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 Sterne Agee Investment Advisor Services, 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
Steven Perry Schwefel	Sterne Agee Investment Advisor Services, Inc. other	Geneva Partners, LLC other	Other	Jan 30, 2015	Apr 8, 2010
John Joseph Mccauley	Sterne Agee Investment Advisor Services, Inc. other	Mccauley Investments Advisors LLC state registered	Other	Jan 30, 2015	Aug 27, 2014
Shawn Donavan Swanson	Sterne Agee Investment Advisor Services, Inc. other	Integrity Alliance, LLC other	Other	Dec 31, 2014	Jan 2, 2015
Shaun Michael Connolly	Sterne Agee Investment Advisor Services, Inc. other	Iron River Capital LLC state registered	Other	Dec 12, 2014	Dec 9, 2014
Marcello Salvatore Cutrupi	Sterne Agee Investment Advisor Services, Inc. other	Investacorp Advisory Services Inc other	Other	Dec 8, 2014	Nov 17, 2014
Michael Anthony Embrescia	Sterne Agee Investment Advisor Services, Inc. other	Stratos Wealth Partners, Ltd other	Other	Dec 8, 2014	Dec 8, 2014
Mark Eugene Abraham	Sterne Agee Investment Advisor Services, Inc. other	Arbor Point Advisors other	Other	Jul 28, 2014	Jul 1, 2014
Douglas E Connolly	Sterne Agee Investment Advisor Services, Inc. other	Connolly Asset Management, LLC unclassified	Other	Jul 9, 2014	Aug 14, 2014 (36 d)
Mickey Lee Henderson	Sterne Agee Investment Advisor Services, Inc. other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Jun 14, 2014	May 21, 2014
Thomas Randolph Hurt	Sterne Agee Investment Advisor Services, Inc. other	Ssn Advisory, Inc. other	Other	May 27, 2014	May 15, 2014
John Christopher Kraeutler	Sterne Agee Investment Advisor Services, Inc. other	Private Advisor Group, LLC other	Other	May 27, 2014	May 19, 2014
Steven Howe Smith	Sterne Agee Investment Advisor Services, Inc. other	Creative Financial Solutions, LLC state registered	Other	Mar 21, 2014	Feb 28, 2008
William Bret Hensley	Sterne Agee Investment Advisor Services, Inc. other	Creative Financial Solutions, LLC state registered	Other	Mar 21, 2014	Jul 2, 2002
Mark Richard Casto	Sterne Agee Investment Advisor Services, Inc. other	Creative Financial Solutions, LLC state registered	Other	Mar 21, 2014	Feb 23, 2007
Eugene Edward Welsh	Sterne Agee Investment Advisor Services, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Mar 13, 2014	Feb 14, 2014
Nicholas Samuel Perod	Sterne Agee Investment Advisor Services, Inc. other	Private Advisor Group, LLC other	Other	Mar 13, 2014	Feb 18, 2014
Shaena Leigh Yorke	Sterne Agee Investment Advisor Services, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Mar 13, 2014	Feb 14, 2014
Thomas Alan Masters	Sterne Agee Investment Advisor Services, Inc. other	Private Advisor Group, LLC other	Other	Mar 13, 2014	Mar 13, 2014
Anthony Christopher Kippins	Sterne Agee Investment Advisor Services, Inc. other	Retirement Plan Advisors Ltd state registered	Other	Dec 31, 2013	Sep 8, 2011
William Edward Walker	Sterne Agee Investment Advisor Services, Inc. other	Stonex Advisors Inc. BD affiliated	Other	Oct 30, 2013	Nov 10, 2020 (2568 d)
Ryan Thomas Wilson	Sterne Agee Investment Advisor Services, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Apr 22, 2013	Apr 19, 2013
Matthew Martin Jehn	Sterne Agee Investment Advisor Services, Inc. other	Royal Oak Financial Group independent RIA	Other	Mar 8, 2013	Feb 26, 2013
Chris Andrew Gnandt	Sterne Agee Investment Advisor Services, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Jan 29, 2013	Jan 18, 2013
Philip Puetz	Sterne Agee Investment Advisor Services, Inc. other	Lifelong Investsments state registered	Other	Dec 31, 2012	Mar 9, 2004
Michael Aubrey Raitt	Sterne Agee Investment Advisor Services, Inc. other	Gradient Advisors, LLC other	Other	Dec 31, 2012	Aug 19, 2013 (231 d)
Christopher Scott Moore	Sterne Agee Investment Advisor Services, Inc. other	Invest Financial Corporation other	Other	Dec 17, 2012	Dec 18, 2012
Annette Marie Wright	Sterne Agee Investment Advisor Services, Inc. other	Spc other	Other	Nov 5, 2012	Nov 1, 2012
Thomas George Bongiorno	Sterne Agee Investment Advisor Services, Inc. other	United Planners' Financial Services Of America A Limited Partner other	Other	Nov 2, 2012	Oct 18, 2012
Timothy N Troutman	Sterne Agee Investment Advisor Services, Inc. other	United Planners' Financial Services Of America A Limited Partner other	Other	Nov 2, 2012	Oct 16, 2012
