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 |
|---|---|---|---|---|---|
| Geoffrey King Nance | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2023 | Feb 1, 2024 (101 d) |
| Wesley Miller | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 20, 2023 | Nov 14, 2023 |
| George Philip Budz | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 20, 2023 | Oct 18, 2023 |
| Christopher Michael Luciano | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2023 | Jan 12, 2024 (88 d) |
| Andy Garcia | Charles Schwab & Co., Inc. national BD | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2023 | Jan 12, 2024 (88 d) |
| Jacob Andrew Peroceschi | Charles Schwab & Co., Inc. national BD | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2023 | Nov 6, 2024 (398 d) |
| Renee Weston | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 5, 2023 | Jan 16, 2024 (103 d) |
| Harlan Jason Shulevitz | Charles Schwab & Co., Inc. national BD | Parcion Private Wealth LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2023 | Nov 20, 2023 (46 d) |
| Nardis Walker | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2023 | Oct 10, 2023 |
| Bennett Van Schouwen | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 5, 2023 | Oct 11, 2023 |
| Benjamin Thomas Palma | Charles Schwab & Co., Inc. national BD | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2023 | Apr 30, 2024 (209 d) |
| Cooper Bumgarner | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 27, 2023 | Sep 27, 2023 |
| William Steven Shack | Charles Schwab & Co., Inc. national BD | The Clarius Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 26, 2023 | Nov 30, 2023 (65 d) |
| Timothy Daniel Fahey | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 22, 2023 | Oct 13, 2023 |
| Franc Burzotta | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 22, 2023 | Oct 5, 2023 |
| Valerie Rachelle Coffey | Charles Schwab & Co., Inc. national BD | Desert Rose Capital Management, Inc. other | Other | Sep 22, 2023 | Jan 2, 2024 (102 d) |
| Jonathan David Cortes | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 22, 2023 | May 15, 2025 (601 d) |
| Art John Dougan | Charles Schwab & Co., Inc. national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 22, 2023 | Dec 4, 2024 (439 d) |
| Tyler Michels | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 21, 2023 | Apr 4, 2025 (561 d) |
| Deron Darryl Swaby | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 20, 2023 | Feb 9, 2024 (142 d) |
| Shannon Rae Gohr | Charles Schwab & Co., Inc. national BD | Lutz Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2023 | Jul 18, 2025 (667 d) |
| Michael John Jordan | Charles Schwab & Co., Inc. national BD | Traynor Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2023 | Feb 13, 2024 (148 d) |
| Patty Ann Miller | Charles Schwab & Co., Inc. national BD | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2023 | Oct 17, 2023 |
| Joshua Todd Hines | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2023 | May 21, 2024 (246 d) |
| William F Mccarty | Charles Schwab & Co., Inc. national BD | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2023 | Sep 21, 2023 |
| Elliott Riley Lockett | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2023 | Oct 24, 2023 (41 d) |
| Trevor A Pepper | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 11, 2023 | Sep 18, 2023 |
| Marc Charette | Charles Schwab & Co., Inc. national BD | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2023 | Aug 16, 2023 |
| Rashedul Hasan Khan | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 6, 2023 | Oct 16, 2023 (40 d) |
| William Casen Guge | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Sep 6, 2023 |
| Jared A Weber | Charles Schwab & Co., Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Sep 6, 2023 |
| Kayla Michelle Foster | Charles Schwab & Co., Inc. national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Dec 4, 2023 (90 d) |
| Michael Eugene Gladwin | Charles Schwab & Co., Inc. national BD | Guidestone Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2023 | Jan 30, 2024 (152 d) |
| Robert White | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2023 | Sep 28, 2023 |
| Ace Karsten Baker | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 31, 2023 | Sep 5, 2023 |
| Christian Del Toro | Charles Schwab & Co., Inc. national BD | Popular Securities, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2023 | Sep 20, 2023 |
| Carolina Mata | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 29, 2023 | Dec 13, 2023 (106 d) |
| Belle Harris | Charles Schwab & Co., Inc. national BD | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2023 | Sep 8, 2023 |
| Mark Tometich | Charles Schwab & Co., Inc. national BD | Pt Asset Management, LLC asset manager | Other | Aug 28, 2023 | Oct 18, 2023 (51 d) |
| Kortney Michele Bamrick | Charles Schwab & Co., Inc. national BD | Decisionpoint Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2023 | Nov 3, 2023 (67 d) |
| Austin Beal | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 28, 2023 | Oct 23, 2023 (56 d) |
| Connie J Corjay | Charles Schwab & Co., Inc. national BD | T. Rowe Price Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2023 | Oct 12, 2023 (49 d) |
| Mathew Lee Perez | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 24, 2023 | Sep 6, 2023 |
| Nathan Henry Brummel | Charles Schwab & Co., Inc. national BD | Sierra Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2023 | Oct 18, 2023 (55 d) |
| Sean William Hanley | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Oct 8, 2023 (48 d) |
| Frank J. Novelli | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Sep 15, 2023 |
| Cody Philip Deane | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Aug 17, 2023 |
| Ryan Steven Heine | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Oct 20, 2023 (60 d) |
| Mudith Nair | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2023 | Jul 6, 2026 (1050 d) |
| Corey Stephen Wertz | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2023 | Oct 11, 2023 (54 d) |
| Jason Minsky | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 16, 2023 | Sep 14, 2023 |
| John Robert Richter | Charles Schwab & Co., Inc. national BD | Your Retirement Coach independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 16, 2023 | Feb 2, 2024 (170 d) |
| Stuart Roger Sanders | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 14, 2023 | Sep 15, 2023 (32 d) |
| Donovan Joseph Malone | Charles Schwab & Co., Inc. national BD | Greenbook Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 14, 2023 | May 11, 2026 (1001 d) |
| Derek M Shaffer | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2023 | Aug 23, 2023 |
| Christopher Anthony Connelly | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2023 | Sep 1, 2023 |
| Janet Lynn Hawkins | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 8, 2023 | Aug 9, 2023 |
| Jose Valle | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2023 | Aug 30, 2023 |
| Tyler John Westphal | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2023 | Sep 1, 2023 |
| Timothy James Kirch | Charles Schwab & Co., Inc. national BD | Nashville Financial Planning state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 4, 2023 | Oct 10, 2023 (67 d) |
4,404 moves match.