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 Deutsche Bank Securities 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
Paul J Colligan	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Dec 19, 2007	Dec 14, 2007
Alan Frederic Myers	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Nov 30, 2007	Nov 8, 2007
Teddy James Theriot	Deutsche Bank Securities Inc. other	Dws Investment Management Americas, Inc. other	Other	Nov 21, 2007	Jul 9, 2003
James Joseph Hinckley	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Nov 16, 2007	Oct 22, 2007
Howard Steven Rowen	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Oct 5, 2007	Sep 7, 2007
Robert Patrick Gillard	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Oct 5, 2007	Sep 7, 2007
Andrew Jackson Murphy	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 21, 2007	Sep 12, 2007
Brendan Diarmuid Connaughton	Deutsche Bank Securities Inc. other	Blackrock Investment Management, LLC other	Other	Sep 19, 2007	Oct 5, 2007
Paul Spencer Checketts	Deutsche Bank Securities Inc. other	Capwest Securities, Inc. unclassified	Other	Sep 19, 2007	Aug 12, 2009 (693 d)
Gerald Raul Snyder	Deutsche Bank Securities Inc. other	Sei Investments Management Corp other	Other	Jul 20, 2007	Jul 11, 2007
Gerald Haig Ariyan	Deutsche Bank Securities Inc. other	Raymond James & Associates, Inc. national BD	Other	Jul 9, 2007	Jun 14, 2021 (5089 d)
Anne Louise Grant	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 6, 2007	Mar 12, 2007 (34 d)
Alexander Rotman	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Jan 22, 2007	Feb 2, 2007
Cory Alan Bryson	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 22, 2006	Nov 13, 2007 (356 d)
Sherry Ann Whidden	Deutsche Bank Securities Inc. other	Wilmington Trust Investment Advisors, Inc. other	Other	Oct 5, 2006	Jan 5, 2026 (7032 d)
James Marshall Perkins	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 29, 2006	Sep 22, 2006
Melissa Weakly Hess	Deutsche Bank Securities Inc. other	Geneos Wealth Management, Inc. other	Other	Aug 30, 2006	Oct 17, 2006 (48 d)
David Andrew Mcinnis	Deutsche Bank Securities Inc. other	Constellation Wealth Advisors LLC other	Other	Aug 28, 2006	Feb 11, 2011 (1628 d)
Melissa A Geracimos	Deutsche Bank Securities Inc. other	Osaic Fs, Inc. other	Other	Jul 27, 2006	Aug 10, 2006
Mark A Dawson	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Jun 30, 2006	Jul 24, 2006
Duncan Stewart Rowland	Deutsche Bank Securities Inc. other	Rowayton Investment Advisors state registered	Other	Jun 7, 2006	May 24, 2012 (2178 d)
Robert Paul Gehlen	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 2, 2006	May 26, 2006
David Mucha	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 2, 2006	May 26, 2006
Ana Razel Santarina	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 2, 2006	May 26, 2006
Fred Courtney Croll Crozier	Deutsche Bank Securities Inc. other	Morgan Stanley Dw Inc. unclassified	Other	May 4, 2006	Aug 18, 2006 (106 d)
Stephen Daniel Robinson	Deutsche Bank Securities Inc. other	Stanford Group Company unclassified	Other	Apr 12, 2006	Mar 31, 2006
Michael Trent Miller	Deutsche Bank Securities Inc. other	Stanford Group Company unclassified	Other	Apr 12, 2006	Mar 31, 2006
Elizabeth Brennen	Deutsche Bank Securities Inc. other	Harbor Investment Advisory, LLC other	Other	Mar 6, 2006	Jan 4, 2010 (1400 d)
Frank Mackey Hughes	Deutsche Bank Securities Inc. other	LPL Financial LLC BD affiliated	Other	Mar 6, 2006	Apr 2, 2026 (7332 d)
Denise M Rodriguez	Deutsche Bank Securities Inc. other	Morgan Stanley Dw Inc. unclassified	Other	Feb 21, 2006	Feb 27, 2006
