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 |
|---|---|---|---|---|---|
| Derrick Gallion Jr | Charles Schwab & Co., Inc. national BD | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 10, 2024 | Sep 19, 2024 (253 d) |
| Spencer Glen Gilland | Charles Schwab & Co., Inc. national BD | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 24, 2024 (105 d) |
| Jason A Lewis | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Mar 19, 2024 (69 d) |
| Jamey Lynn Keller | Charles Schwab & Co., Inc. national BD | Advisors Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jul 15, 2024 (187 d) |
| Christina Marie Hannah | Charles Schwab & Co., Inc. national BD | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jan 12, 2024 |
| Jeffery James Vandevoir | Charles Schwab & Co., Inc. national BD | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jul 4, 2024 (176 d) |
| Anthony Jules Theodore | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 23, 2024 (104 d) |
| Richard Cole | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Jul 16, 2024 (188 d) |
| Michael Sauve Koury | Charles Schwab & Co., Inc. national BD | Frost Investment Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 3, 2024 (84 d) |
| Johnnie William Driver | Charles Schwab & Co., Inc. national BD | Corda Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Apr 17, 2024 (98 d) |
| Gregory C Finke | Charles Schwab & Co., Inc. national BD | Buckingham Strategic Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Apr 26, 2024 (107 d) |
| Charles David Cowgill | Charles Schwab & Co., Inc. national BD | Richards Merrill Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Feb 1, 2024 |
| Nathan J. Gaherty | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jan 24, 2024 |
| David Clarke | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Feb 12, 2025 (399 d) |
| Bryan Scott Brooks | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Feb 21, 2024 (42 d) |
| James Paul Griffin | Charles Schwab & Co., Inc. national BD | Occidental Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jan 12, 2024 |
| Kyle J Kirkham | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Aug 28, 2024 (231 d) |
| Alan Bradley Faerber | Charles Schwab & Co., Inc. national BD | Bountiful Financial Planning LLC unclassified | Other | Jan 10, 2024 | Oct 3, 2024 (267 d) |
| Joseph A Cerreta | Charles Schwab & Co., Inc. national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 18, 2024 (99 d) |
| Adrian J Karas | Charles Schwab & Co., Inc. national BD | Corecap Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jan 18, 2024 |
| Michael Lamb | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Feb 7, 2025 (394 d) |
| Kirk Dietrick | Charles Schwab & Co., Inc. national BD | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 10, 2024 | Aug 28, 2024 (231 d) |
| Brian Stevens | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Feb 7, 2024 |
| Jared Anthony Troxel | Charles Schwab & Co., Inc. national BD | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Oct 16, 2024 (280 d) |
| Franklin Lewis Klein | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Jun 4, 2024 (146 d) |
| Eric Besaw | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Jun 20, 2024 (162 d) |
| Derren Burse | Charles Schwab & Co., Inc. national BD | Gladstone Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jun 17, 2025 (524 d) |
| Michael Alan Hay | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 30, 2024 (111 d) |
| Robert Hutchinson | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 23, 2024 (104 d) |
| Richard K Dyson | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | May 30, 2024 (141 d) |
| Kyle Jordan Ladd | Charles Schwab & Co., Inc. national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Mar 24, 2025 (439 d) |
| Michael Edward Beck | Charles Schwab & Co., Inc. national BD | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Feb 21, 2024 (42 d) |
| Jason Howard | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Oct 7, 2024 (271 d) |
| Jared B Desoto | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | May 29, 2024 (140 d) |
| Jason J. Fox | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | May 9, 2024 (120 d) |
| Jon Gabriel Lontai | Charles Schwab & Co., Inc. national BD | Arcus Capital Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Jan 7, 2026 (728 d) |
| John Bryan Banke | Charles Schwab & Co., Inc. national BD | Frost Investment Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Mar 27, 2024 (77 d) |
| Christina Rose Tumbleson | Charles Schwab & Co., Inc. national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Jul 9, 2024 (181 d) |
| Stephen Yuan-Liang Kuo | Charles Schwab & Co., Inc. national BD | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jan 7, 2025 (363 d) |
| Tiffany Lynn Kobs | Charles Schwab & Co., Inc. national BD | Steward Partners Investment Advisory, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Feb 20, 2024 (41 d) |
| Logan John Falk | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | May 13, 2024 (124 d) |
| Catherine Alexandra Vigen | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 26, 2024 (107 d) |
| Rebecca Dinneen | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Mar 21, 2024 (71 d) |
| Kathryn Lutz | Charles Schwab & Co., Inc. national BD | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Oct 2, 2024 (266 d) |
| Benjamin Douglas | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Nov 12, 2024 (307 d) |
| Fernando Camacho | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Feb 9, 2024 |
| Christopher Anthony Test | Charles Schwab & Co., Inc. national BD | Robinhood Asset Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 10, 2024 | Mar 17, 2025 (432 d) |
| Timothy Agne | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Mar 16, 2024 (66 d) |
| Ashli B Collins | Charles Schwab & Co., Inc. national BD | Aveo Capital Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 10, 2024 | Mar 22, 2024 (72 d) |
| Michael Patrick Dowd | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2024 | Mar 5, 2024 (55 d) |
| Michael D Lorentz | Charles Schwab & Co., Inc. national BD | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Mar 26, 2024 (76 d) |
| James Joseph Gorman | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Apr 4, 2024 (85 d) |
| Ryan Jellum | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Jun 25, 2024 (167 d) |
| Jacob M Askari | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Feb 2, 2024 |
| Jonathan Gregory Dahl | Charles Schwab & Co., Inc. national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Aug 20, 2024 (223 d) |
| Veronica Tereza Giess | Charles Schwab & Co., Inc. national BD | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Aug 9, 2024 (212 d) |
| Michael Paul Pickard | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Apr 23, 2024 (105 d) |
| Karen Schotter | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Mar 28, 2024 (79 d) |
| Paul Lamar Shirley | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jul 22, 2024 (195 d) |
| Andrew J Spahn | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jan 9, 2024 | Jul 15, 2025 (553 d) |
4,398 moves match.