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 |
|---|---|---|---|---|---|
| Weber S Wang | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 4, 2022 | Mar 11, 2022 |
| John Winfred Clark | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Feb 25, 2022 | Feb 23, 2022 |
| Dana Shannon Unverferth | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 21, 2022 | Feb 3, 2022 |
| John Spencer Mallozzi | Oppenheimer & Co. Inc. BD affiliated | Bourgeon Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2021 | May 7, 2023 (520 d) |
| Jesse Lynn Webb | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 19, 2021 | Nov 17, 2021 |
| John Wade | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Nov 19, 2021 | Nov 15, 2021 |
| Ruth Ann Rozankovich | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Nov 5, 2021 | Oct 29, 2021 |
| Karen M. Van Horn | Oppenheimer & Co. Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 5, 2021 | Nov 22, 2021 |
| Michael Adam Strulson | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Oct 29, 2021 | Oct 27, 2021 |
| Ravilochan Pola | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 29, 2021 | Nov 24, 2021 |
| Robert Alan Corona | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 22, 2021 | Oct 15, 2021 |
| Maria Jose Barrientos | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 27, 2021 | Oct 14, 2021 |
| Jake Farley Dinkel | Oppenheimer & Co. Inc. BD affiliated | First Trust Advisors LP asset manager | Other | Sep 27, 2021 | Oct 5, 2021 |
| Erin Lyn Alves | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 10, 2021 | Nov 9, 2021 (60 d) |
| Kenneth H South | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2021 | Aug 9, 2021 |
| Kyle A Chwatt | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 27, 2021 | Nov 1, 2024 (1162 d) |
| Brian William Ripley | Oppenheimer & Co. Inc. BD affiliated | Confluence Financial Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 20, 2021 | Aug 18, 2021 |
| Edward Dorsey | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 20, 2021 | Sep 29, 2021 (40 d) |
| Richard Andrew Dougherty | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2021 | Nov 5, 2025 (1545 d) |
| Thomas Wilbur Jewsbury | Oppenheimer & Co. Inc. BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2021 | Jul 28, 2021 |
| David Wax | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 9, 2021 | May 5, 2025 (1396 d) |
| James E. White | Oppenheimer & Co. Inc. BD affiliated | Grove Point Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2021 | Jul 7, 2021 |
| Carter Alexander Stanley | Oppenheimer & Co. Inc. BD affiliated | Ira Group, Inc. institutional | Other | Jul 2, 2021 | Aug 25, 2021 (54 d) |
| John Joseph Walsh | Oppenheimer & Co. Inc. BD affiliated | Fourstar Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 25, 2021 | Jul 7, 2021 |
| Erick Koparan Roche | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 4, 2021 | Mar 3, 2022 (272 d) |
| Nicholas J Caron | Oppenheimer & Co. Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2021 | Jul 6, 2021 (55 d) |
| David Lloyd Casso | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 7, 2021 | May 3, 2021 |
| Jodie Lynn Krueger | Oppenheimer & Co. Inc. BD affiliated | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2021 | May 4, 2021 |
| Marissa H Hammerstrom | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 7, 2021 | Jun 17, 2021 (41 d) |
| Frances G Kerhulas | Oppenheimer & Co. Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2021 | Apr 26, 2021 |
| Mary Lynn Van Moppes | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 30, 2021 | Apr 23, 2021 |
| Cole Samuels | Oppenheimer & Co. Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2021 | Jul 23, 2021 (98 d) |
| Carolyn Cole Smith | Oppenheimer & Co. Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 9, 2021 | May 17, 2021 (38 d) |
| John Govic | Oppenheimer & Co. Inc. BD affiliated | Joseph Gunnar & Co., LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2021 | Apr 1, 2021 |
| Harold Rucker Vincent | Oppenheimer & Co. Inc. BD affiliated | Ameritas Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2021 | Mar 31, 2021 (33 d) |
| Todd Erik Shagin | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2021 | Feb 25, 2021 |
| Amy Filliater Georges | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 26, 2021 | May 7, 2021 (70 d) |
| Jeffrey Scott Bird | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 19, 2021 | Feb 18, 2021 |
| Grant Clinton Smith | Oppenheimer & Co. Inc. BD affiliated | Financial Advocates Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2021 | Feb 23, 2021 |
| Jeffrey G Darien | Oppenheimer & Co. Inc. BD affiliated | Churchill Management Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2021 | Feb 1, 2021 |
| Carl Timothy Johnson | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 22, 2021 | Feb 25, 2021 (34 d) |
| Frank Oscar Curcio | Oppenheimer & Co. Inc. BD affiliated | Herbert J. Sims Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 24, 2020 | Jul 8, 2021 (196 d) |
| Michael Reed Torre | Oppenheimer & Co. Inc. BD affiliated | Herbert J. Sims Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 24, 2020 | Jul 8, 2021 (196 d) |
| Janice Nicole Guinn | Oppenheimer & Co. Inc. BD affiliated | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2020 | Mar 18, 2022 (455 d) |
| Robert Ryan Pross | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 18, 2020 | Mar 8, 2021 (80 d) |
| Samuel Noah Tenzer | Oppenheimer & Co. Inc. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2020 | Dec 7, 2020 |
| Allison M Taylor | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 11, 2020 | Dec 4, 2020 |
| Oscar Andres Rico | Oppenheimer & Co. Inc. BD affiliated | Pnc Managed Account Solutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2020 | Dec 16, 2020 |
| Timothy William Sackett | Oppenheimer & Co. Inc. BD affiliated | H. Beck, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2020 | Jan 8, 2021 (35 d) |
| Joseph P Tumminelli | Oppenheimer & Co. Inc. BD affiliated | Ladenburg Thalmann Asset Management Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2020 | Dec 3, 2020 |
| Anna E Kinsella | Oppenheimer & Co. Inc. BD affiliated | Flexible Plan Investments Ltd mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2020 | Mar 29, 2021 (143 d) |
| John Pocceschi | Oppenheimer & Co. Inc. BD affiliated | Spring Mountain Capital, LP mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Mar 17, 2021 (138 d) |
| Miguel Angel Corvalan | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 30, 2020 | Oct 27, 2020 |
| Teresa Patrick | Oppenheimer & Co. Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2020 | Nov 9, 2020 |
| James Thurman Kahn | Oppenheimer & Co. Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2020 | Oct 19, 2020 |
| Liliane K. Bwakira | Oppenheimer & Co. Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2020 | Jun 5, 2021 (236 d) |
| Jonathan Orazio Godoy | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 2, 2020 | Apr 29, 2024 (1305 d) |
| Thomas Earl Seifert | Oppenheimer & Co. Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2020 | Sep 18, 2020 |
| Jason Everett Helton | Oppenheimer & Co. Inc. BD affiliated | United Capital Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2020 | Sep 18, 2020 |
| Robert Edward Fairbrothers | Oppenheimer & Co. Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2020 | Aug 28, 2020 |
1,085 moves match.