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
Gary Edward Henderson	First Allied Securities, Inc. other	Raymond James Financial Services, Inc. unclassified	Other	Mar 22, 2005	Feb 28, 2005
Mark Edward Gilreath	First Allied Securities, Inc. other	Haleakala Investment Advisors state registered	Other	Mar 1, 2005	Oct 14, 2025 (7532 d)
Wayne William Schluchter	First Allied Securities, Inc. other	Commonwealth Financial Network national BD	Other	Mar 1, 2005	Jan 21, 2014 (3248 d)
Benson Patrick Mathews	First Allied Securities, Inc. other	Northwestern Mutual Investment Services,LLC other	Other	Feb 24, 2005	Mar 19, 2010 (1849 d)
William Robert Todd	First Allied Securities, Inc. other	Cantella & Co., Inc. other	Other	Nov 19, 2004	Nov 10, 2004
Eric Butler Lusk	First Allied Securities, Inc. other	Cantella & Co., Inc. other	Other	Nov 19, 2004	Nov 10, 2004
Christopher John Dreher Wilde	First Allied Securities, Inc. other	Wells Fargo Advisors wirehouse	Other	Aug 17, 2004	Aug 18, 2004
Cory James Chapman	First Allied Securities, Inc. other	LPL Financial LLC other	Other	Jun 4, 2004	May 26, 2004
Wesley Allan Clark	First Allied Securities, Inc. other	Round Hill Securities, Inc. unclassified	Other	Apr 2, 2004	Feb 25, 2004
Derry Earl Cook	First Allied Securities, Inc. other	Round Hill Securities, Inc. unclassified	Other	Apr 2, 2004	Feb 25, 2004
Jerime Michael Mordew	First Allied Securities, Inc. other	Msi Financial Services, Inc. other	Other	Feb 18, 2004	Nov 15, 2007 (1366 d)
James Dennis Hallett	First Allied Securities, Inc. other	Hallett Advisors independent RIA	Other	Jan 14, 2004	Nov 25, 2019 (5794 d)
Dolph Daniel Green	First Allied Securities, Inc. other	Edward Jones national BD	Other	Sep 29, 2003	Oct 2, 2006 (1099 d)
Kevin Marc Sokolow	First Allied Securities, Inc. other	Signator Investors, Inc. other	Other	Sep 11, 2002	Feb 16, 2016 (4906 d)

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134 moves match.