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
Ryan R Purkiss	First Allied Securities, Inc. other	LPL Financial LLC other	Other	Nov 4, 2010	Dec 1, 2010
Gerald James Nassif	First Allied Securities, Inc. other	Usaa Financial Planning Services no RAUM	Other	Nov 3, 2010	Nov 29, 2010
Francisco Xavier Maldonado	First Allied Securities, Inc. other	Advanced Wealth Planning unclassified	Other	Oct 12, 2010	Aug 12, 2008
Kenneth Marc Hutkin	First Allied Securities, Inc. other	Morgan Stanley wirehouse	Other	Sep 15, 2010	Sep 13, 2010
Anthony Rod Ortale	First Allied Securities, Inc. other	Castle Rock Wealth Management, LLC other	Other	Jul 27, 2010	Oct 7, 2015 (1898 d)
Laurence Michael Braunstein	First Allied Securities, Inc. other	Lmb Wealth And Retirement Strategies, Inc unclassified	Other	Jul 21, 2010	Jun 24, 2008
Michael Arthur Brannock	First Allied Securities, Inc. other	Bryant & Brannock, LLC. state registered	Other	Jul 20, 2010	Jul 20, 2010
George Samuel Hoffman	First Allied Securities, Inc. other	First Allied Advisory Services, Inc. other	Other	Jun 16, 2010	Dec 7, 2009
Jonathan Leif Holljes	First Allied Securities, Inc. other	Signator Investors, Inc. other	Other	May 27, 2010	Jun 13, 2012 (748 d)
Lynn Smeraldo	First Allied Securities, Inc. other	Investors Capital Advisory other	Other	May 27, 2010	May 27, 2010
Cynthia Mary Couyoumjian	First Allied Securities, Inc. other	Independent Financial Group, LLC other	Other	May 11, 2010	Apr 10, 2015 (1795 d)
Erik Christopher Weir	First Allied Securities, Inc. other	Taverik Capital, LLC other	Other	Mar 30, 2010	May 16, 2017 (2604 d)
Henry Mark Korngut	First Allied Securities, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Mar 26, 2010	May 20, 2010 (55 d)
Thomas Jerard Kennedy	First Allied Securities, Inc. other	Ancora Private Wealth Advisors, LLC other	Other	Feb 22, 2010	Jun 24, 2011 (487 d)
David Winston Crist	First Allied Securities, Inc. other	J. W. Cole Advisors, Inc. BD affiliated	Other	Feb 2, 2010	Nov 5, 2019 (3563 d)
Juan Carlos Mansilla	First Allied Securities, Inc. other	Win Team Advisory Services other	Other	Feb 2, 2010	Sep 9, 2009
Amon Albert Allahyari	First Allied Securities, Inc. other	Chase Investment Services Corp. other	Other	Jan 12, 2010	Jan 10, 2011 (363 d)
Michael Dominic Gattuso	First Allied Securities, Inc. other	American Portfolios Advisors, Inc other	Other	Oct 29, 2009	Nov 20, 2009
Curtis Randall Brooks	First Allied Securities, Inc. other	Gerstein Fisher other	Other	Oct 22, 2009	Oct 28, 2009
Franklin Leonard Rayne	First Allied Securities, Inc. other	LPL Financial LLC independent RIA	Other	Sep 30, 2009	Mar 14, 2022 (4548 d)
Roger Kent Stubbs	First Allied Securities, Inc. other	Southwest Investment Advisors, Inc. independent RIA	Other	Sep 9, 2009	Oct 20, 2005
Belete Alemu	First Allied Securities, Inc. other	Empire Securities Corporation unclassified	Other	Aug 31, 2009	Nov 23, 2009 (84 d)
Sarah Elizabeth Kordon	First Allied Securities, Inc. other	Valic Financial Advisors, Inc. other	Other	Aug 31, 2009	Sep 12, 2011 (742 d)
Arthur Duggan Norton	First Allied Securities, Inc. other	Araglan Capital Management , LLC state registered	Other	Aug 20, 2009	Jan 14, 2010 (147 d)
Eric Blair Hansen	First Allied Securities, Inc. other	First Allied Asset Management, Inc. other	Other	May 13, 2009	Mar 24, 2009
John Prokos	First Allied Securities, Inc. other	Raymond J. Lucia Companies, Inc. unclassified	Other	Apr 6, 2009	Apr 28, 2008
David Wordlow Johnson	First Allied Securities, Inc. other	Private Client Group Asset Management other	Other	Mar 12, 2009	May 15, 2009 (64 d)
Daniel Allen Doughty	First Allied Securities, Inc. other	Raymond J. Lucia Companies, Inc. unclassified	Other	Mar 2, 2009	Mar 26, 2009
Richard Mobley Ringgold	First Allied Securities, Inc. other	Vsr Advisory Services other	Other	Feb 18, 2009	Mar 5, 2009
Brian Daniel Vosberg	First Allied Securities, Inc. other	Centaurus Financial, Inc. other	Other	Jan 5, 2009	Feb 6, 2009 (32 d)
