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 Citizens Investor Services, 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 |
|---|---|---|---|---|---|
| Richard D Dove | First Citizens Investor Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 4, 2024 | Jan 19, 2024 |
| Winfield Keys Mayne | First Citizens Investor Services, Inc. BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2023 | Dec 4, 2023 |
| John Thomas Quiggle | First Citizens Investor Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Nov 21, 2023 |
| Jeffrey Charles Brown | First Citizens Investor Services, Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2023 | Nov 29, 2023 |
| Edward J Turrisi | First Citizens Investor Services, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2023 | Nov 9, 2023 |
| Jeffrey Neil Chapman | First Citizens Investor Services, Inc. BD affiliated | First Citizens Asset Management, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2023 | Oct 25, 2022 |
| Cheryl Garcia Salerno | First Citizens Investor Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 16, 2023 | Oct 12, 2023 |
| Joseph Matthew Michalski | First Citizens Investor Services, Inc. BD affiliated | First Citizens Asset Management, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 13, 2023 | May 18, 2021 |
| Matthew J. Golden | First Citizens Investor Services, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 10, 2023 | Oct 17, 2023 |
| Robin Leigh Slater | First Citizens Investor Services, Inc. BD affiliated | Mma Securities LLC no RAUM | Other | Sep 11, 2023 | Oct 24, 2023 (43 d) |
| Kimberly Hinton Loftin | First Citizens Investor Services, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Sep 15, 2023 |
| William Michael Brinkley | First Citizens Investor Services, Inc. BD affiliated | Wealth Enhancement Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 12, 2023 | Jul 24, 2023 |
| Chance Jeremy Williams | First Citizens Investor Services, Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2023 | Sep 22, 2023 (72 d) |
| Brett T Mcdonough | First Citizens Investor Services, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jun 16, 2023 | Sep 18, 2023 (94 d) |
| Channing Hamby Smith | First Citizens Investor Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 6, 2023 | Aug 7, 2023 (62 d) |
| Ralph Sadler Powell | First Citizens Investor Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2023 | Jun 26, 2023 |
| John Gary Bennett | First Citizens Investor Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2023 | Jun 5, 2023 |
| David Rougeau | First Citizens Investor Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2023 | Jun 5, 2023 |
| Amanda Lyvette Robinson | First Citizens Investor Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 15, 2023 | May 22, 2023 |
| Orville John Igharas | First Citizens Investor Services, Inc. BD affiliated | Piedmont Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 23, 2023 | Oct 28, 2024 (644 d) |
| Meralyn Patricia Ratnasekera | First Citizens Investor Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 6, 2023 | Feb 1, 2023 |
| John William Swindell | First Citizens Investor Services, Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2022 | Nov 18, 2022 |
| Zachary Harrison Morgan | First Citizens Investor Services, Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2022 | Oct 4, 2022 |
| Douglas Braxton House | First Citizens Investor Services, Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2022 | Sep 15, 2022 |
| Quinn Gruber | First Citizens Investor Services, Inc. BD affiliated | First Citizens Asset Management, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2022 | Mar 23, 2022 |
| Michael Steven Kelly | First Citizens Investor Services, Inc. BD affiliated | First Citizens Asset Management, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 6, 2022 | Mar 23, 2022 |
| Ryan James Fryar Hedlund | First Citizens Investor Services, Inc. BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2022 | Aug 30, 2022 |
| Nathaniel Sturgill | First Citizens Investor Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 5, 2022 | Aug 16, 2022 |
| Juanita D Vitali-Cox | First Citizens Investor Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 14, 2022 | Jan 3, 2023 (173 d) |
| Joseph Matthew Fortino | First Citizens Investor Services, Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2022 | Jun 7, 2023 (341 d) |
| Mary Catherine Reynolds Strassner | First Citizens Investor Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2022 | Aug 16, 2022 (133 d) |
| Brian William Karg | First Citizens Investor Services, Inc. BD affiliated | United Brokerage Services Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2022 | Apr 12, 2022 |
| Briana Grace Smith | First Citizens Investor Services, Inc. BD affiliated | Captrust institutional | Other | Mar 16, 2022 | Jun 3, 2022 (79 d) |
| Charice Estelle Biggins | First Citizens Investor Services, Inc. BD affiliated | Empower Advisory Group, LLC other | Other | Feb 28, 2022 | Mar 3, 2022 |
| Dennis Francis Fingers | First Citizens Investor Services, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2022 | Feb 3, 2022 |
| Rosalind Moulas Taylor | First Citizens Investor Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 3, 2022 | Feb 3, 2022 (31 d) |
| James Eugene Lewis | First Citizens Investor Services, Inc. BD affiliated | First Citizens Asset Management, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2021 | Jul 3, 2018 |
| Prescott Lewis Padgett | First Citizens Investor Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 17, 2021 | Sep 14, 2021 |
| Dane Andrew Curtner | First Citizens Investor Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 29, 2021 | Sep 8, 2026 (1867 d) |
| David Edward Heffelfinger | First Citizens Investor Services, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2021 | Jul 30, 2021 |
| Hayden G Leonard | First Citizens Investor Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 15, 2021 | Sep 28, 2021 (75 d) |
| Andrew Paul White | First Citizens Investor Services, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2021 | Dec 16, 2021 (210 d) |
| Erin Hester | First Citizens Investor Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2021 | Jun 17, 2021 (65 d) |
| Joshua Clinton Spencer | First Citizens Investor Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2021 | Apr 5, 2021 |
| Aaron Benjamin Justice | First Citizens Investor Services, Inc. BD affiliated | Synovus Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 3, 2021 | Feb 17, 2022 (379 d) |
| Matthew Scott Nadeau | First Citizens Investor Services, Inc. BD affiliated | Bb&T Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2021 | Jan 28, 2021 |
| Sarah Scheld | First Citizens Investor Services, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2021 | Jan 20, 2021 |
| Martin Kent Walker | First Citizens Investor Services, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2021 | Feb 18, 2021 (43 d) |
| Michelle W Seamon | First Citizens Investor Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 15, 2020 | Nov 26, 2025 (1807 d) |
| Lance W Adicks | First Citizens Investor Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 6, 2020 | Feb 10, 2021 (96 d) |
| Justin F Farnsworth | First Citizens Investor Services, Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Dec 9, 2020 (51 d) |
| Jeffrey Scott Hughes | First Citizens Investor Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2020 | Nov 20, 2020 (38 d) |
| Shawn K. Gaffin | First Citizens Investor Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 15, 2020 | Dec 22, 2020 (98 d) |
| Veronica Marie Lommel | First Citizens Investor Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2020 | Oct 21, 2020 (42 d) |
| Timothy D Hinton | First Citizens Investor Services, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2020 | Sep 30, 2020 (33 d) |
| Heath Elliott Pierce | First Citizens Investor Services, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 28, 2020 | Aug 12, 2020 |
| Breanna May Stott | First Citizens Investor Services, Inc. BD affiliated | Finwell, Inc. unclassified | Other | Jul 7, 2020 | Sep 16, 2020 (71 d) |
| Mitchell W Gatewood | First Citizens Investor Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 6, 2020 | Jul 6, 2020 |
| Ross Jon Whiteley | First Citizens Investor Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 4, 2020 | Nov 25, 2020 (205 d) |
| Michael S Gross | First Citizens Investor Services, Inc. BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 4, 2020 | May 22, 2020 |
238 moves match.