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 |
|---|---|---|---|---|---|
| John Stephen Schaeffer | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 2, 2020 |
| Dominick Michael Bennese | Osaic Wealth, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 6, 2026 (2198 d) |
| Michael Jon Nagelvoort | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2019 | Dec 9, 2019 |
| Michael Dean Allen | Osaic Wealth, Inc. BD affiliated | Retirement Plan Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2019 | Jan 13, 2020 |
| Rocco Addona | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2019 | Dec 13, 2019 |
| Casey Edward Cleveland | Osaic Wealth, Inc. BD affiliated | Horst & Graben Wealth Management, LLC no RAUM | Other | Dec 19, 2019 | Jun 29, 2018 |
| Jamieson Logan Grabenhorst | Osaic Wealth, Inc. BD affiliated | Horst & Graben Wealth Management, LLC no RAUM | Other | Dec 19, 2019 | Jun 29, 2018 |
| Anthony James Manganaro | Osaic Wealth, Inc. BD affiliated | Continuum Financial unclassified | Other | Dec 19, 2019 | Dec 19, 2019 |
| Brian S. Boffa | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2019 | Dec 17, 2019 |
| Melissa Ann Couch | Osaic Wealth, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2019 | Feb 25, 2020 (70 d) |
| David Raine | Osaic Wealth, Inc. BD affiliated | Adhesion Wealth Advisor Solutions asset manager | Other | Dec 17, 2019 | Apr 22, 2024 (1588 d) |
| James August Bartolacci | Osaic Wealth, Inc. BD affiliated | Iam Advisory LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 13, 2019 | Mar 11, 2020 (89 d) |
| Earl Arthur Clairmont | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2019 | Dec 9, 2019 |
| Richard C Capasso | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2019 | Dec 9, 2019 |
| Joseph Nelson Garagozzo | Osaic Wealth, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2019 | Jun 29, 2023 (1296 d) |
| Richard Michael Clairmont | Osaic Wealth, Inc. BD affiliated | Cpc Financial Planning, Inc state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 11, 2019 | Oct 26, 2015 |
| Frank Joseph Imperial | Osaic Wealth, Inc. BD affiliated | Cpc Financial Planning, Inc state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 11, 2019 | Dec 11, 2018 |
| Arthur Dickson Wharton | Osaic Wealth, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2019 | Feb 25, 2020 (77 d) |
| David Lee Madetzke | Osaic Wealth, Inc. BD affiliated | Focus Financial other | Other | Dec 10, 2019 | Jan 17, 2014 |
| Henry Joseph O'Brien | Osaic Wealth, Inc. BD affiliated | Benchmark Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2019 | May 26, 2020 (175 d) |
| Jonathan Michael Larocca | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2019 | Nov 26, 2019 |
| Nataly Tracy | Osaic Wealth, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Nov 22, 2019 | Jan 13, 2020 (52 d) |
| Jonathan Hardy Henderson | Osaic Wealth, Inc. BD affiliated | Sage Investment Counsel independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2019 | Nov 26, 2019 |
| John Thomas Draper | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2019 | Nov 1, 2019 |
| Jesse Joel Brown | Osaic Wealth, Inc. BD affiliated | Mariner Independent independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 31, 2019 | Jan 30, 2024 (1552 d) |
| Bradley Dees Mayo | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2019 | Oct 23, 2019 |
| David Dale Carpenter | Osaic Wealth, Inc. BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 21, 2019 | Oct 16, 2019 |
| Maria Domenica Delre | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2019 | Oct 17, 2019 |
| Christopher Sean Hardy | Osaic Wealth, Inc. BD affiliated | First Advisors National, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 16, 2019 | Oct 19, 2019 |
| Janelle L Aldridge | Osaic Wealth, Inc. BD affiliated | Cantella & Co., Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2019 | Nov 13, 2019 |
| Stephen Christopher Martin | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2019 | Oct 16, 2019 |
| Horacio Daniel Piccininno | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2019 | Mar 27, 2020 (176 d) |
| Tony Earl Mcneill | Osaic Wealth, Inc. BD affiliated | Chelsea Advisory Services, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2019 | Jan 2, 2020 (92 d) |
| Michael Kevin Kennedy | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2019 | Sep 23, 2019 |
| Christopher O'Brien Bott | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2019 | Sep 24, 2019 |
| Robert Michael Cragle | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2019 | Sep 16, 2019 |
| Bradley Alan Swisher | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2019 | Sep 16, 2019 |
| Noah Behrend | Osaic Wealth, Inc. BD affiliated | Iams Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 17, 2019 | Aug 5, 2021 (688 d) |
| Barbara A Bertrand | Osaic Wealth, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 5, 2019 | Sep 27, 2019 |
| Mary Ann Dianna | Osaic Wealth, Inc. BD affiliated | Ernst & Young Investment Advisers Llp no RAUM | Other | Aug 22, 2019 | Oct 11, 2019 (50 d) |
| Timothy James Harlow | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2019 | Aug 14, 2019 |
| Cherie A Jones | Osaic Wealth, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 16, 2019 | Aug 9, 2019 |
| Jonathan Wyatt Greenwich | Osaic Wealth, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2019 | Sep 10, 2019 |
| Michael Joseph Giannotto | Osaic Wealth, Inc. BD affiliated | Summit Financial, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2019 | Nov 30, 2022 (1210 d) |
| Rick Joseph Militello | Osaic Wealth, Inc. BD affiliated | Militello Wealth Management, L.L.C. other | Other | Aug 7, 2019 | Jun 13, 2005 |
| Zana Lyn Lugo | Osaic Wealth, Inc. BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2019 | Sep 5, 2019 |
| Jonathan Bernard Gatz | Osaic Wealth, Inc. BD affiliated | Ofg Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2019 | Aug 1, 2019 |
| Scott David Mckinnie | Osaic Wealth, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 26, 2019 | Aug 1, 2019 |
| David A Kudo | Osaic Wealth, Inc. BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 25, 2019 | Feb 13, 2020 (203 d) |
| John Roland Taylor | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2019 | Jul 19, 2019 |
| Roland Milner Ho | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2019 | Jul 23, 2019 |
| Lyly Obayashi | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2019 | Jul 23, 2019 |
| Andrew Mitchell | Osaic Wealth, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 23, 2019 | Feb 21, 2024 (1674 d) |
| Dennis Eugene Priest | Osaic Wealth, Inc. BD affiliated | Benefit Funding Retirement Services, LLC unclassified | Other | Jul 17, 2019 | Jan 18, 2018 |
| Marc E Young | Osaic Wealth, Inc. BD affiliated | Cantella & Co., Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2019 | Nov 5, 2019 (111 d) |
| Edmond N Karam | Osaic Wealth, Inc. BD affiliated | Benefit Funding Retirement Services, LLC unclassified | Other | Jul 17, 2019 | Jan 18, 2018 |
| Jordan Searle Priest | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 17, 2019 | Jul 17, 2019 |
| Jorge Ramon Perez | Osaic Wealth, Inc. BD affiliated | Dmk Advisor Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2019 | Jan 6, 2022 (920 d) |
| William James Hatton | Osaic Wealth, Inc. BD affiliated | Financial Security Solutions, Corp. other | Other | Jul 1, 2019 | Oct 19, 2017 |
| Edward Albert Harof | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 26, 2019 | Jun 29, 2021 (734 d) |