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 Santander 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 |
|---|---|---|---|---|---|
| Jessica Lynn Leach | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2020 | Jan 7, 2021 (132 d) |
| Marcus Lucchese | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2020 | Sep 29, 2020 (32 d) |
| Seamus Maccrory | Santander Securities BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Aug 28, 2020 | Sep 30, 2020 (33 d) |
| Samuel M Raheb | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2020 | Sep 28, 2020 (31 d) |
| Andres E Galvez | Santander Securities BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 10, 2020 | Aug 10, 2020 |
| Raymond Dominic Caggiano | Santander Securities BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 31, 2020 | Nov 14, 2020 (106 d) |
| Steven Michael Kashubo | Santander Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 13, 2020 | Jul 16, 2020 |
| Kelvern Chen | Santander Securities BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2020 | Jul 27, 2020 |
| David Llewellyn Smith | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2020 | Apr 5, 2021 (277 d) |
| Joseph Michael Phillips | Santander Securities BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2020 | Jul 1, 2020 |
| Anthony K. Dawson | Santander Securities BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2020 | Jul 28, 2020 (63 d) |
| David Richard Ducharme | Santander Securities BD affiliated | Securian Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 22, 2020 | Jun 3, 2020 |
| Robert Soto | Santander Securities BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2020 | May 13, 2020 |
| Filippo Maiello | Santander Securities BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 11, 2020 | Nov 23, 2020 (196 d) |
| Gregory Ernest Rufa | Santander Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2020 | May 5, 2020 |
| Juan M. Garcia | Santander Securities BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 27, 2020 | May 5, 2020 |
| Michael Neil Capobianco | Santander Securities BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2020 | Apr 28, 2020 |
| Agne Mir | Santander Securities BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 13, 2020 | Apr 27, 2020 (45 d) |
| Michael Anthony Volini | Santander Securities BD affiliated | American Portfolios Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2020 | Mar 5, 2020 |
| Vance Kottler | Santander Securities BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2020 | Mar 3, 2020 |
| Brian Robert Gaumont | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2020 | Mar 2, 2020 |
| Hamilton Soriano | Santander Securities BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Feb 10, 2020 | Mar 30, 2021 (414 d) |
| Lucy Ann Marie Sowers | Santander Securities BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 3, 2020 | Jan 31, 2020 |
| Alyson Clarie Basso | Santander Securities BD affiliated | The Patriot Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2020 | Jan 23, 2020 |
| Lloyd Ward Johnson | Santander Securities BD affiliated | Kelly Financial Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2020 | Jan 15, 2020 |
| Bryan Finger | Santander Securities BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 14, 2020 | Jan 17, 2020 |
| Nicole Elizabeth Paradise | Santander Securities BD affiliated | Voya Financial Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 13, 2020 | Feb 7, 2020 |
| Peter C Canale | Santander Securities BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2020 | Jan 17, 2020 |
| Dana R Holmes | Santander Securities BD affiliated | Fidelity Institutional Wealth Adviser LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 3, 2020 | Jan 13, 2021 (376 d) |
| Paula Jean Farrell | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2020 | Jan 27, 2021 (390 d) |
| Gary Geraci | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2019 | Jan 24, 2020 (38 d) |
| Erika A Van Lingen | Santander Securities BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2019 | Dec 24, 2019 |
| Ramy Iskandar | Santander Securities BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 5, 2019 | Dec 17, 2019 |
| Steve Nguyen | Santander Securities BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 4, 2019 | May 11, 2020 (159 d) |
| Irene Tagarelli | Santander Securities BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Nov 20, 2019 |
| Christopher Patrick Greeley | Santander Securities BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Dec 24, 2019 (39 d) |
| Nicholas Sean Duelfer | Santander Securities BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 15, 2019 | Jun 22, 2021 (585 d) |
| Thomas E Hobin | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2019 | Nov 1, 2019 |
| Kevin Robert Leblanc | Santander Securities BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 25, 2019 | Oct 25, 2019 |
| Jason Anthony Silva | Santander Securities BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 27, 2019 | Sep 27, 2019 |
| Evangelos Ioakimidis | Santander Securities BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 27, 2019 | Oct 16, 2019 |
| Debra Rae Martin | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2019 | Sep 9, 2019 |
| Scott Maxwell Frost | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2019 | Sep 9, 2019 |
| Ty Matthew Wilkinson | Santander Securities BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 20, 2019 | Aug 21, 2019 |
| Daniel Raymond Rose | Santander Securities BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 1, 2019 | Jul 30, 2019 |
| Melissa Ann Seitchek | Santander Securities BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2019 | Jul 31, 2019 |
| Brian Tuttle | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2019 | Jul 16, 2019 |
| Aziza El Harre Bey | Santander Securities BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2019 | Jun 24, 2019 |
| Edmund Douglas Robinson | Santander Securities BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 30, 2019 | Jun 3, 2019 |
| Adam West | Santander Securities BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | May 24, 2019 | Jun 13, 2019 |
| Jeffrey David Sickler | Santander Securities BD affiliated | Estate Planners Of New England, LLC other | Other | May 22, 2019 | Jun 27, 2019 (36 d) |
| Bryan Eric Abdelnoor | Santander Securities BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2019 | May 15, 2019 |
| Edward W Lapinski | Santander Securities BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 25, 2019 | Apr 18, 2019 |
| Matoumona Allen Kinzonzi | Santander Securities BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2019 | May 1, 2019 |
| Natalia Rodriguez | Santander Securities BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2019 | Apr 29, 2019 |
| Joseph Anthony Pietrykowski | Santander Securities BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2019 | May 29, 2019 (75 d) |
| Cory Rasmussen | Santander Securities BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2019 | Feb 25, 2019 |
| Joseph Michael Scutts | Santander Securities BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 21, 2019 | Apr 2, 2019 (40 d) |
| Meihua Tu | Santander Securities BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Feb 15, 2019 | Feb 25, 2019 |
| Phillip Allen O'Brien | Santander Securities BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2019 | Apr 25, 2019 (80 d) |
500 moves match.