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 Janney Montgomery Scott LLC
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 |
|---|---|---|---|---|---|
| Rachel Denise Sorrentino | Janney Montgomery Scott LLC BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jun 13, 2022 | Jun 8, 2022 |
| Ryan Michael Walker | Janney Montgomery Scott LLC BD affiliated | Morningstar Investment Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 13, 2022 | Aug 7, 2023 (420 d) |
| James Francis Signorile | Janney Montgomery Scott LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 9, 2022 | Jun 6, 2022 |
| Tristan Papouyan | Janney Montgomery Scott LLC BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2022 | Jun 19, 2024 (742 d) |
| Vincent Frank Signorile | Janney Montgomery Scott LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 23, 2022 | May 19, 2022 |
| Joan Mcgrath | Janney Montgomery Scott LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 23, 2022 | May 19, 2022 |
| Karen Cecilia Burkhart | Janney Montgomery Scott LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 18, 2022 | Sep 8, 2022 (113 d) |
| Robert Guido Battista | Janney Montgomery Scott LLC BD affiliated | Vestmark Advisory Solutions, Inc. asset manager | Other | May 3, 2022 | Jul 26, 2023 (449 d) |
| Julianne Marie Joly | Janney Montgomery Scott LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2022 | Jun 29, 2023 (422 d) |
| David Alan Sprenkle | Janney Montgomery Scott LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2022 | Mar 24, 2022 |
| Kevin William Kelly | Janney Montgomery Scott LLC BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Apr 4, 2022 | Mar 31, 2022 |
| David James Homa | Janney Montgomery Scott LLC BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2022 | Apr 4, 2022 |
| Christopher Adin Snowling | Janney Montgomery Scott LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 24, 2022 | May 11, 2022 (48 d) |
| Richard Joseph Bellew | Janney Montgomery Scott LLC BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Mar 24, 2022 | Mar 18, 2022 |
| Danielle Major | Janney Montgomery Scott LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2022 | Mar 17, 2023 (358 d) |
| Michael John Oresick | Janney Montgomery Scott LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 15, 2022 | Mar 15, 2022 |
| Gerald Zachary Brown | Janney Montgomery Scott LLC BD affiliated | Maltin Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2022 | May 24, 2022 (70 d) |
| Margarita Santiago | Janney Montgomery Scott LLC BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2022 | May 24, 2022 (74 d) |
| Alice Beth Leopold-Benintendi | Janney Montgomery Scott LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Mar 10, 2022 |
| Fitzgerald Miller | Janney Montgomery Scott LLC BD affiliated | Revere Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2022 | Apr 27, 2023 (423 d) |
| William Grove Stewart | Janney Montgomery Scott LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Feb 24, 2022 | Feb 10, 2022 |
| William Grove Stewart | Janney Montgomery Scott LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Feb 24, 2022 | Feb 9, 2022 |
| Alexander Dempsey | Janney Montgomery Scott LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 22, 2022 | Feb 22, 2022 |
| Nicholas Edward Shevland | Janney Montgomery Scott LLC BD affiliated | Dt Investment Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2022 | Feb 3, 2022 |
| Shannon Marie O'Neil | Janney Montgomery Scott LLC BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2022 | Feb 9, 2022 |
| Maria Luisa Abrams | Janney Montgomery Scott LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2022 | Mar 16, 2022 (65 d) |
| Joseph Paul Mcerlean | Janney Montgomery Scott LLC BD affiliated | 1914 Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 18, 2021 | Oct 25, 2021 |
| John Stephen Beloin | Janney Montgomery Scott LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2021 | Oct 4, 2021 |
| Henry Erle Batts | Janney Montgomery Scott LLC BD affiliated | Colonial Trust Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 18, 2021 | Oct 20, 2021 |
