DFX Intelligence
RIA Intelligence
Advisor moves
Departures from Osaic Fa, 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 |
|---|---|---|---|---|---|
| Jeffrey David Bittner | Osaic Fa, Inc. BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2019 | Apr 8, 2019 |
| Steven J Reina | Osaic Fa, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2019 | Apr 15, 2019 |
| Charles Albert Strickland | Osaic Fa, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 18, 2019 | Jan 29, 2019 |
| John R Bonnemort | Osaic Fa, Inc. BD affiliated | First Capital Advisors Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2019 | Jul 3, 2019 (110 d) |
| Mark A. Theado | Osaic Fa, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 7, 2019 | Apr 9, 2019 (33 d) |
| Brenda Lynne Larkin | Osaic Fa, Inc. BD affiliated | Westminster Financial Advisory Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 6, 2019 | Feb 22, 2019 |
| David A Speranza | Osaic Fa, Inc. BD affiliated | Spire Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 27, 2019 | Mar 17, 2019 |
| Cory Joseph Gano | Osaic Fa, Inc. BD affiliated | 10 Key Consulting, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 19, 2019 | Aug 10, 2018 |
| Rodney Wayne Simpson | Osaic Fa, Inc. BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2019 | Jul 16, 2019 (160 d) |
| Scott Michael Terry | Osaic Fa, Inc. BD affiliated | Summit Wealth And Retirement Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 30, 2019 | Jan 1, 2025 (2163 d) |
| Junior Rondeau | Osaic Fa, Inc. BD affiliated | Elevated Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 15, 2019 | Oct 12, 2020 (636 d) |
| Brent Joseph Howard | Osaic Fa, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | May 26, 2023 (1607 d) |
| Stephen John Haney | Osaic Fa, Inc. BD affiliated | Independence Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2018 | Dec 21, 2018 |
| Marshall Charles Barclay | Osaic Fa, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2018 | Oct 26, 2018 |
| Frank Joseph Maldonado | Osaic Fa, Inc. BD affiliated | Level Four Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2018 | Nov 2, 2018 |
| Brian C Kennedy | Osaic Fa, Inc. BD affiliated | Concourse Financial Group Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2018 | Oct 16, 2018 |
| Vincent J Catalano | Osaic Fa, Inc. BD affiliated | Concourse Financial Group Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2018 | Oct 16, 2018 |
| Stephen Edward Myers | Osaic Fa, Inc. BD affiliated | Concourse Financial Group Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2018 | Oct 12, 2018 |
| Joan L Knight | Osaic Fa, Inc. BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2018 | Dec 26, 2018 (82 d) |
| Eric Boyer | Osaic Fa, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 5, 2018 | Oct 12, 2018 |
| Christopher James Davidson | Osaic Fa, Inc. BD affiliated | Proxy Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2018 | Sep 18, 2018 |
| Edward L Kelley | Osaic Fa, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2018 | Sep 19, 2018 |
| Theodore Arthur Tellefsen | Osaic Fa, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 7, 2018 | Sep 18, 2019 (376 d) |
| Randall Gray Neighbour | Osaic Fa, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Sep 7, 2018 | Aug 30, 2018 |
| Michael James Giongo | Osaic Fa, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2018 | Oct 26, 2018 (66 d) |
| Gregory Daniel Brumagin | Osaic Fa, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2018 | Aug 13, 2018 |
| Donna Jean Bogan | Osaic Fa, Inc. BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2018 | Aug 1, 2018 |
| Alec James Nasto | Osaic Fa, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 13, 2018 | Aug 7, 2018 |
| Joseph James Kavanagh | Osaic Fa, Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2018 | Jul 17, 2018 |
| Aiyisha Adams | Osaic Fa, Inc. BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2018 | Sep 26, 2018 (57 d) |
| Richard Michael Treta | Osaic Fa, Inc. BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2018 | Jul 13, 2018 |
| Adam Howard Mosbach | Osaic Fa, Inc. BD affiliated | Ashton Thomas Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2018 | Sep 20, 2018 (55 d) |
| Thomas Francis Labrie | Osaic Fa, Inc. BD affiliated | Westminster Financial Advisory Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2018 | Jul 17, 2018 |
| John Lane Obrien | Osaic Fa, Inc. BD affiliated | Westminster Financial Advisory Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 18, 2018 | Sep 17, 2018 (61 d) |
| David Michael Matzko | Osaic Fa, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 18, 2018 | Sep 24, 2018 (68 d) |
| Shawn Lee Ehrhardt | Osaic Fa, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2018 | Jun 28, 2018 |
| Lisa Ann Brandau | Osaic Fa, Inc. BD affiliated | Cjm Wealth Advisers, Ltd. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2018 | Feb 21, 2020 (592 d) |
| Edwin Ray Kerley | Osaic Fa, Inc. BD affiliated | Money Concepts Advisory Service BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2018 | Jun 4, 2018 |
| Nicholas J Desantis | Osaic Fa, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 7, 2018 | Aug 20, 2018 (74 d) |
| Scott Andrew Stewart | Osaic Fa, Inc. BD affiliated | Securian Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2018 | Jun 4, 2018 |
| Jane Margaret Lichtsinn | Osaic Fa, Inc. BD affiliated | Cx Institutional, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 21, 2018 | Nov 5, 2019 (533 d) |
| Michael Andrew Gilliland | Osaic Fa, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2018 | Jun 12, 2018 (32 d) |
| David Matthew Thailing | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 9, 2018 | Apr 27, 2018 |
| Shane M Reniker | Osaic Fa, Inc. BD affiliated | Fidelity Personal And Workplace Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 9, 2018 | Jul 20, 2018 (72 d) |
| Dragos Georgescu | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 9, 2018 | Apr 27, 2018 |
| Cortland Luster Golightly | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 9, 2018 | Apr 28, 2018 |
| Aaron Paul Karas | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 9, 2018 | Apr 27, 2018 |
| Dennis Wayne Culver | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 9, 2018 | Apr 30, 2018 |
| Cole Edward Durkin | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 9, 2018 | Apr 27, 2018 |
| Brian Keith Stormont | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 2, 2018 | Apr 27, 2018 |
| Chad Gene Seegers | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 2, 2018 | Apr 27, 2018 |
| Nathaniel J Hintz | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 2, 2018 | Apr 30, 2018 |
| Trenton Larsen | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 2, 2018 | Apr 27, 2018 |
| Alexander Sasha Izmailov | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 1, 2018 | Apr 27, 2018 |
| Robert Michael Agorastos | Osaic Fa, Inc. BD affiliated | Insight Wealth Strategies, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 1, 2018 | Apr 27, 2018 |
| Charles I Downey | Osaic Fa, Inc. BD affiliated | Centaurus Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2018 | Oct 23, 2018 (176 d) |
| John Barr Dolan | Osaic Fa, Inc. BD affiliated | Centaurus Financial, Inc. other | Other | Apr 27, 2018 | Jun 18, 2018 (52 d) |
| Donald Ryan Mccloskey | Osaic Fa, Inc. BD affiliated | Summit Wealth And Retirement Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2018 | Apr 18, 2018 |
| Kevin Vavreck | Osaic Fa, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2018 | Apr 18, 2018 |
| Christopher Robert Cahill | Osaic Fa, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 16, 2018 | Nov 22, 2022 (1681 d) |
1,675 moves match.