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 Oppenheimer & Co. 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
Derrick Timothy Watts	Oppenheimer & Co. Inc. other	B Riley Wealth Management other	Other	Dec 1, 2015	Sep 8, 2016 (282 d)
Carmen Milagros Marrero	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 1, 2015	Feb 8, 2016 (69 d)
Matthew David Kennedy	Oppenheimer & Co. Inc. other	Leucadia Asset Management LLC other	Other	Nov 20, 2015	Dec 4, 2015
Luigi Edward Mancusi	Oppenheimer & Co. Inc. other	Sanctuary Advisors, LLC other	Other	Nov 18, 2015	Nov 5, 2015
R Chris Nee	Oppenheimer & Co. Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Nov 17, 2015	Nov 23, 2015
Lauren Greene Holwell	Oppenheimer & Co. Inc. other	Sanctuary Advisors, LLC other	Other	Nov 17, 2015	Nov 6, 2015
Melissa Torres Riano Torrens	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Nov 16, 2015	Nov 23, 2015
Elizabeth Anne Mahr	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Nov 6, 2015	Dec 3, 2015
James Kevin Smilde	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Nov 3, 2015	Oct 19, 2015
James Daniel Mcdermott	Oppenheimer & Co. Inc. other	Raymond James & Associates, Inc. national BD	Other	Nov 3, 2015	Oct 16, 2015
Sean Peter Rooney	Oppenheimer & Co. Inc. other	The Pinnacle Financial Group independent RIA	Other	Nov 3, 2015	Sep 2, 2021 (2130 d)
Stephen Alan Colavito	Oppenheimer & Co. Inc. other	Asset Preservation Advisors, LLC independent RIA	Other	Nov 2, 2015	May 29, 2018 (939 d)
Yan Binder	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 30, 2015	Oct 28, 2015
Kevin J Wilson	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Oct 16, 2015	Oct 5, 2015
Christian F Gallo	Oppenheimer & Co. Inc. other	Dominari Securities LLC other	Other	Oct 2, 2015	Oct 13, 2015
Matthew Hugh Hurley	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 1, 2015	Sep 15, 2015
Kim L Collins	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 1, 2015	Sep 17, 2015
Guy B Deemer	Oppenheimer & Co. Inc. other	Sb Advisory, LLC other	Other	Sep 29, 2015	Jan 4, 2016 (97 d)
Gary J Walker	Oppenheimer & Co. Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Sep 16, 2015	Sep 21, 2015
Philip Francis Arnheiter	Oppenheimer & Co. Inc. other	Capitol Securities Management, Inc. other	Other	Sep 10, 2015	Aug 31, 2015
Joseph Richard Julian	Oppenheimer & Co. Inc. other	Highmore Group other	Other	Sep 3, 2015	Aug 25, 2015
Joshua Andrew Yocam	Oppenheimer & Co. Inc. other	Morgan Stanley wirehouse	Other	Sep 3, 2015	Sep 28, 2018 (1121 d)
Jared Colin Correa Petrizzi	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Sep 3, 2015	Sep 17, 2015
William David Morrison	Oppenheimer & Co. Inc. other	B. Riley Wealth Advisors, Inc. BD affiliated	Other	Aug 7, 2015	Jul 2, 2019 (1425 d)
Kevin Paul Greig	Oppenheimer & Co. Inc. other	Greig, Kevin P state registered	Other	Aug 5, 2015	Aug 26, 2015
Paula Fontno Scales	Oppenheimer & Co. Inc. other	Msi Financial Services, Inc. other	Other	Jul 6, 2015	Jul 29, 2015
Deborah A Goodermuth	Oppenheimer & Co. Inc. other	Ameriprise Financial Services, LLC national BD	Other	Jul 6, 2015	Jul 2, 2015
Warren William Barnes	Oppenheimer & Co. Inc. other	Ksb Financial Services, LLC state registered	Other	Jul 6, 2015	Jan 1, 2025 (3467 d)
Bryan Dean Huber	Oppenheimer & Co. Inc. other	Ksb Financial Services, LLC state registered	Other	Jul 6, 2015	Aug 24, 2015 (49 d)