Darrin Michael Sharp	Sterne Agee Investment Advisor Services, Inc. other	Northwestern Mutual Investment Services,LLC other	Other	Aug 31, 2012	Oct 3, 2012 (33 d)
Kay Marie Auwerter	Sterne Agee Investment Advisor Services, Inc. other	Stratos Wealth Partners, Ltd other	Other	Aug 6, 2012	Aug 7, 2012
Bethany Paige Telander	Sterne Agee Investment Advisor Services, Inc. other	Morgan Stanley wirehouse	Other	Jul 6, 2012	Aug 1, 2012
Deborah Lynn Bishopp	Sterne Agee Investment Advisor Services, Inc. other	First Allied Advisory Services, Inc. other	Other	May 25, 2012	May 25, 2012
Mitchell Nelson	Sterne Agee Investment Advisor Services, Inc. other	Cetera Advisors LLC other	Other	Mar 21, 2012	Mar 15, 2012
Robert William Raimondo	Sterne Agee Investment Advisor Services, Inc. other	Belpointe Asset Management LLC other	Other	Dec 31, 2011	Jan 3, 2012
Martin Joseph Cunningham	Sterne Agee Investment Advisor Services, Inc. other	Osaic Fs, Inc. other	Other	Oct 26, 2011	Oct 24, 2011
Raymond Steven Gettins	Sterne Agee Investment Advisor Services, Inc. other	Oneamerica Securities, Inc. other	Other	Sep 9, 2011	Sep 26, 2011
Janice Marie Johnson	Sterne Agee Investment Advisor Services, Inc. other	Coordinated Capital Securities, Inc. other	Other	Sep 9, 2011	Aug 30, 2011
Randy Russell	Sterne Agee Investment Advisor Services, Inc. other	Chase Investment Services Corp. other	Other	Aug 24, 2011	Aug 23, 2011
Joseph Adam Marstellar	Sterne Agee Investment Advisor Services, Inc. other	Allegheny Investments other	Other	May 2, 2011	May 13, 2011
Patrick James Clark	Sterne Agee Investment Advisor Services, Inc. other	Commonwealth Financial Network national BD	Other	Dec 31, 2010	Jan 3, 2011
Anthony James Constantine	Sterne Agee Investment Advisor Services, Inc. other	Foresters Equity Services, Inc. other	Other	Dec 31, 2010	Jan 4, 2011
John Lee Heinze	Sterne Agee Investment Advisor Services, Inc. other	Sicor Securities Inc unclassified	Other	Dec 31, 2010	Jan 6, 2011
Nicholas Joiseph Destefano	Sterne Agee Investment Advisor Services, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 31, 2010	Sep 9, 2011 (252 d)
Clarence Joseph Anderson	Sterne Agee Investment Advisor Services, Inc. other	Girard Securities, Inc. other	Other	Dec 31, 2010	Dec 21, 2010
Matthew Alan Nigg	Sterne Agee Investment Advisor Services, Inc. other	Etico Wealth Management LLC other	Other	Dec 13, 2010	Jan 18, 2011 (36 d)
Bradley Stephen Senita	Sterne Agee Investment Advisor Services, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 10, 2010	Feb 1, 2011 (53 d)
Anthony Stanius	Sterne Agee Investment Advisor Services, Inc. other	Wells Fargo Investments, LLC unclassified	Other	Nov 17, 2010	Nov 24, 2010
Francis Joseph Hebert	Sterne Agee Investment Advisor Services, Inc. other	River Source Wealth Management, LLC other	Other	Nov 2, 2010	Nov 16, 2010
Palmerino Pasquale Santaniello	Sterne Agee Investment Advisor Services, Inc. other	USA Financial Securities LLC other	Other	Oct 2, 2009	Oct 2, 2009
Laura Helen Stover	Sterne Agee Investment Advisor Services, Inc. other	Brookstone Capital Management LLC other	Other	Sep 28, 2009	Oct 7, 2009
Casey S Croysdale	Sterne Agee Investment Advisor Services, Inc. other	Natcity Investments, Inc. unclassified	Other	Dec 31, 2008	Feb 11, 2009 (42 d)
Noor Siraj Amirali	Sterne Agee Investment Advisor Services, Inc. other	D.H. Hill Advisors, Inc. independent RIA	Other	Dec 5, 2008	Sep 29, 2009 (298 d)
Milton Kent Blersch	Sterne Agee Investment Advisor Services, Inc. other	Blue Bison Investments state registered	Other	Jul 25, 2008	May 23, 2008
Scott Jeffrey Wiesner	Sterne Agee Investment Advisor Services, Inc. other	Blue Bison Investments state registered	Other	Jul 25, 2008	May 23, 2008
Timothy Joseph Klauke	Sterne Agee Investment Advisor Services, Inc. other	Blue Bison Investments state registered	Other	Jul 16, 2008	May 23, 2008
Clifford Otto Straub	Sterne Agee Investment Advisor Services, Inc. other	Lifestyle Financial Strategies, LLC state registered	Other	Jul 7, 2008	Apr 30, 2008
Darlene Jean Bonson	Sterne Agee Investment Advisor Services, Inc. other	Investment Professionals, Inc. other	Other	May 8, 2008	May 28, 2008
Jason Patrick Soloman	Sterne Agee Investment Advisor Services, Inc. other	Tactical Wealth Ria unclassified	Other	Apr 25, 2008	Nov 6, 2008 (195 d)
Louis Kin Shing Lo	Sterne Agee Investment Advisor Services, Inc. other	Xtent Financial Group, Inc. unclassified	Other	Dec 31, 2007	Jan 11, 2008

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75 moves match.