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 |
|---|---|---|---|---|---|
| Jonathan James Miles | Oppenheimer & Co. Inc. BD affiliated | Southport Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 14, 2019 | Jun 13, 2019 |
| Brooke Courtney Goldstein | Oppenheimer & Co. Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2019 | Jun 29, 2023 (1476 d) |
| John R Frenzel | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2019 | Jun 18, 2019 |
| Linda Zheng | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 31, 2019 | Jun 18, 2019 |
| Paul William Davis | Oppenheimer & Co. Inc. BD affiliated | Hudson Value Partners, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 24, 2019 | Jun 24, 2019 (31 d) |
| David Paul Allen | Oppenheimer & Co. Inc. BD affiliated | Oppenheimer Asset Management other | Other | May 24, 2019 | Apr 15, 2003 |
| Christopher Paul Davis | Oppenheimer & Co. Inc. BD affiliated | Hudson Value Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2019 | Mar 30, 2022 (1041 d) |
| Kevin Mclaughlin | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 24, 2019 | Jun 5, 2019 |
| Michael Kennedy Carberry | Oppenheimer & Co. Inc. BD affiliated | Gladstone Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 23, 2019 | May 30, 2019 |
| Shahzeib Parvez | Oppenheimer & Co. Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2019 | May 16, 2019 |
| Andreas Constantine Koustis | Oppenheimer & Co. Inc. BD affiliated | Beach Benefits Group unclassified | Other | May 17, 2019 | May 16, 2019 |
| John Ginsbury | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 10, 2019 | May 3, 2019 |
| Kenneth Shane Gillespie | Oppenheimer & Co. Inc. BD affiliated | Hermosa Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 24, 2019 | Sep 24, 2020 (519 d) |
| Jonathan Drew Uffelman | Oppenheimer & Co. Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Apr 12, 2019 | Apr 11, 2019 |
| Maral Thomas | Oppenheimer & Co. Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Apr 12, 2019 | Apr 11, 2019 |
| Lee S Mason | Oppenheimer & Co. Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 12, 2019 | Apr 12, 2019 |
| Michael Joseph O'Leary | Oppenheimer & Co. Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2019 | Apr 1, 2019 |
| Damon Mark Schimming | Oppenheimer & Co. Inc. BD affiliated | Balefire, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2019 | Apr 17, 2019 (33 d) |
| Elmira Lavi | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 15, 2019 | Mar 19, 2019 |
| Steven A Gordon | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Mar 8, 2019 | Mar 7, 2019 |
| Estefania Gorman | Oppenheimer & Co. Inc. BD affiliated | First Trust Advisors LP asset manager | Other | Mar 8, 2019 | Mar 12, 2019 |
| Daniel Ross Schmieder | Oppenheimer & Co. Inc. BD affiliated | Icon Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 15, 2019 | Feb 12, 2019 |
| Patrick George Colligan | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 8, 2019 | Feb 8, 2019 |
| Antoinette P Lombardi | Oppenheimer & Co. Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2019 | Jan 28, 2019 |
| Alan Puklin | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 4, 2019 | Dec 14, 2020 (710 d) |
| William Proctor Greathouse | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 21, 2018 | Dec 14, 2018 |
| Cynthia M Serbia | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Private Wealth Advisors LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 7, 2018 | Dec 11, 2018 |
| Daniel Joseph Sullivan | Oppenheimer & Co. Inc. BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 7, 2018 | Nov 30, 2018 |
| James Raoul Gura | Oppenheimer & Co. Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Dec 7, 2018 | Nov 30, 2018 |
| Paul Michael Jocson Reyes | Oppenheimer & Co. Inc. BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2018 | Jan 4, 2019 (35 d) |
