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 |
|---|---|---|---|---|---|
| Julio V Driggs | Fifth Third Securities, Inc. BD affiliated | Cerity Partners Ocio LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2020 | Jan 8, 2021 (65 d) |
| Taylor Realino Mcbath | Fifth Third Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2020 | Apr 30, 2021 (177 d) |
| Lisandra Slavik | Fifth Third Securities, Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2020 | Jun 5, 2024 (1309 d) |
| Shahzad Shamsuddin | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2020 | Nov 10, 2020 |
| Warren G Rogers II | Fifth Third Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2020 | Nov 3, 2020 |
| Craig C Hutton | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2020 | Oct 9, 2020 |
| Joel Anton Van Belkom | Fifth Third Securities, Inc. BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2020 | Oct 30, 2020 |
| Travis J Harris | Fifth Third Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 2, 2020 | Sep 28, 2020 |
| Luis Chavez | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2020 | Sep 28, 2020 |
| Timothy Seward | Fifth Third Securities, Inc. BD affiliated | Pnc Managed Account Solutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2020 | Nov 18, 2020 (75 d) |
| Wendell Lee Bunch | Fifth Third Securities, Inc. BD affiliated | Cuna Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2020 | Feb 2, 2021 (158 d) |
| Neal R Goby | Fifth Third Securities, Inc. BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Aug 21, 2020 | Mar 4, 2022 (560 d) |
| Stephen P Gannon | Fifth Third Securities, Inc. BD affiliated | Personal Capital Advisors Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 21, 2020 | Mar 18, 2021 (209 d) |
| Joshua Wagner | Fifth Third Securities, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2020 | Jul 25, 2022 (703 d) |
| Michael Steven Ames | Fifth Third Securities, Inc. BD affiliated | Stonex Advisors Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2020 | Aug 3, 2020 |
| Joseph Robert Marshall | Fifth Third Securities, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2020 | Aug 31, 2020 |
| Kevin M Doyle | Fifth Third Securities, Inc. BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2020 | Aug 14, 2020 |
| Marion J. Tucker | Fifth Third Securities, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jul 9, 2020 | Aug 17, 2020 (39 d) |
| David L Bailey | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2020 | Jul 13, 2020 |
| Marcellus Joseph Hollendoner | Fifth Third Securities, Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2020 | Jul 2, 2020 |
| Kenneth Crawford | Fifth Third Securities, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2020 | Jul 15, 2020 |
| Nicholas Daniel Wheeler | Fifth Third Securities, Inc. BD affiliated | Octavia Wealth Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 25, 2020 | Jun 12, 2020 |
| Patricia Willis Imperial | Fifth Third Securities, Inc. BD affiliated | Cwa Asset Management Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 12, 2020 | Apr 6, 2022 (663 d) |
| Seth Allen Silcock | Fifth Third Securities, Inc. BD affiliated | Monon Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | May 29, 2020 | May 8, 2020 |
| Tyler Edward Smith | Fifth Third Securities, Inc. BD affiliated | Bbk Wealth LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 8, 2020 | Oct 20, 2020 (165 d) |
| Sarah Scheld | Fifth Third Securities, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2020 | Apr 30, 2020 |
| Christopher Herter Ekstrom | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 10, 2020 | May 11, 2020 (31 d) |
| Justin Nicholas Del Campo | Fifth Third Securities, Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2020 | Jun 22, 2020 (80 d) |
| Angelica Vukobratovich | Fifth Third Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2020 | Mar 24, 2020 |
| Joseph Anthony Randolph | Fifth Third Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 27, 2020 | Mar 25, 2020 |
| Aaron Glenn Ball | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 27, 2020 | Apr 28, 2020 (32 d) |
| Meghan Elizabeth Mullikin | Fifth Third Securities, Inc. BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Mar 13, 2020 | Jun 17, 2022 (826 d) |
| Gabriel Shimon Salimi | Fifth Third Securities, Inc. BD affiliated | Red Oak Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 6, 2020 | Mar 11, 2020 |
| Adam Kenneth Carter | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 6, 2020 | Jun 15, 2020 (101 d) |
| Paula L Sheffield | Fifth Third Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2020 | Mar 20, 2020 |
| Vito Peter Gioia | Fifth Third Securities, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2020 | Jan 19, 2022 (691 d) |
| John H Shank | Fifth Third Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2020 | Apr 20, 2020 (52 d) |
| Thomas Jaracz | Fifth Third Securities, Inc. BD affiliated | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 19, 2020 | Nov 1, 2021 (621 d) |
| Kathleen Marie Jones | Fifth Third Securities, Inc. BD affiliated | Comerica Securities bank affiliated | Other | Jan 24, 2020 | Feb 11, 2021 (384 d) |
| Calvin Daniel Wiersma | Fifth Third Securities, Inc. BD affiliated | Grand Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2020 | Jan 13, 2020 |
| Michael Awwad | Fifth Third Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2020 | Jan 10, 2020 |
| Danielle E Workman | Fifth Third Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2019 | Dec 20, 2019 |
| Keith Eugene Dershem | Fifth Third Securities, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2019 | Feb 21, 2020 (63 d) |
| Reuben Robert Rashty | Fifth Third Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 10, 2019 | Feb 5, 2020 (57 d) |
| Ashley Corbin Dent | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 10, 2019 | Dec 9, 2019 |
| Shannon J Bauer | Fifth Third Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 6, 2019 | Jan 28, 2020 (53 d) |
| Jay B Howard | Fifth Third Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 6, 2019 | Dec 2, 2019 |
| Sol H Chalhoub | Fifth Third Securities, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2019 | Nov 26, 2019 (32 d) |
| Stewart E Schrader | Fifth Third Securities, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2019 | Oct 24, 2019 |
| Allison Schuller | Fifth Third Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 18, 2019 | Oct 14, 2019 |
| Chester Waggoner | Fifth Third Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2019 | Oct 21, 2019 |
| Cheryl Gunar Thompson | Fifth Third Securities, Inc. BD affiliated | Ally Invest Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2019 | Jun 24, 2020 (261 d) |
| Gregory Scott Forsythe | Fifth Third Securities, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2019 | Jan 8, 2020 (103 d) |
| Joshua John Maly | Fifth Third Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2019 | Sep 20, 2019 |
| Blake Elliott Mccoy | Fifth Third Securities, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2019 | Oct 24, 2019 |
| Samuel Edward Powers | Fifth Third Securities, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 20, 2019 | Feb 20, 2020 (153 d) |
| Ann Davis | Fifth Third Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 13, 2019 | Dec 11, 2019 (89 d) |
| Christopher Albanese | Fifth Third Securities, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 13, 2019 | Sep 30, 2019 |
| Nathaniel Maldonado | Fifth Third Securities, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 13, 2019 | Sep 20, 2019 |
| Darren James | Fifth Third Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2019 | Oct 7, 2019 (31 d) |
1,258 moves match.