DFX Intelligence
Advisor moves
Departures from Osaic Wealth, Inc.What 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.
2,282 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Nilsa Michelle Daniel | Osaic Wealth, Inc. BD affiliated | Opus Financial Advisors, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 25, 2024 | Jul 11, 2024 |
| Lisa Hall Fox | Osaic Wealth, Inc. BD affiliated | Opus Financial Advisors, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 25, 2024 | Jul 11, 2024 |
| Matthew Robert Menke | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2024 | Jun 24, 2024 |
| Gabrielle Elizabeth Cafalone | Osaic Wealth, Inc. BD affiliated | Cornerstone Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2024 | Jun 30, 2024 |
| Melissa Seeley | Osaic Wealth, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jul 19, 2024 (32 d) |
| Daniel Brian Faasse | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2024 | May 21, 2024 |
| Ryan John Dohallow | Osaic Wealth, Inc. BD affiliated | Synovus Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2024 | Jun 17, 2024 |
| Marsha Daugherty | Osaic Wealth, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2024 | Aug 19, 2024 (73 d) |
| Alexander W Rice | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2024 | Jun 3, 2024 |
| W. Kevin Kessler | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2024 | Jun 3, 2024 |
| Noah Steinbrenner | Osaic Wealth, Inc. BD affiliated | Cgc Financial Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2024 | Nov 23, 2021 |
| Joshua Mason Lavigueure | Osaic Wealth, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2024 | Jul 8, 2024 (33 d) |
| Angela Denice Sanders | Osaic Wealth, Inc. BD affiliated | United Capital Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2024 | Jun 12, 2024 |
| Nickolaus Lee Shannon | Osaic Wealth, Inc. BD affiliated | Bridges Investment Management Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2024 | Jun 28, 2024 |
| Rheannon Lea Boddie | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 4, 2024 | May 23, 2024 |
| Charles Randolph Lee | Osaic Wealth, Inc. BD affiliated | Brookstone Wealth Advisors, LLC no RAUM | Other | May 31, 2024 | May 28, 2024 |
| Erik William Gorenflo | Osaic Wealth, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2024 | Jun 26, 2024 |
| Joseph Marinus Paulie | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2024 | May 28, 2024 |
| Morgan Seidel | Osaic Wealth, Inc. BD affiliated | Merit Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 30, 2024 | Jun 6, 2024 |
| David Kendall Shepard | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 29, 2024 | Apr 29, 2024 |
| Todd Richard Graham | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2024 | May 23, 2024 |
| Dennis James Mcnearney | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2024 | May 21, 2024 |
| Shelly Marie Enger | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 22, 2024 | May 21, 2024 |
| Trinity Rose Panko | Osaic Wealth, Inc. BD affiliated | Investors Mosaic independent RIA | Affiliated broker-dealer or bank to independent RIA | May 21, 2024 | Aug 23, 2024 (94 d) |
| Dagmara Katarzyna Frankowska | Osaic Wealth, Inc. BD affiliated | Creative Planning Institutional Advisors, LLC institutional | Other | May 17, 2024 | Aug 29, 2024 (104 d) |
| Aaron J Pepin | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2024 | Jan 1, 2025 (230 d) |
| Jason Michael Van Valkenburg | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2024 | May 14, 2024 |
| Veronika Saparova | Osaic Wealth, Inc. BD affiliated | Nwf Advisory Services Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | May 15, 2024 | Aug 26, 2025 (468 d) |
| Suzanne Nelson | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2024 | May 10, 2024 |
| David Ryan Shober | Osaic Wealth, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | May 3, 2024 |
| Steven Collins | Osaic Wealth, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | May 3, 2024 |
| Michael Charles Gallop | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 6, 2024 | May 2, 2024 |
| Patricia Jean Posada | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 3, 2024 | May 2, 2024 |
| Ethan Weisenberg | Osaic Wealth, Inc. BD affiliated | The Retirement Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 3, 2024 | Apr 4, 2024 |
| Steve Ray Statzer | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 3, 2024 | May 2, 2024 |
| Todd Anthony Oberlin | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 3, 2024 | May 2, 2024 |
| Jeffrey Aaron Gardner | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 3, 2024 | May 3, 2024 |
| Steven Rubinstein | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 3, 2024 | May 2, 2024 |
| Bryan Salas Castro | Osaic Wealth, Inc. BD affiliated | Mollot & Hardy, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 3, 2024 | Jan 11, 2024 |
| Gregory David Fox | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 3, 2024 | May 2, 2024 |
| Daniel John Mcmahon | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 3, 2024 | May 2, 2024 |
| Michael Norman Labedz | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | Apr 30, 2024 |
| Bryan J Britchkow | Osaic Wealth, Inc. BD affiliated | Star Wealth Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 2, 2024 | Mar 4, 2026 (671 d) |
| Christopher Austin Collins | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | Apr 30, 2024 |
| Edward F Terranova | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | May 21, 2024 |
| Tamika Riggins | Osaic Wealth, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 1, 2024 | Dec 13, 2023 |
| James Patrick Robertson | Osaic Wealth, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 26, 2024 | Apr 24, 2024 |
| Robert James Simons | Osaic Wealth, Inc. BD affiliated | Madison Avenue Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2024 | Apr 25, 2024 |
| Leo E Choquette | Osaic Wealth, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2024 | May 9, 2024 |
| Micah Tiensung Wei | Osaic Wealth, Inc. BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2024 | Jul 2, 2024 (70 d) |
| Reginald Lockett | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2024 | Jun 25, 2024 (69 d) |
| Clayton Dehaas | Osaic Wealth, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 17, 2024 | Jun 13, 2024 (57 d) |
| Alberto Jose Nunez-Garcia | Osaic Wealth, Inc. BD affiliated | Stephens BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2024 | Jun 13, 2024 (58 d) |
| Quy Nguyen | Osaic Wealth, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2024 | Apr 16, 2024 |
| Kenneth Alan Wall | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2024 | Apr 3, 2024 |
| Frank Preston Powell | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Apr 3, 2024 |
| Laurie Stevens Powell | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Apr 3, 2024 |
| Melissa Powell Street | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Apr 3, 2024 |
| Mark Timothy Daly | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2024 | Apr 25, 2024 |
| Rachel Sampl | Osaic Wealth, Inc. BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2024 | Aug 28, 2024 (149 d) |