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 |
|---|---|---|---|---|---|
| Chad A Walker | Osaic Wealth, Inc. BD affiliated | Pfg Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 20, 2018 | Dec 18, 2018 |
| Regina J Burks | Osaic Wealth, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2018 | Aug 27, 2018 |
| Joseph Paul Viviano | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 26, 2018 | Aug 29, 2018 (34 d) |
| Jerald Lawrence Aloof | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2018 | Jul 6, 2018 |
| David Mattos | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2018 | Nov 20, 2019 (499 d) |
| Ira Scott Materetsky | Osaic Wealth, Inc. BD affiliated | Materetsky Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 28, 2018 | Jun 15, 2018 |
| Matthew Joseph Welsh | Osaic Wealth, Inc. BD affiliated | Materetsky Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 28, 2018 | May 17, 2018 |
| Patrick Dillon | Osaic Wealth, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 1, 2018 | Jun 2, 2018 |
| Erven Joseph Frericks | Osaic Wealth, Inc. BD affiliated | Vestech Asset Management Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 29, 2018 | Jun 22, 2021 (1120 d) |
| Greg Voccio | Osaic Wealth, Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2018 | May 23, 2018 |
| Tim A Toland | Osaic Wealth, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2018 | Jun 29, 2023 (1870 d) |
| Chi Dawnielle Richmond | Osaic Wealth, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 1, 2018 | Nov 15, 2018 (198 d) |
| Enrico Giovanni Cacciapuoti | Osaic Wealth, Inc. BD affiliated | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Mar 13, 2018 | Mar 29, 2018 |
| Jeffrey S Kinard | Osaic Wealth, Inc. BD affiliated | 1st Global Advisors Inc other | Other | Jan 30, 2018 | Jan 19, 2018 |
| Taylor Keith Ranker | Osaic Wealth, Inc. BD affiliated | Kestra Advisory Services, LLC other | Other | Jan 25, 2018 | Jan 22, 2018 |
| Sonya Richelle Ranker | Osaic Wealth, Inc. BD affiliated | Kestra Advisory Services, LLC other | Other | Jan 25, 2018 | Jan 22, 2018 |
| Neil Graham Mcinnis | Osaic Wealth, Inc. BD affiliated | Pension & Wealth Management unclassified | Other | Dec 31, 2017 | Mar 2, 2006 |
| Ziad S Wehbe | Osaic Wealth, Inc. BD affiliated | Balfour Capital Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 31, 2017 | Oct 4, 2021 (1373 d) |
| Robert Taylor Hammons | Osaic Wealth, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2017 | Apr 25, 2018 (131 d) |
| Joe Rowland Basham | Osaic Wealth, Inc. BD affiliated | Spc other | Other | Dec 6, 2017 | Nov 29, 2017 |
| Robert Hall Lane | Osaic Wealth, Inc. BD affiliated | Integrity Alliance, LLC other | Other | Dec 5, 2017 | Dec 4, 2017 |
| Ryan Patrick Neupaver | Osaic Wealth, Inc. BD affiliated | Santori & Peters other | Other | Nov 9, 2017 | Nov 6, 2017 |
| Lorraine Johnson | Osaic Wealth, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 3, 2017 | Nov 1, 2017 |
| Zane P Hanzon | Osaic Wealth, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2017 | Dec 5, 2017 (32 d) |
| Kristen Amy Niimi Moura | Osaic Wealth, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Aug 29, 2017 | Aug 24, 2017 |
| Michael Yuen | Osaic Wealth, Inc. other | Morgan Stanley wirehouse | Other | Aug 22, 2017 | Jan 4, 2018 (135 d) |
| Kelly Thomas Brothers | Osaic Wealth, Inc. other | Captrust institutional | Other | Jun 21, 2017 | Jan 25, 2021 (1314 d) |
| Kenneth David Cranstone | Osaic Wealth, Inc. other | Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, LLC other | Other | Jun 21, 2017 | Jul 13, 2017 |
| Melissa Louise Mills | Osaic Wealth, Inc. other | Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, LLC other | Other | Jun 21, 2017 | Jul 13, 2017 |
| Alexander Gilbert Brown | Osaic Wealth, Inc. other | Captrust institutional | Other | Jun 20, 2017 | Jan 25, 2021 (1315 d) |
