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 First Allied 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
Lynda Reynoso Counts	First Allied Securities, Inc. no RAUM	Cetera Investment Advisers LLC BD affiliated	Other	Mar 23, 2018	Nov 12, 2020 (965 d)
John Gregory Bartels	First Allied Securities, Inc. no RAUM	Ancora Private Wealth Advisors, LLC other	Other	Dec 31, 2012	Jun 16, 2011
Ana Pasion	First Allied Securities, Inc. other	LPL Financial LLC BD affiliated	Other	Aug 29, 2012	Jul 27, 2020 (2889 d)
Nicholas Ventimiglio	First Allied Securities, Inc. other	Nicholas Ventimiglio, Cdfa unclassified	Other	Aug 9, 2012	Apr 28, 2010
Steven Jay Simes	First Allied Securities, Inc. other	Wells Fargo Advisors wirehouse	Other	Aug 8, 2012	Dec 14, 2012 (128 d)
Sean Hooman Agahi	First Allied Securities, Inc. other	Horizon Wealth Group, LLC. unclassified	Other	Jul 17, 2012	Oct 8, 2007
Drake Howard Zimmerman	First Allied Securities, Inc. other	Zimmerman & Armstrong Investment Advisors unclassified	Other	Jul 2, 2012	Jul 19, 1998
Michael Anthony Staffieri	First Allied Securities, Inc. other	Rovin Capital other	Other	Jul 2, 2012	Aug 24, 2011
Steven Michael Klahorst	First Allied Securities, Inc. other	401k Alliance unclassified	Other	Jul 2, 2012	Jan 3, 2007
Aaron Kurt Phillips	First Allied Securities, Inc. other	Infinity Financial Services Advisory independent RIA	Other	Jul 2, 2012	Jan 9, 2026 (4939 d)
John Joseph Parrillo	First Allied Securities, Inc. other	Advanced Wealth Planning unclassified	Other	Jul 2, 2012	Mar 28, 2011
Mark Christopher Shoemaker	First Allied Securities, Inc. other	Pacific Wealth Strategies Group, Inc. other	Other	Jul 2, 2012	Jun 28, 2010
Glenn Scott Searles	First Allied Securities, Inc. other	Ancora Private Wealth Advisors, LLC other	Other	Jul 2, 2012	Sep 13, 2011
Matthew Eric Gordillo	First Allied Securities, Inc. other	Ancora Private Wealth Advisors, LLC other	Other	Jul 2, 2012	Jun 27, 2011
Patrick Allen Guentner	First Allied Securities, Inc. other	Worldwide Capital Advisors, LLC state registered	Other	Jul 2, 2012	May 2, 2012
Tamara Suzanne Miller	First Allied Securities, Inc. other	Lifetime Investment Management, L.L.C. unclassified	Other	Jul 2, 2012	Jul 6, 2011
Daniel Leon Mayes	First Allied Securities, Inc. other	Greenbook Investment Management, Inc. unclassified	Other	Jul 2, 2012	Jul 30, 2008
Peter Joseph Giannini	First Allied Securities, Inc. other	The Thom Group unclassified	Other	Jul 2, 2012	Nov 28, 2007
Jesus Manuel Beltran	First Allied Securities, Inc. other	Greenbook Investment Management, Inc. unclassified	Other	Jul 2, 2012	May 9, 2008
Kevin Sevier	First Allied Securities, Inc. other	Advanced Wealth Planning unclassified	Other	Jul 2, 2012	Aug 12, 2008
Matthew Thomas Workman	First Allied Securities, Inc. other	Capital Investment Management other	Other	Jul 2, 2012	Jul 26, 2011
Jeffrey Alan Kerman	First Allied Securities, Inc. other	Wealth Partners Advisors LLC unclassified	Other	Jul 2, 2012	Aug 26, 2010
Victoria Ann Wilk	First Allied Securities, Inc. other	Ira Wealth Management unclassified	Other	Jul 2, 2012	Mar 29, 2010
Markell Anthony Staffieri	First Allied Securities, Inc. other	Rovin Capital other	Other	Jul 2, 2012	Aug 17, 2011
Frederick Allen Mecklenburg	First Allied Securities, Inc. other	Robertson Investment Management independent RIA	Other	Jul 2, 2012	Jan 7, 2011
Richard Lee Stevens	First Allied Securities, Inc. other	Gradient Advisors, LLC other	Other	Jun 28, 2012	Sep 18, 2012 (82 d)
Nadim Joseph Nahas	First Allied Securities, Inc. other	Nwk Group other	Other	Jun 27, 2012	Oct 20, 2004
Michelle Uyen Vu	First Allied Securities, Inc. other	LPL Financial LLC other	Other	Jun 13, 2012	Dec 4, 2013 (539 d)
Marisa Beth Goldstein	First Allied Securities, Inc. other	Morgan Stanley wirehouse	Other	Jun 4, 2012	Sep 24, 2013 (477 d)
Jeffrey Michael Bratz	First Allied Securities, Inc. other	Hjn Advisors, Llp other	Other	May 7, 2012	Dec 8, 2010
