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.
4,404 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Gilbert A Delgado | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 4, 2023 | Jan 21, 2026 (901 d) |
| Samuel P Gabrielson | Charles Schwab & Co., Inc. national BD | Trajan Wealth, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2023 | Sep 12, 2023 (39 d) |
| Brian Landry Thedford | Charles Schwab & Co., Inc. national BD | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2023 | Oct 4, 2023 (64 d) |
| Philip Christopher Lee | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2023 | Sep 13, 2023 (44 d) |
| Raquel Victoria Higgins | Charles Schwab & Co., Inc. national BD | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2023 | Aug 3, 2023 |
| Shaun Gabriel Samuels | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 31, 2023 | Aug 9, 2023 |
| Derek Justin Collins | Charles Schwab & Co., Inc. national BD | Cogent Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2023 | Mar 26, 2024 (239 d) |
| Gregory James King | Charles Schwab & Co., Inc. national BD | Johnson Wealth Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2023 | Aug 23, 2023 |
| Madison Elizabeth Woodham | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 27, 2023 | Aug 25, 2023 |
| Drew Michael Kubicki | Charles Schwab & Co., Inc. national BD | Seia BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2023 | Aug 29, 2023 (34 d) |
| Harrison Grant Everhart | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 26, 2023 | Jul 24, 2023 |
| Robert Andrew Torres | Charles Schwab & Co., Inc. national BD | Portside Wealth Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 25, 2023 | Aug 27, 2026 (1129 d) |
| Zachary John Perret | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2023 | Jul 28, 2023 |
| Nicholas Redhead | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2023 | Aug 18, 2023 |
| Emil Joaquin Pichardo | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 17, 2023 | Jul 14, 2023 |
| Andrew Perry Furste | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 12, 2023 | Jul 10, 2023 |
| Ataul Azad | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2023 | Jul 3, 2025 (722 d) |
| Joshua Libler | Charles Schwab & Co., Inc. national BD | Alliancebernstein L.P. asset manager | Other | Jul 12, 2023 | Sep 6, 2023 (56 d) |
| Logan M Valentine | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2023 | Aug 7, 2023 |
| Kenneth Charles Novak | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 10, 2023 | Jul 10, 2023 |
| Steven John Woodruff | Charles Schwab & Co., Inc. national BD | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2023 | Oct 7, 2024 (455 d) |
| David R Watercutter | Charles Schwab & Co., Inc. national BD | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2023 | Sep 28, 2023 (80 d) |
| Timothy Mahan | Charles Schwab & Co., Inc. national BD | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2023 | Jul 10, 2025 (733 d) |
| Adam Yoshito Naylor | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2023 | Aug 10, 2023 (33 d) |
| Nicholas Sorrillo | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 7, 2023 | Jul 18, 2023 |
| Adam Wade Weibel | Charles Schwab & Co., Inc. national BD | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2023 | Mar 28, 2025 (632 d) |
| James Charles Papas | Charles Schwab & Co., Inc. national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2023 | Oct 18, 2023 (107 d) |
| Sara Diaz | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 3, 2023 | Feb 6, 2024 (218 d) |
| Dennis Gunderson | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 3, 2023 | Jul 12, 2023 |
| Carl E Ekstrom | Charles Schwab & Co., Inc. national BD | Financial Planning And Information Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 3, 2023 | Jun 30, 2023 |
| Chloe Bierman | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 3, 2023 | Nov 5, 2024 (491 d) |
| Shuo Li | Charles Schwab & Co., Inc. national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2023 | Dec 6, 2023 (156 d) |
| Alexis Sabrina Garza | Charles Schwab & Co., Inc. national BD | Austin Asset independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 3, 2023 | Dec 8, 2023 (158 d) |
| Matthew Thomas Malafa | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2023 | Jan 30, 2025 (580 d) |
| John W. Davis | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2023 | Oct 4, 2023 (99 d) |
| Shannon Scott Gaskin | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 27, 2023 | Nov 28, 2023 (154 d) |
| Rodney James Willyerd | Charles Schwab & Co., Inc. national BD | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 27, 2023 | Jul 8, 2025 (742 d) |
| Kelly Marlene Willi | Charles Schwab & Co., Inc. national BD | Bcu Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 27, 2023 | Apr 15, 2024 (293 d) |
| Mark Skirbe | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 26, 2023 | Sep 15, 2023 (81 d) |
| Joseph M Mcgraw | Charles Schwab & Co., Inc. national BD | Sgl Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2023 | Oct 29, 2024 (491 d) |
| Amy Lynn Richardson | Charles Schwab & Co., Inc. national BD | Tci Wealth Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2023 | May 20, 2026 (1059 d) |
| Glyn Whyte | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 26, 2023 | Aug 7, 2023 (42 d) |
| Noah Solomon | Charles Schwab & Co., Inc. national BD | Matter Family Office independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2023 | Jul 25, 2023 |
| Richard Mcgaughey | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2023 | Aug 16, 2023 (51 d) |
| William Randolph Bower | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 20, 2023 | Aug 15, 2023 (56 d) |
| Patrick Anthony Terrell | Charles Schwab & Co., Inc. national BD | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 20, 2023 | Jun 21, 2023 |
| Jacob Wayne Dotson | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 20, 2023 | Sep 6, 2023 (78 d) |
| Marcus Alan Poteete | Charles Schwab & Co., Inc. national BD | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 20, 2023 | Jul 10, 2023 |
| Grant Holloschutz | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 15, 2023 | Jul 13, 2023 |
| Patrick John Hillman | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2023 | Sep 1, 2023 (80 d) |
| Kristian R. Carlson | Charles Schwab & Co., Inc. national BD | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2023 | Jun 12, 2023 |
| Michael J Kenyon | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 13, 2023 | Jul 7, 2023 |
| Brian Patrick Shea | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2023 | Aug 9, 2023 (58 d) |
| Ethan Bondurant | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2023 | Nov 7, 2023 (148 d) |
| Denice Benavidez | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2023 | Nov 2, 2023 (147 d) |
| Sean Thomas Johnson | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2023 | Jul 21, 2023 (43 d) |
| Sean Michael Obrien | Charles Schwab & Co., Inc. national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 8, 2023 | Jul 12, 2023 (34 d) |
| Jonathan R Carlysle | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 7, 2023 | Jan 18, 2024 (225 d) |
| Daniel Bruce Levin | Charles Schwab & Co., Inc. national BD | William Blair & Company L.L.C. BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2023 | Oct 16, 2024 (497 d) |
| Michael Thomas Zarlengo | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2023 | Aug 15, 2024 (437 d) |