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 Fifth Third Securities, 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 |
|---|---|---|---|---|---|
| Laura Duncil | Fifth Third Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 3, 2022 | Aug 12, 2022 (162 d) |
| Gregory Gillis | Fifth Third Securities, Inc. BD affiliated | Alliancebernstein L.P. asset manager | Other | Mar 2, 2022 | Apr 4, 2022 (33 d) |
| James Walter Egan | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 28, 2022 | May 4, 2022 (65 d) |
| Adam Smotherman | Fifth Third Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2022 | Feb 8, 2022 |
| Benjamin Vaughn Workman | Fifth Third Securities, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jan 25, 2022 | Jan 24, 2022 |
| David Venegas | Fifth Third Securities, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2022 | Jan 14, 2022 |
| Carolyn Y Song-Pegg | Fifth Third Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 18, 2022 | Jan 18, 2022 |
| Susan A Gescheidle | Fifth Third Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 18, 2022 | Jan 14, 2022 |
| Mehmet Gulisik | Fifth Third Securities, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2022 | Dec 20, 2021 |
| Henry C Pfeifer | Fifth Third Securities, Inc. BD affiliated | Nicolet Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 10, 2021 | Jun 28, 2023 (565 d) |
| Meghan R Vanderlugt | Fifth Third Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 3, 2021 | May 16, 2022 (164 d) |
| Frederick Perry Turner | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2021 | Nov 17, 2023 (714 d) |
| Hope L Willen | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 3, 2021 | Sep 2, 2025 (1369 d) |
| Arian Leigh Nelson | Fifth Third Securities, Inc. BD affiliated | Hill Island Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2021 | Aug 29, 2022 (269 d) |
| Brian Lafave | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 3, 2021 | Nov 30, 2022 (362 d) |
| Randolph J. Chavez | Fifth Third Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 3, 2021 | Jan 28, 2022 (56 d) |
| Richard Allen Patrick | Fifth Third Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 3, 2021 | Jul 30, 2026 (1700 d) |
| Breanne Romeo Bovara | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2021 | Jan 12, 2026 (1501 d) |
| Christopher Burgdorf | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2021 | Dec 2, 2021 |
| Scott Charles Pospisil | Fifth Third Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Nov 18, 2021 |
| Jason Scott Moore | Fifth Third Securities, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Nov 30, 2021 |
| Troy Anthony Benoit | Fifth Third Securities, Inc. BD affiliated | Hancock Whitney Investment Services Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Nov 17, 2021 |
| Tawfiq Farraj | Fifth Third Securities, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2021 | Nov 5, 2021 |
| Brian Johnson | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2021 | Nov 8, 2021 |
| Amir Makarem | Fifth Third Securities, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2021 | Jan 4, 2022 (62 d) |
| Fredrick Spencer Brown | Fifth Third Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 2, 2021 | Oct 29, 2021 |
| Sharon Apol | Fifth Third Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 2, 2021 | Oct 29, 2021 |
| Brandon Wayne Gregg | Fifth Third Securities, Inc. BD affiliated | Bbk Wealth LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 2, 2021 | Nov 2, 2021 |
| Kristine Black | Fifth Third Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2021 | Dec 8, 2021 (41 d) |
| Patrick Kavanaugh | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 28, 2021 | Nov 17, 2021 |
| Travis D. Helmich | Fifth Third Securities, Inc. BD affiliated | Cbiz Investment Advisory Services, LLC institutional | Other | Oct 22, 2021 | Nov 12, 2021 |
| Adrian Phipps | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 19, 2021 | Oct 15, 2021 |
| Megan E Sloma | Fifth Third Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2021 | Sep 13, 2023 (694 d) |
| Eric Faulkenberry | Fifth Third Securities, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2021 | Nov 12, 2021 (31 d) |
| Robert Hubert Chess | Fifth Third Securities, Inc. BD affiliated | L.M. Kohn & Company independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 6, 2021 | Oct 4, 2021 |
| Brad B Mccollester | Fifth Third Securities, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 6, 2021 | Oct 18, 2021 |
| Thomas Rennegarbe | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2021 | Sep 17, 2021 |
| Ganna Wenzell | Fifth Third Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 16, 2021 | Nov 24, 2021 (69 d) |
| Melvin Lubelski | Fifth Third Securities, Inc. BD affiliated | Sgl Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2021 | Jun 13, 2022 (279 d) |
| Christopher Barnes | Fifth Third Securities, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2021 | Sep 24, 2021 |
| Nathaniel Keith Bowman | Fifth Third Securities, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2021 | Sep 16, 2021 |
| David Lee Janszen | Fifth Third Securities, Inc. BD affiliated | Bankers Life Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2021 | Oct 1, 2025 (1490 d) |
| Kevin S. Clark | Fifth Third Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 2, 2021 | Oct 4, 2021 (32 d) |
| Cory William Davidson | Fifth Third Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 30, 2021 | Aug 31, 2021 |
| Michael J Flynn | Fifth Third Securities, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2021 | Jan 24, 2022 (151 d) |
| Kaitlin Ochab | Fifth Third Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2021 | Feb 16, 2023 (539 d) |
| John Kevin Smyth | Fifth Third Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 20, 2021 | Sep 2, 2021 |
| Diego F Wanderley | Fifth Third Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 12, 2021 | Aug 9, 2021 |
| Sara Marie Jones | Fifth Third Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 9, 2021 | Aug 6, 2021 |
| Keith William Philippi | Fifth Third Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 9, 2021 | Aug 6, 2021 |
| Ana Tereza Munro | Fifth Third Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 9, 2021 | Aug 6, 2021 |
| Johanna Imhof | Fifth Third Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 2, 2021 | Sep 16, 2021 (45 d) |
| Arthur Deluca | Fifth Third Securities, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2021 | May 5, 2022 (279 d) |
| Ryan Von Borstel | Fifth Third Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 29, 2021 | Oct 1, 2021 (64 d) |
| Rachel M Seiler | Fifth Third Securities, Inc. BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2021 | Aug 2, 2021 |
| Cynthia Ann Lammert | Fifth Third Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 22, 2021 | Dec 13, 2022 (509 d) |
| Keith Gregary Watson | Fifth Third Securities, Inc. BD affiliated | Fifth Third Wealth Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 21, 2021 | Sep 24, 2021 (65 d) |
| Karen L Conrad | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2021 | Sep 12, 2022 (423 d) |
| Laura Beth Momber | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 13, 2021 | Nov 23, 2021 (133 d) |
| Mindy Carr | Fifth Third Securities, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2021 | Jul 14, 2021 |
1,258 moves match.