David James Cunningham	First Allied Securities, Inc. other	Hjn Advisors, Llp other	Other	May 3, 2012	Dec 8, 2010
Bradley James Hopp	First Allied Securities, Inc. other	Coe Capital Management, LLC other	Other	May 3, 2012	Jan 30, 2013 (272 d)
Lenia Vanessa Muro	First Allied Securities, Inc. other	Commonwealth Financial Network national BD	Other	Apr 2, 2012	Apr 5, 2012
Joseph Philip Tartaglini	First Allied Securities, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 1, 2012	Mar 27, 2012
John Weaver Young	First Allied Securities, Inc. other	Raymond James & Associates, Inc. national BD	Other	Jan 27, 2012	Jan 23, 2012
Myles R. Luster	First Allied Securities, Inc. other	Msi Financial Services, Inc. other	Other	Jan 18, 2012	Mar 1, 2012 (43 d)
Jason Michael Pisciotta	First Allied Securities, Inc. other	Davinci Capital Management Inc. state registered	Other	Jan 4, 2012	Jan 6, 2012
Brian Wayne Appel	First Allied Securities, Inc. other	Garden State Investment Advisory Services, LLC other	Other	Dec 31, 2011	Jan 10, 2012
Christopher Riley Avey	First Allied Securities, Inc. other	Cetera Investment Services LLC other	Other	Dec 31, 2011	Jan 4, 2012
Shawn Startti	First Allied Securities, Inc. other	First Citizens Investor Services, Inc. other	Other	Oct 17, 2011	Nov 2, 2011
Stanley Quion Leung Mok	First Allied Securities, Inc. other	Mok Capital Management other	Other	Oct 7, 2011	Jun 5, 2012 (242 d)
Matthew Joseph Cunningham	First Allied Securities, Inc. other	First Financial Advisory Services Inc other	Other	Sep 29, 2011	Jan 30, 2008
Katherine R Stephens	First Allied Securities, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 19, 2011	Aug 22, 2011
Marte Robert Werner	First Allied Securities, Inc. other	Nwk Group other	Other	Aug 11, 2011	Oct 20, 2004
John Michael Massoglia	First Allied Securities, Inc. other	LPL Financial LLC other	Other	Aug 10, 2011	Aug 9, 2011
Dennis Charles Clark	First Allied Securities, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Aug 1, 2011	Aug 9, 2011
Hugh J Halsey	First Allied Securities, Inc. other	G. A. Repple & Company other	Other	Aug 1, 2011	Oct 3, 2011 (63 d)
Alexandra Farquhar Kusler	First Allied Securities, Inc. other	Southwest Investment Advisors, Inc. independent RIA	Other	Jul 27, 2011	Sep 28, 2011 (63 d)
Lionel Albert Shaw	First Allied Securities, Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 26, 2011	Jul 22, 2011
Jeff Scott Boyd	First Allied Securities, Inc. other	Advanced Wealth Planning unclassified	Other	Jul 7, 2011	Aug 12, 2008
Nicholas Kakas	First Allied Securities, Inc. other	LPL Financial LLC other	Other	Jun 6, 2011	Jun 6, 2011
Charles Richard Dunn	First Allied Securities, Inc. other	Southwest Investment Advisors, Inc. independent RIA	Other	Apr 7, 2011	Dec 6, 2010
Leeland Franklyn Gray	First Allied Securities, Inc. other	Green Pastures Wealth Management LLC state registered	Other	Apr 7, 2011	Jan 19, 2021 (3575 d)
Bradley James Lineberger	First Allied Securities, Inc. other	Southwest Investment Advisors, Inc. independent RIA	Other	Apr 7, 2011	Jul 26, 2011 (110 d)
Robert Bynum Miers	First Allied Securities, Inc. other	Commonwealth Financial Network national BD	Other	Mar 7, 2011	Mar 1, 2011
Mark Joseph Langerman	First Allied Securities, Inc. other	Empowerment Financial Group other	Other	Feb 25, 2011	Oct 1, 2010
Paul Joseph Seidman	First Allied Securities, Inc. other	Ascendant Advisors, LLC other	Other	Feb 25, 2011	Feb 28, 2012 (368 d)
Ali K Yousaf	First Allied Securities, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Feb 10, 2011	Mar 8, 2011
Matthew Allan Juffer	First Allied Securities, Inc. other	Hjn Advisors, Llp other	Other	Jan 21, 2011	Dec 8, 2010
Bradley Hess Hartzel	First Allied Securities, Inc. other	Edelman Financial Services, LLC other	Other	Jan 10, 2011	Jan 20, 2011

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134 moves match.