 30, 2013	Jan 18, 2013

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488 moves match.