| Christina Anne Nagy | Janney Montgomery Scott LLC BD affiliated | Pnc Capital Advisors LLC other | Other | Oct 4, 2021 | Aug 3, 2023 (668 d) |
| Ming Cheung | Janney Montgomery Scott LLC BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Sep 3, 2021 | Sep 1, 2022 (363 d) |
| Nicole Wilson | Janney Montgomery Scott LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2021 | Oct 27, 2021 (54 d) |
| Charlotte Von Claparede-Crola | Janney Montgomery Scott LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 26, 2021 | Sep 2, 2021 |
| Patricia Strathearn | Janney Montgomery Scott LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 13, 2021 | Aug 11, 2021 |
| Jack Wendell Griffith | Janney Montgomery Scott LLC BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2021 | Jul 30, 2021 |
| William Thomas Manchester | Janney Montgomery Scott LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Aug 4, 2021 | Aug 2, 2021 |
| Richard Allan Baum | Janney Montgomery Scott LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 21, 2021 | Jul 2, 2021 |
| Dabney Baum | Janney Montgomery Scott LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 21, 2021 | Jul 2, 2021 |
| David Steven Koehler | Janney Montgomery Scott LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2021 | Jul 1, 2021 |
| Dana Lynn Green | Janney Montgomery Scott LLC BD affiliated | Herbert J. Sims Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2021 | Aug 20, 2021 (50 d) |
| Catherine M Andrade | Janney Montgomery Scott LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 30, 2021 | Jul 7, 2021 |
| Courtney Hughes Walsh | Janney Montgomery Scott LLC BD affiliated | Essex Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2021 | Jun 18, 2021 |
| Caroline L Wieand | Janney Montgomery Scott LLC BD affiliated | Cornerstone Advisors Asset Management, LLC other | Other | May 20, 2021 | Jul 7, 2021 (48 d) |
| Casey A Wren | Janney Montgomery Scott LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 20, 2021 | Jun 30, 2021 (41 d) |
| Martin William Genello | Janney Montgomery Scott LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | May 20, 2021 | May 26, 2021 |
| Sandra Lee Harper | Janney Montgomery Scott LLC BD affiliated | Chapin Davis Asset Management independent RIA | Affiliated broker-dealer or bank to independent RIA | May 5, 2021 | May 6, 2021 |
| Mark John Murphy | Janney Montgomery Scott LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 25, 2021 | Mar 23, 2021 |
| Lysandra Danielle Maxim | Janney Montgomery Scott LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2021 | Jun 29, 2023 (826 d) |
| Danielle Lynn Cefalu | Janney Montgomery Scott LLC BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Mar 22, 2021 | Nov 1, 2021 (224 d) |
| Mitchel Stuart Penn | Janney Montgomery Scott LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2021 | Mar 3, 2021 |
| Michael Joseph Cassidy | Janney Montgomery Scott LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 23, 2021 | Apr 7, 2021 (43 d) |
| Richard Michael Walsh | Janney Montgomery Scott LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 20, 2021 | Jan 19, 2021 |
| Tara G Shulman | Janney Montgomery Scott LLC BD affiliated | Compound Advisers, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 20, 2021 | Jan 29, 2021 |
| Andrew Fredrick Aubrey | Janney Montgomery Scott LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2021 | Jan 8, 2021 |
| Jessica Danielle Silver | Janney Montgomery Scott LLC BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 16, 2020 | Jan 5, 2021 |
| Daniel Mark Benster | Janney Montgomery Scott LLC BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2020 | Nov 13, 2020 |
| Allison Jane Slobodian | Janney Montgomery Scott LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2020 | Feb 1, 2021 (73 d) |
| Elizabeth D Peper | Janney Montgomery Scott LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 5, 2020 | Jan 5, 2021 (61 d) |
| Holly A Hedde | Janney Montgomery Scott LLC BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2020 | Sep 27, 2022 (691 d) |
| Suzanne Louisa Crociati | Janney Montgomery Scott LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 26, 2020 | Oct 14, 2020 |
686 moves match.