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

Arrivals at First Allied 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
Douglas Haig Alexander	Next Financial Group, Inc. other	First Allied Securities, Inc. other	Other	Dec 8, 2010	Nov 29, 2010
Daryl Charles Debol	Cetera Advisors LLC other	First Allied Securities, Inc. other	Other	Dec 1, 2010	Dec 1, 2010
Troy Lane Stine	Next Financial Group, Inc. other	First Allied Securities, Inc. other	Other	Nov 24, 2010	Nov 19, 2010
Maxwell P Keltner	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Nov 23, 2010	Mar 4, 2011 (101 d)
Sheryl Ann Hall	Southwest Investment Advisors, Inc. independent RIA	First Allied Securities, Inc. other	Other	Nov 19, 2010	Mar 31, 2010
Charles Richard Dunn	RBC Capital Markets, LLC national BD	First Allied Securities, Inc. other	Other	Nov 18, 2010	Nov 15, 2010
Michael Blake Onieal	Wells Fargo Advisors wirehouse	First Allied Securities, Inc. other	Other	Nov 11, 2010	Nov 2, 2010
John Christopher Neyland	Next Financial Group, Inc. other	First Allied Securities, Inc. other	Other	Nov 8, 2010	Nov 5, 2010
Alan Eric Kent	Wells Fargo Advisors wirehouse	First Allied Securities, Inc. other	Other	Nov 1, 2010	Nov 1, 2010
Carol H Kinder	Wells Fargo Advisors wirehouse	First Allied Securities, Inc. other	Other	Nov 1, 2010	Nov 1, 2010
Christopher Riley Avey	Cetera Investment Services LLC other	First Allied Securities, Inc. other	Other	Oct 13, 2010	Oct 6, 2010
Marc Andre Noonan	Fsc Securities Corporation other	First Allied Securities, Inc. other	Other	Oct 5, 2010	Oct 1, 2010
David Wayne Johnston	Nfp Advisor Services, LLC other	First Allied Securities, Inc. other	Other	Sep 17, 2010	Sep 15, 2010
John Weaver Young	Morgan Stanley wirehouse	First Allied Securities, Inc. other	Other	Sep 14, 2010	Aug 31, 2010
John Brent Kesner	Edward Jones national BD	First Allied Securities, Inc. other	Other	Sep 8, 2010	Sep 3, 2010
Anh Phuong Tran	Goldman Sachs Wealth Services, L.P. other	First Allied Securities, Inc. other	Other	Jun 21, 2010	Jun 22, 2010
Joseph H Langlois	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Jun 7, 2010	Jun 3, 2010
Frederick Allen Mecklenburg	James E.Bashaw & Co. unclassified	First Allied Securities, Inc. other	Other	Jun 4, 2010	May 13, 2010
Benjamin Thomas Newhouse	Osaic Wealth, Inc. other	First Allied Securities, Inc. other	Other	May 26, 2010	May 26, 2010
Michelle Denise Cooley	First Command Financial Planning, Inc. other	First Allied Securities, Inc. other	Other	May 5, 2010	Mar 15, 2011 (314 d)
Bradley Gering Brown	Wells Fargo Advisors wirehouse	First Allied Securities, Inc. other	Other	Apr 20, 2010	Apr 16, 2010
Tina Louise Wells Lee	Wells Fargo Advisors wirehouse	First Allied Securities, Inc. other	Other	Apr 13, 2010	Apr 13, 2010
Gary Dennis Hochman	1st Global Advisors Inc other	First Allied Securities, Inc. other	Other	Mar 10, 2010	Mar 10, 2010
Nick Anthony Torres	1st Global Advisors Inc other	First Allied Securities, Inc. other	Other	Mar 10, 2010	Mar 9, 2010
Gregory Dale Hunter	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	First Allied Securities, Inc. other	Other	Mar 1, 2010	Feb 26, 2010
Colin Martin Mansfield	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Feb 17, 2010	Feb 8, 2010
Julius Steven Hutchinson	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Feb 16, 2010	Feb 2, 2010
Amy Noelle Conley	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Feb 16, 2010	Feb 2, 2010
Todd Randall Walker	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Feb 16, 2010	Feb 2, 2010