| John Boyd Whitledge | Oppenheimer & Co. Inc. BD affiliated | Primerica Advisors national BD | Affiliated broker-dealer or bank to another | Nov 2, 2018 | Oct 26, 2020 (724 d) |
| Kristen Lipovsky | Oppenheimer & Co. Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 26, 2018 | Aug 9, 2019 (287 d) |
| Alexi Sacco | Oppenheimer & Co. Inc. BD affiliated | Spire Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2018 | Jun 8, 2021 (970 d) |
| Kathleen Lansing | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 5, 2018 | May 3, 2019 (210 d) |
| Eric Wellington Deems | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 21, 2018 | Jul 22, 2025 (2496 d) |
| Gennaro Robert Disilvio | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 21, 2018 | Sep 17, 2018 |
| Alan Lee Haworth | Oppenheimer & Co. Inc. BD affiliated | Clare Market Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2018 | Sep 10, 2018 |
| Robin Lott | Oppenheimer & Co. Inc. BD affiliated | Clare Market Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2018 | Sep 11, 2018 |
| Priya N Intwala | Oppenheimer & Co. Inc. BD affiliated | Clare Market Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2018 | Sep 11, 2018 |
| Brody Allen Northcott | Oppenheimer & Co. Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Sep 7, 2018 | Apr 3, 2019 (208 d) |
| Michael Jay Shatsky | Oppenheimer & Co. Inc. BD affiliated | Sky Alpha Asset Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 24, 2018 | Aug 23, 2018 |
| Nicole Matilde Boutmy De Katzmann | Oppenheimer & Co. Inc. BD affiliated | Dominari Securities LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2018 | Aug 15, 2018 |
| Alex Lee | Oppenheimer & Co. Inc. BD affiliated | Sky Alpha Asset Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 24, 2018 | Aug 21, 2018 |
| Juan Pablo Rios | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 22, 2018 | Nov 9, 2018 (79 d) |
| Jamar Carr | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 27, 2018 | Aug 29, 2018 (33 d) |
| Igor Gitstein | Oppenheimer & Co. Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 27, 2018 | Aug 2, 2018 |
| Shelley Schudlich | Oppenheimer & Co. Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jul 13, 2018 | Jul 10, 2018 |
| Michael Alexander Lackwood | Oppenheimer & Co. Inc. BD affiliated | Aurora Private Wealth, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 12, 2018 | Aug 10, 2018 |
| Ronald J Holtz | Oppenheimer & Co. Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 6, 2018 | Sep 28, 2018 (84 d) |
| Kevin Pellegrini | Oppenheimer & Co. Inc. BD affiliated | Joseph Gunnar & Co., LLC other | Other | Jul 6, 2018 | Jul 6, 2018 |
| Mark Donald Pankoff | Oppenheimer & Co. Inc. BD affiliated | Wellington Shields & Co., LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2018 | Jul 9, 2018 |
| Mayumi Tsuneki Britt | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 1, 2018 | Jun 5, 2018 |
| Alan Earl Brookshire | Oppenheimer & Co. Inc. BD affiliated | J.J.B. Hilliard, W.L. Lyons, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 30, 2018 | May 27, 2018 |
| Julie Garside Willard | Oppenheimer & Co. Inc. BD affiliated | J.J.B. Hilliard, W.L. Lyons, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 30, 2018 | May 27, 2018 |
| Kale Olson | Oppenheimer & Co. Inc. BD affiliated | J.J.B. Hilliard, W.L. Lyons, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 30, 2018 | May 27, 2018 |
| Kin Ma | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 27, 2018 | May 3, 2018 |
| David Nell | Oppenheimer & Co. Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 27, 2018 | Oct 12, 2023 (1994 d) |
| Kyle Mcclanahan | Oppenheimer & Co. Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2018 | Dec 11, 2018 (242 d) |
| Fitzgerald Miller | Oppenheimer & Co. Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2018 | Oct 15, 2018 (206 d) |
| Nicklaus Serafini | Oppenheimer & Co. Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2018 | Apr 23, 2018 (31 d) |
1,085 moves match.