| Lon Edward Burford | Osaic Wealth, Inc. other | Captrust institutional | Other | Jun 20, 2017 | Jan 25, 2021 (1315 d) |
| Michael Thomas Genovese | Osaic Wealth, Inc. other | Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, LLC other | Other | Jun 20, 2017 | Dec 7, 2007 |
| Jessica Coste | Osaic Wealth, Inc. other | Farmers Financial Solutions, LLC no RAUM | Other | Jun 9, 2017 | Jul 28, 2017 (49 d) |
| Jason Scott Stewart | Osaic Wealth, Inc. other | Cetera Advisors LLC other | Other | May 5, 2017 | May 4, 2017 |
| Michelle Rae Wagner | Osaic Wealth, Inc. other | Cassaday & Co Inc other | Other | Apr 26, 2017 | May 9, 2017 |
| Brian Christopher Sullivan | Osaic Wealth, Inc. other | Morgan Stanley wirehouse | Other | Apr 19, 2017 | May 15, 2017 |
| Kevin Michael Thelen | Osaic Wealth, Inc. other | Beyou Financial unclassified | Other | Mar 22, 2017 | Jun 18, 2018 (453 d) |
| Jeffrey Michael Sultan | Osaic Wealth, Inc. other | Madison Advisory Services, Inc. other | Other | Mar 7, 2017 | Jul 13, 2015 |
| Sherri Frank Weintrop | Osaic Wealth, Inc. other | Wealth Management Advisors, Inc. state registered | Other | Mar 3, 2017 | Apr 6, 1998 |
| Dana Joseph Menard | Osaic Wealth, Inc. other | Twin Cities Wealth Strategies, Inc. state registered | Other | Feb 24, 2017 | Feb 18, 2017 |
| Calvin Isaac Roach | Osaic Wealth, Inc. other | Morgan Stanley wirehouse | Other | Feb 2, 2017 | Feb 7, 2017 |
| Michelle R Schroeder | Osaic Wealth, Inc. other | Huntington Financial Advisors other | Other | Dec 31, 2016 | Jan 31, 2017 (31 d) |
| Megan Margarete Richardson | Osaic Wealth, Inc. other | Cgc Financial Services other | Other | Dec 31, 2016 | Feb 13, 2018 (409 d) |
| Lisa Reich | Osaic Wealth, Inc. other | Voya Financial Advisors, Inc. other | Other | Dec 22, 2016 | Feb 22, 2017 (62 d) |
| Kevin Edmund Cross | Osaic Wealth, Inc. other | Executive Wealth Management, LLC other | Other | Nov 21, 2016 | Dec 19, 2016 |
| Kenneth Bert Wheeler | Osaic Wealth, Inc. other | Kms Financial Services, Inc other | Other | Nov 17, 2016 | Nov 11, 2016 |
| Jerome Patrick O'Reilly | Osaic Wealth, Inc. other | Vista Financial Group, Ltd. unclassified | Other | Oct 24, 2016 | Sep 17, 1997 |
| Peter J Ashby | Osaic Wealth, Inc. other | Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, LLC other | Other | Oct 24, 2016 | Dec 7, 2016 (44 d) |
| Matthew Alan Krajniak | Osaic Wealth, Inc. other | Focus Financial other | Other | Oct 20, 2016 | Oct 20, 2016 |
| David Teeter | Osaic Wealth, Inc. other | Wells Fargo Advisors wirehouse | Other | Sep 30, 2016 | Oct 3, 2016 |
| Paul Michael Largo | Osaic Wealth, Inc. other | Wells Fargo Advisors wirehouse | Other | Sep 30, 2016 | Oct 3, 2016 |
| Donald Verl Hershberger | Osaic Wealth, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Sep 26, 2016 | Sep 28, 2016 |
| Diane Lynn Young | Osaic Wealth, Inc. other | Athena Advisory Services Inc. unclassified | Other | Sep 26, 2016 | Jun 29, 2016 |
| Angie Butler | Osaic Wealth, Inc. other | Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, LLC other | Other | Sep 26, 2016 | Oct 25, 2016 |
| Candace Marie Hackborn | Osaic Wealth, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Sep 21, 2016 | Sep 19, 2016 |
| Mary Anne Hershberger | Osaic Wealth, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Sep 21, 2016 | Sep 19, 2016 |
| Donald Verl Hershberger | Osaic Wealth, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Sep 21, 2016 | Sep 19, 2016 |
| Brennan Michael Clark | Osaic Wealth, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Sep 21, 2016 | Sep 19, 2016 |
| Stephanie C Calderas | Osaic Wealth, Inc. other | Mrm Group other | Other | Sep 20, 2016 | Oct 6, 2016 |
| Ronald W Cavill | Osaic Wealth, Inc. other | Marshall Investment Management, LLC independent RIA | Other | Sep 9, 2016 | Sep 6, 2016 |