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 Western International Securities
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 |
|---|---|---|---|---|---|
| Karen Tran Chung | Western International Securities BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 3, 2025 | Oct 14, 2025 |
| David Gary Simon | Western International Securities BD affiliated | Hg Wealth Partners LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 1, 2025 | Aug 27, 2025 |
| Albert Vincent Pette | Western International Securities BD affiliated | Brixton Capital Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 1, 2025 | Aug 21, 2025 |
| Ivan Parry | Western International Securities BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 1, 2025 | Sep 12, 2025 (42 d) |
| Rodney J Viloria | Western International Securities BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2025 | Aug 29, 2025 |
| Andrew C. Kuo | Western International Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2025 | Jul 18, 2025 |
| Parviz Paul Pourfarid | Western International Securities BD affiliated | Ip Financial Advisory Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2025 | Aug 21, 2025 (43 d) |
| Gregory Paul Holmes | Western International Securities BD affiliated | Cooper Mcmanus independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 23, 2025 | Jul 22, 2025 |
| Cecilia Maria Tenner | Western International Securities BD affiliated | Brink Financial Group, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 13, 2025 | Jun 9, 2025 |
| Matthew Lincoln Mogush | Western International Securities BD affiliated | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2025 | Jul 3, 2025 |
| Fariba Z. Madison | Western International Securities BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2025 | Jun 6, 2025 |
| John Felix Bodovitz | Western International Securities BD affiliated | Guardian Financial Partners, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2025 | Jan 1, 2026 (210 d) |
| Avraham Isaac Ziv | Western International Securities BD affiliated | Dorado Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2025 | Jul 23, 2021 |
| Jeffrey Dwight Brandeen | Western International Securities BD affiliated | Fiduciary Architects LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 5, 2025 | Jun 11, 2025 |
| Ute Scott-Smith | Western International Securities BD affiliated | The Social Equity Group, Inc. other | Other | Jun 5, 2025 | Jul 18, 2023 |
| John Paul Christian Dunnbier | Western International Securities BD affiliated | The Social Equity Group, Inc. other | Other | Jun 5, 2025 | Nov 21, 2022 |
| Mark Curtis Walter | Western International Securities BD affiliated | Ip Financial Advisory Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2025 | Jun 2, 2025 |
| Helen Hsi-Shan Lin | Western International Securities BD affiliated | Southern California Wealth Management Associates state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 30, 2025 | Jul 8, 2025 (39 d) |
| Yvette Sanchez Amaro | Western International Securities BD affiliated | Zero Day Capital Enterprises LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 27, 2025 | Jan 5, 2026 (223 d) |
| Hiroshi Mizutani | Western International Securities BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 27, 2025 | May 23, 2025 |
| David Wayne Karin | Western International Securities BD affiliated | Innovation Partners LLC no RAUM | Other | May 14, 2025 | May 16, 2025 |
| Wael S Zorob | Western International Securities BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2025 | May 9, 2025 |
| Sandi Y. Chui | Western International Securities BD affiliated | Kovack Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2025 | May 8, 2025 |
| Hsien Lin | Western International Securities BD affiliated | Kovack Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2025 | May 8, 2025 |
| Patrick Michael Egan | Western International Securities BD affiliated | Coordinated Wealth Management, LLC unclassified | Other | Apr 30, 2025 | May 28, 2015 |
| David Lawrence Meucci | Western International Securities BD affiliated | The Social Equity Group, Inc. other | Other | Apr 25, 2025 | Mar 3, 2023 |
| John Robert Bogucz | Western International Securities BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2025 | Apr 4, 2025 |
| Frederick Feliciano | Western International Securities BD affiliated | Secure Asset Management, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 24, 2025 | Mar 24, 2025 |
| Peter Martin Karmin | Western International Securities BD affiliated | Fort Sheridan Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 14, 2025 | Jan 4, 2024 |
| Maureen Ming-Yuan Tsu | Western International Securities BD affiliated | Ignite Planners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2025 | Mar 25, 2025 (46 d) |
| Charles Brian Conners | Western International Securities BD affiliated | Ignite Planners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2025 | Mar 25, 2025 (46 d) |
| Andrew David Tsu | Western International Securities BD affiliated | Ignite Planners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2025 | Mar 25, 2025 (46 d) |
| Russell Wayne Ketron | Western International Securities BD affiliated | Ketron Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2025 | Jan 1, 2026 (335 d) |
| Mark Katz | Western International Securities BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jan 13, 2025 | Apr 29, 2025 (106 d) |
| Isela D Ortega-Wu | Western International Securities BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 6, 2025 | Feb 20, 2025 (45 d) |
| Brian William Grogan | Western International Securities BD affiliated | Packerland Brokerage Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 21, 2024 | Jan 3, 2025 (43 d) |
| Gino Nick Chiappetta | Western International Securities BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2024 | Oct 4, 2024 |
| Thomas Matthew Weil | Western International Securities BD affiliated | Fort Sheridan Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2024 | Mar 26, 2019 |
| Alison Amber Wilson | Western International Securities BD affiliated | Fort Sheridan Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 23, 2024 | Jan 7, 2025 (76 d) |
| Lyndon Alphonso Grey | Western International Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2024 | Oct 15, 2024 |
| Kazuyo Deguchi | Western International Securities BD affiliated | Kovack Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2024 | Oct 1, 2024 |
| Glen Sherman Calkins | Western International Securities BD affiliated | Ketron Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2024 | Sep 14, 2026 (714 d) |
| Courtenay A. Wise | Western International Securities BD affiliated | Ketron Financial LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2024 | Jul 1, 2024 |
| Krikor Demirjian | Western International Securities BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Sep 20, 2024 | Sep 17, 2024 |
| Mark Anton Baksic | Western International Securities BD affiliated | Life Planning Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 21, 2024 | Aug 21, 2024 |
| Nicholas Brill Brown | Western International Securities BD affiliated | Dorado Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 1, 2024 | Jul 23, 2021 |
| Harrison Chi Chang | Western International Securities BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2024 | Jun 21, 2024 |
| Belinda Duran | Western International Securities BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2024 | Jun 17, 2024 |
| Juan Carlos Vazquez | Western International Securities BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2024 | Jun 24, 2024 |
| Mark Warren Lamb | Western International Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2024 | Jun 12, 2024 |
| Lawrence Jay Lazar | Western International Securities BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2024 | Jun 4, 2024 |
| Ryan Reynolds | Western International Securities BD affiliated | Secure Asset Management, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 30, 2024 | May 28, 2024 |
| Alfred Wayne Slayton | Western International Securities BD affiliated | Core Wealth Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 10, 2024 | Jun 18, 2024 (39 d) |
| Peter Michael Katz | Western International Securities BD affiliated | Lantern Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2024 | Apr 29, 2024 |
| Dean Harry Salminen | Western International Securities BD affiliated | Secure Asset Management, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2024 | Apr 22, 2024 |
| Bradley Clifford Kaiser | Western International Securities BD affiliated | Hg Wealth Partners LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 19, 2024 | Jun 14, 2024 (56 d) |
| Stephen Lawrence Brown | Western International Securities BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Apr 2, 2024 |
| Peter Arpad Trummer | Western International Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2024 | Apr 1, 2024 |
| Gabriel Patrick Swan | Western International Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2024 | Jan 5, 2026 (668 d) |
| Richard John Villosis | Western International Securities BD affiliated | Carnegie Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 12, 2024 | Apr 11, 2024 (90 d) |
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183 moves match.