Rohin Lawrence Ullberg	First Allied Securities, Inc. other	Sii Investments, Inc. other	Other	Dec 4, 2008	Dec 1, 2008
Matthew Wai Kiu Wong	First Allied Securities, Inc. other	Greenbook Investment Management, Inc. unclassified	Other	Nov 10, 2008	May 19, 2008
Patrick Kevin Dailey	First Allied Securities, Inc. other	Western International Securities other	Other	Oct 20, 2008	Mar 24, 2009 (155 d)
Anthony Rod Ortale	First Allied Securities, Inc. other	Horizon Wealth Group, LLC. unclassified	Other	Sep 9, 2008	Jan 9, 2008
Linda Anne Wenker	First Allied Securities, Inc. other	Western International Securities other	Other	Aug 25, 2008	Aug 20, 2008
Eric Vernon Shore	First Allied Securities, Inc. other	Cetera Advisor Networks LLC other	Other	Aug 25, 2008	Aug 19, 2008
Lisa-Ann Tomiko Nouchi	First Allied Securities, Inc. other	Western International Securities other	Other	Jun 6, 2008	Sep 4, 2008 (90 d)
Richard Alan Darrow	First Allied Securities, Inc. other	Financial Advisers Of America, LLC other	Other	Jun 5, 2008	Jun 2, 2008
Michael Bienstock	First Allied Securities, Inc. other	Semaphore Investments state registered	Other	Apr 9, 2008	May 23, 2003
William Edward Hermann	First Allied Securities, Inc. other	Kms Financial Services, Inc other	Other	Apr 2, 2008	Apr 1, 2008
Ricky Alan Mantei	First Allied Securities, Inc. other	Gunnallen Financial, Inc unclassified	Other	Mar 26, 2008	Apr 8, 2008
Nathan Gregor Richardson	First Allied Securities, Inc. other	Ek Riley Investments, LLC other	Other	Nov 16, 2007	Nov 16, 2007
Mark Joseph Wong	First Allied Securities, Inc. other	Rmc Financial Advisors, LLC state registered	Other	Aug 21, 2007	Sep 19, 2007
Mark Glenn Larkin	First Allied Securities, Inc. other	Western International Securities other	Other	May 14, 2007	Jul 30, 2007 (77 d)
Kirk Loberman	First Allied Securities, Inc. other	Madison Avenue Advisors, Inc. unclassified	Other	Apr 17, 2007	Apr 9, 2007
Steven John Kesses	First Allied Securities, Inc. other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Mar 2, 2007	Mar 7, 2007
Erick Elon Ormsby	First Allied Securities, Inc. other	Alcosta Capital Management, Inc. independent RIA	Other	Mar 1, 2007	Nov 4, 2003
Larry Edward Chlebina	First Allied Securities, Inc. other	Chlebina Capital state registered	Other	Jan 9, 2007	Jan 3, 2007
Benjamin Wright Krikorian	First Allied Securities, Inc. other	LPL Financial LLC other	Other	Jan 5, 2007	Dec 19, 2006
Robert N Spadano	First Allied Securities, Inc. other	First Financial Advisory Services Inc other	Other	Jan 5, 2007	Aug 10, 2005
John David Monroe	First Allied Securities, Inc. other	Morgan Keegan & Company, LLC other	Other	Jul 19, 2006	Aug 7, 2006
Min Gyo Kim	First Allied Securities, Inc. other	Twin Lakes Capital independent RIA	Other	Mar 1, 2006	Jan 1, 2025 (6881 d)
Joseph Sylvester Sturniolo	First Allied Securities, Inc. other	Geneos Wealth Management, Inc. BD affiliated	Other	Jan 4, 2006	Jan 4, 2026 (7305 d)
Steven Dominic Arrigan	First Allied Securities, Inc. other	Geneos Wealth Management, Inc. BD affiliated	Other	Jan 4, 2006	Jan 4, 2026 (7305 d)
Terrence C Porter	First Allied Securities, Inc. other	Waddell & Reed other	Other	Dec 2, 2005	Jan 20, 2016 (3701 d)
Peter John Orth	First Allied Securities, Inc. other	Ladenburg Thalmann Asset Management Inc other	Other	Oct 19, 2005	Oct 20, 2005
Patrick Lawrence Crook	First Allied Securities, Inc. other	Commonwealth Financial Network national BD	Other	Oct 13, 2005	Oct 12, 2005
Richard Mason Lawrence	First Allied Securities, Inc. other	Ek Riley Advisors, LLC unclassified	Other	Jul 19, 2005	Jul 15, 2005
David Rupert Wimer	First Allied Securities, Inc. other	Ek Riley Advisors, LLC unclassified	Other	Jun 29, 2005	Sep 20, 2006 (448 d)
Tommy Ray Schumaker	First Allied Securities, Inc. other	Ek Riley Advisors, LLC unclassified	Other	Jun 14, 2005	Aug 29, 2005 (76 d)

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134 moves match.