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 W&S Brokerage 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 |
|---|---|---|---|---|---|
| Abrahim Mutee Kassim | W&S Brokerage Services, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 24, 2026 | Aug 21, 2026 |
| Sydney Katrina Hyatt | W&S Brokerage Services, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2026 | Sep 9, 2026 |
| Jared H Bovinet | W&S Brokerage Services, Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2026 | Jul 23, 2026 |
| Patrick George Tang | W&S Brokerage Services, Inc. BD affiliated | Apollon Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 6, 2026 | Jul 20, 2026 |
| Larry Claxton | W&S Brokerage Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2026 | Aug 10, 2026 (35 d) |
| Jeffrey Page | W&S Brokerage Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 15, 2026 | Jul 8, 2026 |
| Ian Thomas Thanasiu | W&S Brokerage Services, Inc. BD affiliated | Advisory Alpha, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 26, 2026 | Jun 8, 2026 |
| Tylan Shelby | W&S Brokerage Services, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 26, 2026 | Jun 12, 2026 |
| Cameron Alan Githens | W&S Brokerage Services, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | May 18, 2026 | Jun 15, 2026 |
| Blake Smith | W&S Brokerage Services, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | May 4, 2026 | May 22, 2026 |
| Daniel C Cubbison | W&S Brokerage Services, Inc. BD affiliated | W&S Advisory Services, LLC no RAUM | Other | Apr 27, 2026 | Jan 13, 2026 |
| Matthew Cole Plymale | W&S Brokerage Services, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 27, 2026 | Apr 28, 2026 |
| Michael Thomas Bugg | W&S Brokerage Services, Inc. BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2026 | Apr 2, 2026 |
| Henry Eilefson | W&S Brokerage Services, Inc. BD affiliated | Secured Retirement Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2026 | Mar 5, 2026 |
| Vivienne Ather | W&S Brokerage Services, Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2026 | Mar 18, 2026 (49 d) |
| Salvatore Lauri | W&S Brokerage Services, Inc. BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2026 | Jun 12, 2026 (135 d) |
| Brayden Horn | W&S Brokerage Services, Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2026 | Apr 7, 2026 (69 d) |
| Allen Daniel Kilburn | W&S Brokerage Services, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 20, 2026 | Jan 27, 2026 |
| Eric Todd Runyon | W&S Brokerage Services, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 12, 2026 | Jan 20, 2026 |
| Linda Nana Mmera | W&S Brokerage Services, Inc. BD affiliated | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 12, 2026 | Jan 15, 2026 |
| Joshua Benjamin Feld | W&S Brokerage Services, Inc. BD affiliated | Cx Institutional, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 17, 2025 | Nov 20, 2025 |
| Eric Stephen Speer | W&S Brokerage Services, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 10, 2025 | Nov 12, 2025 |
| Ethan Sherman | W&S Brokerage Services, Inc. BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Nov 10, 2025 | Dec 17, 2025 (37 d) |
| Ryan Kohout | W&S Brokerage Services, Inc. BD affiliated | Touchstone Advisors Inc asset manager | Other | Nov 3, 2025 | Nov 7, 2025 |
| Mark Christopher Zonno | W&S Brokerage Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2025 | Sep 12, 2025 |
| Shauvi Rogers | W&S Brokerage Services, Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2025 | Sep 30, 2025 |
| Joel A Wozny | W&S Brokerage Services, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2025 | Sep 11, 2025 |
| Dominic Capannari | W&S Brokerage Services, Inc. BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Aug 18, 2025 | Oct 7, 2025 (50 d) |
| Michael Lee Malott | W&S Brokerage Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Oct 3, 2025 (53 d) |
| James Phoenix Matthews | W&S Brokerage Services, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2025 | Aug 4, 2025 |
| Christopher Dwayne Wooldridge | W&S Brokerage Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 9, 2025 | Jun 17, 2025 |
| James R Jackson | W&S Brokerage Services, Inc. BD affiliated | Navy Federal Investment Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2025 | Jun 9, 2025 |
| Anna Magann | W&S Brokerage Services, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 12, 2025 | May 22, 2025 |
| Stefan M Biddinger | W&S Brokerage Services, Inc. BD affiliated | Lincoln Investment independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2025 | Apr 29, 2025 |
| Nicholas Stephen Cosgrove | W&S Brokerage Services, Inc. BD affiliated | Legacy Financial Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 7, 2025 | Jun 17, 2025 (71 d) |
| Zachary Rick Martin | W&S Brokerage Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 31, 2025 | Mar 28, 2025 |
| Tyler John Koebbe | W&S Brokerage Services, Inc. BD affiliated | Horter Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 24, 2025 | Feb 16, 2025 |
| Bonnie Marie Celia | W&S Brokerage Services, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2025 | Apr 8, 2025 (49 d) |
| Keith A Lewis | W&S Brokerage Services, Inc. BD affiliated | Omega Wealth Private Capital LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 18, 2025 | Mar 3, 2025 |
| Patrick J Dean | W&S Brokerage Services, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2025 | May 16, 2025 (87 d) |
| Joshua Kennedy | W&S Brokerage Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2025 | Feb 18, 2025 |
| Christian Adrian Urroz | W&S Brokerage Services, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 3, 2025 | Feb 13, 2025 |
| Tyler Steven Pelletier | W&S Brokerage Services, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 2, 2025 | Dec 10, 2024 |
| Scott David Mullen | W&S Brokerage Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2024 | Dec 11, 2024 |
| Arthur Matthew Chen | W&S Brokerage Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2024 | Oct 14, 2024 |
| Stephen Nunnery Gilbert | W&S Brokerage Services, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2024 | Sep 26, 2024 |
| Sean Patrick Mclaughlin | W&S Brokerage Services, Inc. BD affiliated | Horter Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2024 | Oct 6, 2024 |
| Samantha Florio | W&S Brokerage Services, Inc. BD affiliated | Gearhart & Associates independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 20, 2024 | Aug 13, 2024 |
| Kristopher Schwarte | W&S Brokerage Services, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2024 | Aug 7, 2024 |
| Dwayne Eric Daniels | W&S Brokerage Services, Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2024 | Jul 30, 2024 |
| Blake Pressler | W&S Brokerage Services, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 29, 2024 | Jan 24, 2025 (179 d) |
| Svetlana Dumais | W&S Brokerage Services, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 29, 2024 | Aug 7, 2024 |
| Cecil Covington Pilson | W&S Brokerage Services, Inc. BD affiliated | Capital Client Group, Inc. no RAUM | Other | Jul 16, 2024 | Jul 25, 2024 |
| Choong Myung Kim | W&S Brokerage Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2024 | Jul 18, 2024 (34 d) |
| Lam Nguyen | W&S Brokerage Services, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2024 | May 24, 2024 |
| Daniel Guadalupe | W&S Brokerage Services, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 3, 2024 | Jun 24, 2024 |
| Robert Brett Horn | W&S Brokerage Services, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2024 | May 31, 2024 (32 d) |
| Christopher Colin Hamm | W&S Brokerage Services, Inc. BD affiliated | Sequent Planning, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 22, 2024 | Jan 9, 2026 (658 d) |
| Emily Jo Farrell | W&S Brokerage Services, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2024 | Mar 13, 2024 |
| Davy Kwok | W&S Brokerage Services, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2023 | Jan 16, 2024 (32 d) |
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135 moves match.