DFX Intelligence
Advisor moves
Departures from RBC Capital Markets, LLC
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 |
|---|---|---|---|---|---|
| Griffin Lau | RBC Capital Markets, LLC national BD | Vivaldi Capital Management LP independent RIA | Affiliated broker-dealer or bank to independent RIA | May 17, 2023 | Aug 2, 2024 (443 d) |
| Thomas Jay Delich | RBC Capital Markets, LLC national BD | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2023 | Apr 26, 2023 |
| Kathryn M Miller | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 11, 2023 | May 4, 2023 |
| Benjamin Mark Freeby | RBC Capital Markets, LLC national BD | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2023 | Apr 26, 2023 |
| Kaitlyn E Mellini | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 11, 2023 | Jan 16, 2024 (250 d) |
| Ari Matthew Litvin | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 3, 2023 | May 11, 2023 |
| Punitha Rathna Paustian | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 5, 2023 | Mar 27, 2023 |
| Burke Alexander Lodge | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 5, 2023 | Mar 24, 2023 |
| James Michael Schaible | RBC Capital Markets, LLC national BD | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2023 | Apr 7, 2023 |
| Hanna Marie Jackson | RBC Capital Markets, LLC national BD | Thurston Springer Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2023 | Mar 21, 2023 |
| Sarah Lynn Tolar | RBC Capital Markets, LLC national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 23, 2023 | Jul 27, 2023 (126 d) |
| Peter Joseph Glowacki | RBC Capital Markets, LLC national BD | Tcfg Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 22, 2023 | May 8, 2023 (47 d) |
| Christine Lynn Saitta | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 8, 2023 | Feb 23, 2023 |
| Charlene Ruth Noble | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2023 | Feb 17, 2023 |
| Zachary Frank Johnston | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2023 | Feb 17, 2023 |
| Mark Alan Rosenkranz | RBC Capital Markets, LLC national BD | Jnba Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2023 | Apr 28, 2023 (51 d) |
| Cody Lee Williams | RBC Capital Markets, LLC national BD | Wealthspan Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2023 | Feb 17, 2023 |
| Consuelo Carvajal Meza | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2023 | Mar 17, 2023 |
| Melinda Nicholson | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 8, 2023 | Feb 23, 2023 |
| Frank Johnston | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2023 | Feb 17, 2023 |
| Rene Michelle Apodaca | RBC Capital Markets, LLC national BD | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 24, 2023 | Feb 21, 2023 |
| Karlee Dakota Stanford | RBC Capital Markets, LLC national BD | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 22, 2023 | Feb 8, 2023 |
| Lindsay Taylor Bennett | RBC Capital Markets, LLC national BD | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2023 | Feb 6, 2023 |
| Dawn Marie Burke | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 1, 2023 | Feb 16, 2023 |
| Matthew Lewis | RBC Capital Markets, LLC national BD | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 25, 2023 | Feb 10, 2023 |
| James Patrick Sinnott | RBC Capital Markets, LLC national BD | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2023 | Jan 24, 2023 |
| Thomas Alan Graber | RBC Capital Markets, LLC national BD | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2023 | Mar 18, 2024 (425 d) |
| Ashley Grissom | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 18, 2023 | Feb 6, 2023 |
| Gonzalo F Medina | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 18, 2023 | Apr 5, 2023 (77 d) |
| Lise Minthe | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 18, 2023 | May 11, 2023 (113 d) |
| Lorrie Marie Snow | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 13, 2023 | Jan 19, 2023 |
| Randi Walker | RBC Capital Markets, LLC national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 13, 2023 | Jan 9, 2023 |
| Brooke Kristine Anderson | RBC Capital Markets, LLC national BD | Advisornet Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 13, 2023 | Jan 4, 2023 |
| Leif Charles Gunderson | RBC Capital Markets, LLC national BD | Nord Associates LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 3, 2023 | Sep 21, 2023 (261 d) |
| Jordan Freund | RBC Capital Markets, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jan 3, 2023 | Jun 8, 2023 (156 d) |
| James Joseph Dotzman | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 22, 2022 | Dec 9, 2022 |
| Kristie Manheim | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 22, 2022 | Jan 19, 2023 |
| Alan Federico | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 22, 2022 | Dec 9, 2022 |
| Yuri Alexander Dagan | RBC Capital Markets, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Dec 12, 2022 | May 23, 2023 (162 d) |
| Chandra L Minick | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 8, 2022 | Mar 2, 2023 (84 d) |
| Rachel M Huennekens | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 8, 2022 | Dec 14, 2022 |
| Timothy Aaron Day | RBC Capital Markets, LLC national BD | Ieq Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 8, 2022 | Dec 21, 2022 |
| Sean James Howard | RBC Capital Markets, LLC national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2022 | Sep 18, 2024 (659 d) |
| Dane Depolo | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2022 | Jun 22, 2023 (205 d) |
| Elijah James Cooksey | RBC Capital Markets, LLC national BD | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2022 | Dec 6, 2022 |
| Brian Arthur Geltzeiler | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2022 | Nov 15, 2022 |
| Henry Owen Eversole | RBC Capital Markets, LLC national BD | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2022 | Nov 3, 2022 |
| Christine Elaine Rauser | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 9, 2022 | Dec 5, 2022 |
| Max Livingston Lewin | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 9, 2022 | Jan 25, 2023 (77 d) |
| Karon Duval Blue | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 9, 2022 | Jan 26, 2023 (78 d) |
| Rebekah Lee Porter | RBC Capital Markets, LLC national BD | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2022 | Nov 16, 2022 |
| Ligaya Jung Guderian | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 1, 2022 | Oct 28, 2022 |
| Remy Lyn Jeanneau | RBC Capital Markets, LLC national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2022 | Nov 1, 2022 |
| John Clark Beynon | RBC Capital Markets, LLC national BD | Stifel Independent Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 10, 2022 |
| Samuel Todd Lee | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 25, 2022 | Oct 14, 2022 |
| Barbara J Walters | RBC Capital Markets, LLC national BD | Stifel Independent Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 10, 2022 |
| Matthew Edward Lesko | RBC Capital Markets, LLC national BD | Stifel Independent Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 10, 2022 |
| Matthew David Jones | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 24, 2022 | Nov 21, 2022 |
| Sandeep Mangal | RBC Capital Markets, LLC national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 11, 2022 | Oct 18, 2022 |
| Christopher John Puscian | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 11, 2022 | Sep 29, 2022 |
2,418 moves match.