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 |
|---|---|---|---|---|---|
| Jennifer Iwalani Michi Chalaire | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2019 | Jun 4, 2019 |
| Jeffrey Martin Sullivan | Osaic Wealth, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2019 | Jul 2, 2019 |
| Chad Matthew Disbennett | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2019 | Jun 3, 2019 |
| Michael Fernandez | Osaic Wealth, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 4, 2019 | Jan 15, 2020 (225 d) |
| Todd William Laluzerne | Osaic Wealth, Inc. BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2019 | Aug 26, 2019 (83 d) |
| Steven Wilbourn | Osaic Wealth, Inc. BD affiliated | Financial Strategies Group, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2019 | Jun 18, 2019 |
| Brian Dale Washa | Osaic Wealth, Inc. BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | May 30, 2019 |
| Johnny Phillip Nixon | Osaic Wealth, Inc. BD affiliated | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | Jan 2, 2025 (2043 d) |
| James Grant Varzal | Osaic Wealth, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2019 | May 28, 2019 |
| Bertram James Riley | Osaic Wealth, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2019 | May 29, 2019 |
| David Ryan Alves | Osaic Wealth, Inc. BD affiliated | Cantella & Co., Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2019 | Jun 4, 2019 |
| Mark Joseph Halpin | Osaic Wealth, Inc. BD affiliated | United Capital Management Of Kansas, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 21, 2019 | May 21, 2019 |
| Antonio Dipalma | Osaic Wealth, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2019 | May 23, 2019 |
| Craig Alan Spadafora | Osaic Wealth, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2019 | Jul 19, 2019 (60 d) |
| Erin Ann Fleming Mccloskey | Osaic Wealth, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2019 | May 16, 2019 |
| Paul Sanford Faidley | Osaic Wealth, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2019 | May 6, 2019 |
| Michael Francis Whitney | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 9, 2019 | May 9, 2019 |
| Michael Pascoe Jewell | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2019 | Apr 13, 2023 (1435 d) |
| Shannon Dean Stauth | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2019 | Apr 29, 2019 |
| Kyle Alan Howell | Osaic Wealth, Inc. BD affiliated | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 24, 2019 | Apr 29, 2019 |
| Sunil Dutt Misra | Osaic Wealth, Inc. BD affiliated | Compass Financial Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2019 | May 13, 2021 (764 d) |
| Kelvin Ray Douglas | Osaic Wealth, Inc. BD affiliated | Compass Financial Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 3, 2019 | Apr 26, 2021 (754 d) |
| Mark Ryan | Osaic Wealth, Inc. BD affiliated | First Financial Equity Corporation BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2019 | Apr 17, 2019 |
| Joseph Christopher Digregorio | Osaic Wealth, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 19, 2019 | Mar 10, 2020 (357 d) |
| Brett Alan Parker | Osaic Wealth, Inc. BD affiliated | Aquilant Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2019 | Apr 9, 2019 |
| Samantha Seabury Vona | Osaic Wealth, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2019 | Jan 24, 2022 (1055 d) |
| Eric M Dietzenbach | Osaic Wealth, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2019 | Mar 21, 2019 |
| Harold Alan Schwartz | Osaic Wealth, Inc. BD affiliated | Dmk Advisor Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 22, 2019 | Jan 4, 2022 (1047 d) |
| Michael Scott Purse | Osaic Wealth, Inc. BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2019 | Feb 11, 2019 |
| James E Couzens | Osaic Wealth, Inc. BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2019 | May 9, 2022 (1180 d) |
| Robert William Tiller | Osaic Wealth, Inc. BD affiliated | J. W. Cole Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2019 | Feb 15, 2019 |
| Dorothea Sue Cole | Osaic Wealth, Inc. BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2019 | May 8, 2019 (90 d) |
| Craig Thomas Johnson | Osaic Wealth, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2019 | Jan 25, 2019 |
| Casey Hunter Pisano | Osaic Wealth, Inc. BD affiliated | Biondo Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2019 | Jan 30, 2019 |
| Thomas Joseph Neuner | Osaic Wealth, Inc. BD affiliated | Sb Advisory, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2019 | Jan 10, 2019 |
| Paul W Harvey | Osaic Wealth, Inc. BD affiliated | Bankers Life Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2019 | Jul 2, 2019 (174 d) |
| Ryan Wynn Tuff | Osaic Wealth, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 9, 2019 | Jan 18, 2019 |
| Jodi Oyler Padgett | Osaic Wealth, Inc. BD affiliated | Taylor & Padgett Financial Group LLC unclassified | Other | Jan 8, 2019 | Oct 10, 2006 |
| Renata Lance | Osaic Wealth, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 8, 2019 | Feb 15, 2019 (38 d) |
| John Lodge Farmer | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2019 | Jan 4, 2019 |
| Bree Ann Perea | Osaic Wealth, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2019 | Jan 4, 2019 |
| David Alan Melling | Osaic Wealth, Inc. BD affiliated | Jasmijn Capital Management, LLC other | Other | Jan 7, 2019 | Apr 22, 2015 |
| Donald Aaron Reed | Osaic Wealth, Inc. BD affiliated | Global Financial Private Capital, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2019 | Jan 29, 2019 |
| John W Shaffer | Osaic Wealth, Inc. BD affiliated | Latitude Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 3, 2019 |
| Joseph Reid Gilleland | Osaic Wealth, Inc. BD affiliated | Creativeone Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 2, 2019 |
| Matt Fletcher Roberts | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 2, 2019 |
| Freddie Lee Barbour | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 27, 2018 | Dec 27, 2018 |
| Guy Philip Nicosia | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2018 | Jan 4, 2019 |
| John Gerard Nicosia | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2018 | Dec 18, 2018 |
| Saul Kalu Onyeuku | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2018 | Dec 20, 2018 |
| Michael John Henzes | Osaic Wealth, Inc. BD affiliated | Open Wealth Network state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 18, 2018 | Jan 2, 2019 |
| Bernard Aloysius Nienberg | Osaic Wealth, Inc. BD affiliated | Royal Fund Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 17, 2018 | Dec 3, 2018 |
| Michael Joseph Edens | Osaic Wealth, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2018 | Nov 21, 2018 |
| Jeffrey Louis Rhodes | Osaic Wealth, Inc. BD affiliated | Ernst & Young Investment Advisers Llp no RAUM | Other | Dec 17, 2018 | Dec 22, 2022 (1466 d) |
| Robert Remington Cooper | Osaic Wealth, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2018 | Nov 19, 2018 |
| Michael Earl Cowell | Osaic Wealth, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2018 | Dec 6, 2018 |
| Anthony Dubose | Osaic Wealth, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 10, 2018 | Dec 24, 2018 |
| Joel Moore Harris | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 7, 2018 | Dec 5, 2018 |
| Cole Thomas Vautier | Osaic Wealth, Inc. BD affiliated | Principal Asset Management other | Other | Dec 7, 2018 | Jan 16, 2019 (40 d) |
| Victoria Lynn Dickerson | Osaic Wealth, Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2018 | Nov 30, 2018 |