DFX Intelligence

RIA Intelligence

Advisor moves

Departures from Osaic Institutions, 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
Jack Edward Vadnais	Osaic Institutions, Inc. other	Cuso Financial Services, L.P. other	Other	Mar 2, 2010	Mar 15, 2010
John R Stone	Osaic Institutions, Inc. other	Moors & Cabot, Inc other	Other	Feb 2, 2010	Apr 26, 2010 (83 d)
Clayton Jontie Poole	Osaic Institutions, Inc. other	Boston Asset Management, Inc. other	Other	Jan 21, 2010	Aug 21, 2015 (2038 d)
Douglas Clay Arthur	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Nov 3, 2009	Oct 21, 2009
Jeremy Bennett Beitel	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Sep 25, 2009	Sep 25, 2009
Christopher Drew Pepin	Osaic Institutions, Inc. other	Chase Investment Services Corp. other	Other	May 18, 2009	Jun 30, 2009 (43 d)
Sean Kevin Reddington	Osaic Institutions, Inc. other	Voya Financial Advisors, Inc. other	Other	Apr 9, 2009	Feb 15, 2011 (677 d)
Jill Marie Hansen	Osaic Institutions, Inc. other	Commonwealth Financial Network national BD	Other	Jan 21, 2009	Jan 8, 2009
William Joseph Hannan	Osaic Institutions, Inc. other	Investment Professionals, Inc. other	Other	Dec 11, 2008	Nov 17, 2008
Ann Young Newsom-Justis	Osaic Institutions, Inc. other	Wells Fargo Advisors wirehouse	Other	Sep 15, 2008	Sep 12, 2008
Gerald Dennis Fahey	Osaic Institutions, Inc. other	Cetera Investment Services LLC other	Other	Jul 3, 2008	Jan 2, 2009 (183 d)
Jeffrey Stephen Geraci	Osaic Institutions, Inc. other	Fisher Investments other	Other	Jun 11, 2008	Jun 20, 2008
Donna Bowler	Osaic Institutions, Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 6, 2008	Oct 13, 2008 (129 d)
Richard Charles Decker	Osaic Institutions, Inc. other	Wells Fargo Advisors wirehouse	Other	May 27, 2008	Mar 27, 2012 (1400 d)
Sophie Sobczynski Stevens	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Feb 29, 2008	Feb 29, 2008
Steven Allen Bergeron	Osaic Institutions, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Feb 1, 2008	Jan 31, 2008
Gregory Robert Sheehan	Osaic Institutions, Inc. other	Commonwealth Financial Network national BD	Other	Jan 31, 2008	Feb 5, 2008
Richard Michael Waters	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Jan 29, 2008	Feb 5, 2008
Tod Donald Shoffler	Osaic Institutions, Inc. other	LPL Financial LLC other	Other	Dec 7, 2007	Dec 18, 2007
Vicki Lynn Wiley	Osaic Institutions, Inc. other	Huntington Financial Advisors other	Other	Nov 27, 2007	Mar 24, 2008 (118 d)
Juliana R Gingerich	Osaic Institutions, Inc. other	Fidelity Personal And Workplace Advisors BD affiliated	Other	Oct 2, 2007	Jan 17, 2023 (5586 d)
Lorraine Sloper	Osaic Institutions, Inc. other	Banc Of America Investment Services, Inc. unclassified	Other	Sep 4, 2007	Sep 13, 2007
David John Wallach	Osaic Institutions, Inc. other	Cetera Investment Services LLC other	Other	Mar 12, 2007	Nov 15, 2007 (248 d)
Peter James Coleman	Osaic Institutions, Inc. other	Avantax Advisory Services other	Other	Dec 18, 2006	Oct 15, 2008 (667 d)
Richard Edward Bergeron	Osaic Institutions, Inc. other	Commonwealth Financial Network national BD	Other	Oct 16, 2006	Oct 16, 2006
Robert A Spada	Osaic Institutions, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 17, 2006	Nov 3, 2011 (1935 d)
John Cossaboom	Osaic Institutions, Inc. other	Virtus Investment Advisers, LLC other	Other	Jun 14, 2006	Apr 3, 2012 (2120 d)
Matthew Reid Rich	Osaic Institutions, Inc. other	Harvest Capital Advisors, LLC unclassified	Other	Apr 27, 2006	Apr 27, 2006
Nancy Elizabeth Sheerin-Floros	Osaic Institutions, Inc. other	Wells Fargo Advisors wirehouse	Other	Jan 24, 2006	Oct 4, 2007 (618 d)
Carlie Lange Dugan	Osaic Institutions, Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Aug 3, 2005	May 8, 2009 (1374 d)
Giuseppe S Fiducia	Osaic Institutions, Inc. other	Strategic Advisers LLC national BD	Other	Jun 1, 2005	Jul 8, 2005 (37 d)
James Aaron Hargis	Osaic Institutions, Inc. other	Invest Financial Corporation other	Other	May 20, 2005	Apr 21, 2005
Roxanna Lyn Everett	Osaic Institutions, Inc. other	Lanark Financial, Inc. other	Other	Dec 13, 2004	Jul 20, 2005 (219 d)
Ronald Powers Defeo	Osaic Institutions, Inc. other	Ifmg Securities, Inc. unclassified	Other	Jul 23, 2004	Aug 11, 2004
Albert Andrew Smith	Osaic Institutions, Inc. other	Ifmg Securities, Inc. unclassified	Other	Jul 23, 2004	Jul 29, 2004
Frank Frederick Loria	Osaic Institutions, Inc. other	People'S Securities, Inc. other	Other	Jun 8, 2004	Jun 21, 2004
Joseph Thomas Murphy	Osaic Institutions, Inc. other	Newalliance Investments, Inc. unclassified	Other	Apr 1, 2004	Jan 24, 2005 (298 d)
Eric Daniel Finucane	Osaic Institutions, Inc. other	Newalliance Investments, Inc. unclassified	Other	Apr 1, 2004	Jan 24, 2005 (298 d)
Erik A Lillibridge	Osaic Institutions, Inc. other	Quick & Reilly, Inc. unclassified	Other	Oct 28, 2003	Nov 14, 2003
Steven Allen Bergeron	Osaic Institutions, Inc. other	Chittenden Securities, LLC. unclassified	Other	Oct 10, 2003	Oct 13, 2003
Jeffrey Roland Migneault	Osaic Institutions, Inc. other	Chittenden Securities, LLC. unclassified	Other	Oct 10, 2003	Oct 13, 2003
Eric Gibbs	Osaic Institutions, Inc. other	Global Portfolio Strategies, Inc. other	Other	Sep 9, 2003	Apr 30, 2008 (1695 d)

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642 moves match.