Laurie Ellen Madenfort	Deutsche Bank Securities Inc. other	Northwestern Mutual Investment Services,LLC other	Other	Nov 21, 2005	Mar 9, 2006 (108 d)
Raymond Musset Clark	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Nov 21, 2005	Nov 9, 2005
Bernadette J Gapusan-Neuschwanger	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Nov 21, 2005	Nov 9, 2005
Cooley Keep Fales	Deutsche Bank Securities Inc. other	Leucadia Asset Management LLC other	Other	Oct 25, 2005	Nov 19, 2009 (1486 d)
Brian Jason Murphy	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Sep 26, 2005	Dec 14, 2009 (1540 d)
Joseph Daniel Mcmullen	Deutsche Bank Securities Inc. other	Piper Sandler & Co. no RAUM	Other	Sep 9, 2005	Sep 2, 2005
Robert Louis Takacs	Deutsche Bank Securities Inc. other	Truist Securities, Inc. unclassified	Other	Sep 9, 2005	Oct 25, 2005 (46 d)
Scott Edward Alberding	Deutsche Bank Securities Inc. other	RBC Capital Markets, LLC national BD	Other	Aug 11, 2005	Aug 16, 2005
Tony Hsu	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 21, 2005	Jul 5, 2005
Adam Joseph Cabibi	Deutsche Bank Securities Inc. other	Midsouth Capital, Inc. unclassified	Other	Jul 5, 2005	Jul 11, 2005
Joseph Michael Haberman	Deutsche Bank Securities Inc. other	Charles Schwab & Co., Inc. national BD	Other	Apr 28, 2005	May 6, 2005
Traci Lee Mitchell	Deutsche Bank Securities Inc. other	Legg Mason Wood Walker, Incorporated unclassified	Other	Apr 6, 2005	Mar 30, 2005
Jaime Ernesto Palmer	Deutsche Bank Securities Inc. other	View Capital Ria, LP other	Other	Mar 9, 2005	Feb 15, 2005
Robert James Manning	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Mar 2, 2005	Feb 23, 2005
John George Murray	Deutsche Bank Securities Inc. other	Robertson Stephens independent RIA	Other	Feb 28, 2005	Sep 27, 2021 (6055 d)
Robert Barrett Timmons	Deutsche Bank Securities Inc. other	Metlife Investment Fund Services LLC unclassified	Other	Nov 30, 2004	Feb 17, 2005 (79 d)
Gabriel Lynn Gehret	Deutsche Bank Securities Inc. other	Berthel Fisher & Company Financial Services, Inc. other	Other	Nov 30, 2004	Oct 14, 2005 (318 d)
Frederick Abels Allner	Deutsche Bank Securities Inc. other	Maryland Capital Management, LLC other	Other	Nov 29, 2004	Jan 31, 2005 (63 d)
John Fleming Blair	Deutsche Bank Securities Inc. other	Maryland Capital Management, LLC other	Other	Nov 29, 2004	Feb 2, 2005 (65 d)
Matthew Francis Barrett	Deutsche Bank Securities Inc. other	Maryland Capital Management, LLC other	Other	Nov 29, 2004	Jan 20, 2006 (417 d)
Stephen Edward White	Deutsche Bank Securities Inc. other	Lehman Brothers Inc. unclassified	Other	Nov 15, 2004	Feb 14, 2008 (1186 d)
Jeffrey Lee Stone	Deutsche Bank Securities Inc. other	Raymond James & Associates, Inc. national BD	Other	Jul 20, 2004	Jul 14, 2004
Hilary Robin Campbell	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Jun 3, 2004	May 18, 2004
Samuel C. Gross	Deutsche Bank Securities Inc. other	William Blair & Company L.L.C. other	Other	May 20, 2004	May 19, 2004
William Gregory Escamilla	Deutsche Bank Securities Inc. other	William Blair & Company L.L.C. other	Other	May 20, 2004	May 19, 2004
Richard French Judd	Deutsche Bank Securities Inc. other	Piper Sandler & Co. no RAUM	Other	May 19, 2004	May 10, 2004
Raymond Craig Brubaker	Deutsche Bank Securities Inc. other	View Capital Ria, LP other	Other	May 13, 2004	Feb 8, 2005 (271 d)
Shannon S Tan	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Apr 29, 2004	Apr 30, 2004
Jeffrey Gordon Rupp	Deutsche Bank Securities Inc. other	View Capital Ria, LP other	Other	Apr 20, 2004	May 12, 2004
Victoria Kent Shackley	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Mar 17, 2004	Mar 26, 2004

Page 6 of 7Previous Next

417 moves match.