Anton Nicola Nijmeh	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Feb 5, 2010	Feb 3, 2010
Brian Ashley King	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Feb 5, 2010	Feb 3, 2010
Jason P. Connolly	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Feb 5, 2010	Feb 4, 2010
Darren Paul Speight	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Feb 5, 2010	Feb 4, 2010
Michael Lewis Williams	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Jan 22, 2010	Jan 19, 2010
Toby Scott Harris	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Jan 22, 2010	Jan 21, 2010
Shelley Danae Teskey	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Jan 22, 2010	Jan 19, 2010
Spencer Michael Williams	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Jan 22, 2010	Jan 19, 2010
Mark Garkavi	Oppenheimer & Co. Inc. other	First Allied Securities, Inc. other	Other	Jan 12, 2010	Jan 4, 2010
Christopher John Richard	Crosswater unclassified	First Allied Securities, Inc. other	Other	Dec 31, 2009	Jun 11, 2009
Richard Alan Benson	Vineyard Asset Management, LLC unclassified	First Allied Securities, Inc. other	Other	Dec 18, 2009	May 26, 2010 (159 d)
Jeffrey Michael Bratz	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Dec 15, 2009	Dec 1, 2009
Bryan Freisinger	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Dec 3, 2009	Jan 4, 2010 (32 d)
Michael Anthony Staffieri	Osaic Fs, Inc. other	First Allied Securities, Inc. other	Other	Nov 30, 2009	Nov 24, 2009
Fred Michael Lamarca	Premier Wealth Advisors, LLC unclassified	First Allied Securities, Inc. other	Other	Nov 18, 2009	Aug 21, 2009
Thomas Wendell Otten	Avisen Advisors, LLC other	First Allied Securities, Inc. other	Other	Nov 18, 2009	Dec 17, 2009
William Garfield Levis	Citigroup Global Markets Inc. other	First Allied Securities, Inc. other	Other	Nov 16, 2009	Dec 1, 2009
Marisa Beth Goldstein	Nuveen Fund Advisors, LLC other	First Allied Securities, Inc. other	Other	Oct 29, 2009	Oct 19, 2011 (720 d)
Curtis Randall Brooks	Wealth Partners Advisors LLC unclassified	First Allied Securities, Inc. other	Other	Oct 28, 2009	Aug 10, 2007
Loay S Naser	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Oct 13, 2009	Feb 2, 2010 (112 d)
Lenia Vanessa Muro	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Sep 30, 2009	Oct 4, 2010 (369 d)
Viktoria Irena Palermo	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Sep 18, 2009	Sep 15, 2009
David Chenet	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Sep 18, 2009	Sep 16, 2009
Jay Martin Desimone	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Sep 17, 2009	Sep 1, 2009
Francis Xavier Pisano	Mutual Service Corporation unclassified	First Allied Securities, Inc. other	Other	Aug 27, 2009	Aug 27, 2009
Charles Nmn Lim	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Aug 25, 2009	Aug 25, 2009
Traci Sherrod	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Aug 24, 2009	Aug 25, 2009
Jack Cavin Holland	Investors Capital Advisory other	First Allied Securities, Inc. other	Other	Jul 16, 2009	Aug 21, 2009 (36 d)
Amon Albert Allahyari	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Jul 7, 2009	Jun 29, 2009
Anthony Rod Ortale	Charles Schwab & Co., Inc. national BD	First Allied Securities, Inc. other	Other	Jun 22, 2009	Jul 2, 2009
Dale E Hohlbaugh	Citigroup Global Markets Inc. other	First Allied Securities, Inc. other	Other	May 28, 2009	Jun 1, 2009

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283 moves match.