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 |
|---|---|---|---|---|---|
| Tess Buenaventura | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Feb 5, 2024 | Mar 8, 2022 |
| Joshua John Cantrell | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 2, 2024 | Feb 2, 2024 |
| Michael Andrew Smith | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 2, 2024 | Feb 12, 2024 |
| Carlos Mauricio Alas | Charles Schwab & Co., Inc. national BD | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Feb 1, 2024 | Feb 6, 2024 |
| Zachary Evan Halvonik | Charles Schwab & Co., Inc. national BD | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2024 | Jan 18, 2024 |
| Douglas Shirley | Charles Schwab & Co., Inc. national BD | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2024 | Feb 7, 2024 |
| Alejandro Hirsch Marin | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2024 | Jul 17, 2024 (169 d) |
| Charles Xavier Morlock | Charles Schwab & Co., Inc. national BD | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2024 | Feb 5, 2024 |
| David E Epps | Charles Schwab & Co., Inc. national BD | Integral Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 26, 2024 | Jan 17, 2024 |
| David Anthony Troy | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2024 | Jan 17, 2024 |
| Brad James Bryan | Charles Schwab & Co., Inc. national BD | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2024 | Jan 31, 2024 |
| River Li | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 25, 2024 | Apr 19, 2024 (85 d) |
| Henry Clifton | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 25, 2024 | Jan 12, 2024 |
| Sangmin Kim | Charles Schwab & Co., Inc. national BD | Integrity Advisory Solutions independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 19, 2024 | Feb 20, 2024 (32 d) |
| Dora L Valles | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 18, 2024 | Jan 10, 2024 |
| Matthew Scott Trink | Charles Schwab & Co., Inc. national BD | Form Prosperity Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 18, 2024 | Mar 6, 2024 (48 d) |
| Evan C Bell | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jan 18, 2024 | Mar 11, 2024 (53 d) |
| Madeline Mccarthy | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 18, 2024 | Jan 25, 2024 |
| Catherine Emily Wanjiru Muturi | Charles Schwab & Co., Inc. national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2024 | Aug 14, 2024 (209 d) |
| Gregg G. Panski | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 17, 2024 | Jan 18, 2024 |
| Brian Rogers-Botellio | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2024 | Feb 22, 2024 (36 d) |
| Janis Valens | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 16, 2024 | Sep 30, 2024 (258 d) |
| Conner Burt | Charles Schwab & Co., Inc. national BD | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2024 | Feb 18, 2025 (399 d) |
| Jayshree Mistry | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 12, 2024 | Feb 13, 2024 (32 d) |
| Hector Miron | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 12, 2024 | Jan 16, 2024 |
| Jared Lang | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 12, 2024 | Jan 22, 2025 (376 d) |
| Michael R Wilcox | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 11, 2024 | Apr 1, 2024 (81 d) |
| Willie Wheat | Charles Schwab & Co., Inc. national BD | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2024 | Jun 3, 2024 (144 d) |
| Christian Joseph West | Charles Schwab & Co., Inc. national BD | Risemint independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2024 | Jan 31, 2024 |
| Carl Wong | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2024 | Apr 1, 2024 (81 d) |
| Michael Shane Wooten | Charles Schwab & Co., Inc. national BD | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2024 | May 2, 2024 (112 d) |
| Nicholas Ryan Anderson | Charles Schwab & Co., Inc. national BD | Valeo Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2024 | Jan 24, 2024 |
| Anthony Wentzell | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 11, 2024 | Jul 8, 2024 (179 d) |
| Samuel I Winter | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Jan 11, 2024 | Jul 14, 2022 |
| Christine Julia Kock | Charles Schwab & Co., Inc. national BD | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Mar 14, 2024 (64 d) |
| Keith Leong | Charles Schwab & Co., Inc. national BD | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jul 11, 2025 (548 d) |
| Robert Gary Jesch | Charles Schwab & Co., Inc. national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jul 16, 2025 (553 d) |
| Tracey Lynne Knos | Charles Schwab & Co., Inc. national BD | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | May 15, 2024 (126 d) |
| Susan Rene Buford | Charles Schwab & Co., Inc. national BD | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jul 24, 2024 (196 d) |
| Patrick Scott Freeland | Charles Schwab & Co., Inc. national BD | Hilltop Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | May 6, 2024 (117 d) |
| Benjamin S Fife | Charles Schwab & Co., Inc. national BD | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jul 10, 2024 (182 d) |
| Michael Joseph Caulfield | Charles Schwab & Co., Inc. national BD | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 19, 2024 (100 d) |
| Yon Hung Kim | Charles Schwab & Co., Inc. national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 10, 2024 | May 28, 2024 (139 d) |
| Fabiola M Hooker | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Jun 3, 2024 (145 d) |
| Marc X Connolly | Charles Schwab & Co., Inc. national BD | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jan 10, 2024 | May 6, 2024 (117 d) |
| John F Green | Charles Schwab & Co., Inc. national BD | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jul 29, 2024 (201 d) |
| Stefan Tobin Borso | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 30, 2024 (111 d) |
| Michelle Renae Varner | Charles Schwab & Co., Inc. national BD | Hub Investment Partners, LLC other | Other | Jan 10, 2024 | Jan 19, 2024 |
| Erin M. Cottom | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jul 2, 2025 (539 d) |
| Travis Robert Hensley | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Sep 10, 2024 (244 d) |
| Brian C Bowen | Charles Schwab & Co., Inc. national BD | Dynamic independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jul 16, 2025 (553 d) |
| Jeffrey Dale Honaker | Charles Schwab & Co., Inc. national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Feb 8, 2024 |
| Daniel J Lauraine | Charles Schwab & Co., Inc. national BD | Drake & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Apr 30, 2024 (111 d) |
| Alan Thomas Bunce | Charles Schwab & Co., Inc. national BD | Copley Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Aug 1, 2024 (204 d) |
| Neil James Connolly | Charles Schwab & Co., Inc. national BD | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jan 23, 2024 |
| Corine Hatch | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Apr 16, 2024 (97 d) |
| Melanie K Cravens | Charles Schwab & Co., Inc. national BD | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jun 24, 2024 (166 d) |
| Kenneth Duhadway | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Jul 26, 2024 (198 d) |
| Angelique M Grimball | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Jul 22, 2025 (559 d) |
| Bertrand Brisbane | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | May 21, 2024 (132 d) |
4,398 moves match.