Nevena Vatachka	Oppenheimer & Co. Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 6, 2015	Jan 28, 2019 (1302 d)
Donald James Lance	Oppenheimer & Co. Inc. other	Ksb Financial Services, LLC state registered	Other	Jul 6, 2015	Aug 24, 2015 (49 d)
Steven Eric Ritchie	Oppenheimer & Co. Inc. other	Ksb Financial Services, LLC state registered	Other	Jul 6, 2015	Jan 5, 2026 (3836 d)
Terry Ray Niegel	Oppenheimer & Co. Inc. other	Ksb Financial Services, LLC state registered	Other	Jul 6, 2015	Jan 1, 2025 (3467 d)
Jeffrey David Nagel	Oppenheimer & Co. Inc. other	Avantax Advisory Services BD affiliated	Other	Jul 6, 2015	Jul 28, 2021 (2214 d)
Neil Roy Rubin	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 22, 2015	Jun 18, 2015
David Michael Kenny	Oppenheimer & Co. Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Jun 18, 2015	Jul 30, 2015 (42 d)
Robyn Andrea Sabin	Oppenheimer & Co. Inc. other	Freestone Capital Management, LLC other	Other	Jun 18, 2015	May 29, 2015
Christopher Terrance Odem	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Jun 18, 2015	Apr 15, 2003
Eric B. B Soos	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 18, 2015	Jun 11, 2015
Steven Thomas Horky	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 18, 2015	Jun 11, 2015
Robert Stephen Rich	Oppenheimer & Co. Inc. other	Huntleigh Advisors, Inc. other	Other	Jun 18, 2015	Jul 20, 2015 (32 d)
Trevor William Sharp	Oppenheimer & Co. Inc. other	Freestone Capital Management, LLC other	Other	Jun 18, 2015	May 29, 2015
Kenneth Anton	Oppenheimer & Co. Inc. other	Spc other	Other	Jun 12, 2015	May 15, 2015
Timothy Patrick Anderson	Oppenheimer & Co. Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Jun 3, 2015	May 26, 2015
Richard Burton Rowehl	Oppenheimer & Co. Inc. other	Global Retirement Partners LLC other	Other	Jun 3, 2015	Jun 16, 2015
Tara Ashley Macedo	Oppenheimer & Co. Inc. other	Suntrust Investment Services, Inc. other	Other	Jun 3, 2015	Jun 8, 2015
Brandy Michelle Phipps	Oppenheimer & Co. Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	May 21, 2015	Jun 16, 2015
Sean Deming	Oppenheimer & Co. Inc. other	Charles Schwab & Co., Inc. national BD	Other	May 19, 2015	Aug 10, 2016 (449 d)
Laura Anne Dailey	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	May 18, 2015	May 19, 2015
Linda A Herman	Oppenheimer & Co. Inc. other	LPL Financial LLC other	Other	May 6, 2015	May 8, 2015
Veronica Puello Visbal	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 6, 2015	Jun 19, 2015 (44 d)
Michael Allen Bober	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	May 4, 2015	Apr 30, 2015
Ettore D Ventrice	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	May 4, 2015	Apr 30, 2015
Michael Sean Macdonald	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	May 4, 2015	May 4, 2015
Alexandre Martins Santos	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	May 4, 2015	May 4, 2015
Noah Rubin	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	May 4, 2015	May 4, 2015
Carol Beth Nulman	Oppenheimer & Co. Inc. other	Hightower Advisors, LLC other	Other	Apr 20, 2015	Apr 17, 2015
Joseph Anthony Canadeo	Oppenheimer & Co. Inc. other	Truist Advisory Services, Inc. no RAUM	Other	Apr 20, 2015	Aug 19, 2016 (487 d)
Eric Alan Johnson	Oppenheimer & Co. Inc. other	Personal Financial Group other	Other	Apr 16, 2015	Apr 1, 2015
Kevin John Gieraltowski	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Apr 7, 2015	Apr 16, 2015

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1,085 moves match.