DFX Intelligence
Advisor moves
Departures from Charles Schwab & Co., 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 |
|---|---|---|---|---|---|
| Jason Wayne Dempsey | Charles Schwab & Co., Inc. national BD | Usaa Investment Services Company no RAUM | Other | May 25, 2024 | Oct 18, 2024 (146 d) |
| Mazeyar Wofford | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2024 | Jun 4, 2024 |
| Corbin Davis Bozosi | Charles Schwab & Co., Inc. national BD | Awm Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2024 | Apr 29, 2025 (340 d) |
| James Andrew Mitchell | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2024 | Feb 20, 2025 (273 d) |
| Jackson B. Hale | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2024 | Jun 5, 2024 |
| Michael Anthony Capozzi | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2024 | May 9, 2024 |
| Baron Schwaninger | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 20, 2024 | May 24, 2024 |
| Dean Everett Hickerson | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | May 17, 2024 | Nov 12, 2021 |
| Charles D Fuller | Charles Schwab & Co., Inc. national BD | T. Rowe Price Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2024 | May 21, 2024 |
| Eric Scott Horne | Charles Schwab & Co., Inc. national BD | Arc Element Wealth Design state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 15, 2024 | May 6, 2024 |
| John Marvin Harper | Charles Schwab & Co., Inc. national BD | Connectus Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2024 | May 7, 2024 |
| Gabriella Marie Trujillo | Charles Schwab & Co., Inc. national BD | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2024 | Apr 29, 2024 |
| Jacqueline Rivera | Charles Schwab & Co., Inc. national BD | RBC Rochdale, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2024 | May 20, 2024 |
| Joseph David Gard | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 10, 2024 | Jun 24, 2024 (45 d) |
| Robert B Gardner | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 9, 2024 | May 28, 2024 |
| Darryl Edward Walker | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2024 | Aug 14, 2024 (97 d) |
| Jonathan Michael Bernstein | Charles Schwab & Co., Inc. national BD | Bakeravenue independent RIA | Affiliated broker-dealer or bank to independent RIA | May 6, 2024 | Apr 23, 2024 |
| Agustin Arroyo | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 6, 2024 | Aug 21, 2024 (107 d) |
| Jacob G Reinhardt | Charles Schwab & Co., Inc. national BD | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2024 | Apr 22, 2024 |
| Daniel Alfonso Castro | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2024 | May 15, 2024 |
| Brady Jackson | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 1, 2024 | Nov 8, 2024 (191 d) |
| Kyle B Eager | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2024 | Oct 29, 2024 (181 d) |
| Robert Melle | Charles Schwab & Co., Inc. national BD | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 30, 2024 | Mar 11, 2025 (315 d) |
| Charles Marion Russell | Charles Schwab & Co., Inc. national BD | Alperin Financial Solutions, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 30, 2024 | Jul 16, 2024 (77 d) |
| Michaela Sarah Sullivan | Charles Schwab & Co., Inc. national BD | Savvy independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2024 | Jul 24, 2024 (85 d) |
| Cameron Gast | Charles Schwab & Co., Inc. national BD | Montis Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2024 | May 1, 2024 |
| Amorette Virginia Vierheller | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 29, 2024 | Jun 28, 2024 (60 d) |
| Megan Baron Mosholder | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 26, 2024 | Apr 3, 2024 |
| Nestor Nino | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 26, 2024 | Mar 26, 2026 (699 d) |
| Reagan T Macdonald | Charles Schwab & Co., Inc. national BD | Captrust institutional | Other | Apr 26, 2024 | Jul 30, 2024 (95 d) |
| Kristine Nicole Pecha | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 25, 2024 | May 10, 2024 |
| Richard Henry Heim | Charles Schwab & Co., Inc. national BD | Fenimore Asset Management, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 24, 2024 | May 9, 2024 |
| Christopher M Meers | Charles Schwab & Co., Inc. national BD | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2024 | May 13, 2025 (384 d) |
| Benjamin Roger Gilmore | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 24, 2024 | Apr 23, 2024 |
| Nicholas Foster Zinn | Charles Schwab & Co., Inc. national BD | Curi Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 24, 2024 | Aug 13, 2024 (111 d) |
| Taylor Shapiro | Charles Schwab & Co., Inc. national BD | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2024 | Apr 25, 2025 (368 d) |
| Brooke Hill Gaither | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2024 | Apr 9, 2024 |
| Edward Troy Rossman | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 19, 2024 | Apr 20, 2024 |
| Alexandra Quinn | Charles Schwab & Co., Inc. national BD | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 18, 2024 | Jun 9, 2025 (417 d) |
| Wade Allen Stafford | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 15, 2024 | Jul 31, 2024 (107 d) |
| Dmitriy Gusev | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2024 | Oct 20, 2025 (553 d) |
| Edwin Enrique Melo | Charles Schwab & Co., Inc. national BD | Merit Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2024 | May 6, 2024 |
| Glen Thomas Flanaghan | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2024 | Apr 12, 2024 |
| Mark Daniel Mentasti | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2024 | Apr 15, 2024 |
| Joseph Vincent Furey | Charles Schwab & Co., Inc. national BD | Bryn Mawr Trust Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2024 | Apr 5, 2024 |
| Mark Anthony Zywiol | Charles Schwab & Co., Inc. national BD | Stonebrook Private LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2024 | Apr 17, 2024 |
| Joshua Ison Stidham | Charles Schwab & Co., Inc. national BD | Tvamp, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2024 | Apr 10, 2024 |
| Bryan Baker | Charles Schwab & Co., Inc. national BD | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2024 | Apr 10, 2025 (363 d) |
| Zachary J Soper | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 12, 2024 | May 23, 2024 (41 d) |
| Michael Edwin Thames | Charles Schwab & Co., Inc. national BD | Lincoln Investment independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 11, 2024 | Apr 9, 2024 |
| Timothy Lee Blanchard | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2024 | Jun 14, 2024 (65 d) |
| Christopher V Mercer | Charles Schwab & Co., Inc. national BD | Lifeworks Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2024 | Apr 9, 2024 |
| Crystal Annette Locklear | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2024 | May 21, 2024 (42 d) |
| Geraldo Balderrama | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2024 | Apr 9, 2024 |
| Brian Joseph Buckley | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 5, 2024 | Feb 3, 2026 (669 d) |
| Keith Donald Delamarter | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Mar 19, 2024 |
| Sean Marrozos | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | May 8, 2024 (33 d) |
| Olivia Taylor Gliege | Charles Schwab & Co., Inc. national BD | Eiger Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2024 | May 31, 2024 (56 d) |
| Hunter Foubert | Charles Schwab & Co., Inc. national BD | Principal Asset Management other | Other | Apr 5, 2024 | Apr 1, 2024 |
| Valerie Sitarz | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | May 6, 2024 (31 d) |
4,398 moves match.