DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Departures from Pruco Securities, LLC
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 |
|---|---|---|---|---|---|
| Wade Marcy | Pruco Securities, LLC BD affiliated | Unity Financial Planning Group LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 9, 2024 | Jan 2, 2025 (115 d) |
| Satyajeet Gaekwad | Pruco Securities, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 9, 2024 | Sep 12, 2024 |
| Blake Alexander Schmitt | Pruco Securities, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 6, 2024 | Nov 1, 2024 (56 d) |
| Breanne Murphy Mcdonnell | Pruco Securities, LLC BD affiliated | Lazard Asset Management LLC other | Other | Sep 5, 2024 | Sep 9, 2024 |
| Daniel Edward Sigman | Pruco Securities, LLC BD affiliated | Sigman Wealth Planning unclassified | Other | Aug 30, 2024 | Nov 18, 2024 (80 d) |
| Kevin Hyland | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 30, 2024 | Sep 13, 2024 |
| Yi Hao | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 29, 2024 | Aug 19, 2024 |
| Michael Duane Hettinger | Pruco Securities, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 29, 2024 | Aug 21, 2024 |
| Keith P Schaber | Pruco Securities, LLC BD affiliated | Packerland Brokerage Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 22, 2024 | Aug 16, 2024 |
| Aaron Lucas Wirohusodo | Pruco Securities, LLC BD affiliated | Mosley Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 21, 2024 | Oct 16, 2024 (56 d) |
| Kenneth Neal Savoie | Pruco Securities, LLC BD affiliated | State Farm Investment Management Corp. asset manager | Other | Aug 19, 2024 | Nov 12, 2025 (450 d) |
| Patrick Lee Mccraw | Pruco Securities, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Oct 10, 2024 (52 d) |
| Cecil Mack Deas | Pruco Securities, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Jan 16, 2025 (150 d) |
| Theodore Jones | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 19, 2024 | Oct 25, 2024 (67 d) |
| Alexandria Lynn Maldonado | Pruco Securities, LLC BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Aug 21, 2024 |
| Parth Parikh | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 19, 2024 | Sep 4, 2024 |
| Kevin J Howard | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 16, 2024 | Sep 16, 2024 (31 d) |
| Zareh K Shahinian | Pruco Securities, LLC BD affiliated | Sovran Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2024 | Aug 13, 2024 |
| Fernando Martin Davila | Pruco Securities, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2024 | Sep 17, 2024 (34 d) |
| Andrew Thomas Sullivan | Pruco Securities, LLC BD affiliated | Stonefield Capital Ltd. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 14, 2024 | Mar 31, 2025 (229 d) |
| Daniel Fitzsimmons | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 13, 2024 | Sep 25, 2024 (43 d) |
| Maria De Los Angeles Azzolin | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 12, 2024 | Sep 13, 2024 (32 d) |
| Ian Thomas Bannon | Pruco Securities, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2024 | Sep 10, 2024 (32 d) |
| Louis P Gorini | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2024 | Sep 10, 2024 (34 d) |
| Shawn Dunn | Pruco Securities, LLC BD affiliated | Captrust institutional | Other | Aug 2, 2024 | Jun 5, 2025 (307 d) |
| Kevin W Finlon | Pruco Securities, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2024 | Jul 30, 2024 |
| Richard Dale Self | Pruco Securities, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 2, 2024 | Aug 2, 2024 |
| Austin Park | Pruco Securities, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 31, 2024 | Jul 19, 2024 |
| David L Rutan | Pruco Securities, LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2024 | Aug 2, 2024 |
| Jacob Paul Sapia | Pruco Securities, LLC BD affiliated | Wmgna independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2024 | Apr 6, 2026 (614 d) |
| Zachary James Brenner | Pruco Securities, LLC BD affiliated | Allworth Financial, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2024 | Aug 8, 2024 |
| Bruce V Horng | Pruco Securities, LLC BD affiliated | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2024 | Aug 2, 2024 |
| Collin Huun | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 30, 2024 | Aug 26, 2024 |
| Brian Charles Schaub | Pruco Securities, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 30, 2024 | Sep 17, 2024 (49 d) |
| Delanie Dee Vinzant | Pruco Securities, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2024 | Jan 13, 2025 (167 d) |
| Steele Stephen Arthur | Pruco Securities, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 29, 2024 | Sep 27, 2024 (60 d) |
| Andrew Scott Estreich | Pruco Securities, LLC BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2024 | Jan 17, 2025 (172 d) |
| Jesse Zaragoza | Pruco Securities, LLC BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2024 | Jun 18, 2025 (328 d) |
| Bruce Edward Davis | Pruco Securities, LLC BD affiliated | Buck Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 25, 2024 | Aug 26, 2024 (32 d) |
| Nathan Lee Verbeten | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 25, 2024 | Jul 3, 2024 |
| Nicolas Robert Miselem | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 25, 2024 | Jul 3, 2024 |
| Drew Christopher Schwartz | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 24, 2024 | Jul 3, 2024 |
| Aedres Nadjem | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 23, 2024 | Apr 1, 2025 (252 d) |
| Nicholas James Clemence | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 23, 2024 | Jul 3, 2024 |
| Cutter Brice Amos | Pruco Securities, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2024 | Jul 17, 2024 |
| Zachary M Goldman | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 19, 2024 | Aug 9, 2024 |
| Adam Gambino | Pruco Securities, LLC BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jul 18, 2024 | Jul 29, 2024 |
| Samantha Brandon Beverley | Pruco Securities, LLC BD affiliated | Lifemark Securities Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2024 | Jul 2, 2024 |
| Andrew Ruthenberg Lafontain | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 16, 2024 | Jul 3, 2024 |
| Sean Michael Delaney | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 16, 2024 | Jul 3, 2024 |
| Paul Albert Shockley | Pruco Securities, LLC BD affiliated | Horace Mann Investors, Inc. no RAUM | Other | Jul 16, 2024 | Apr 15, 2026 (638 d) |
| Asriel Shlomo Marizan | Pruco Securities, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2024 | Jul 1, 2024 |
| Douglas Gorecki | Pruco Securities, LLC BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2024 | Jul 3, 2024 |
| Joshua Lozano | Pruco Securities, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2024 | Aug 20, 2024 (40 d) |
| Michael Alfred Mcglinsky | Pruco Securities, LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2024 | Jul 5, 2024 |
| Ryan T Tran | Pruco Securities, LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2024 | Jul 29, 2024 |
| Michael Bryan Metcalf | Pruco Securities, LLC BD affiliated | Credit Union Investment Services state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 3, 2024 | Mar 13, 2025 (253 d) |
| Joon Choi | Pruco Securities, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 2, 2024 | Oct 1, 2024 (91 d) |
| Jaime Francisco Garza | Pruco Securities, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 1, 2024 | Jul 1, 2024 |
| Talon Mcadams | Pruco Securities, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 1, 2024 | Jul 12, 2024 |
2,236 moves match.