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 Western International Securities

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
Glenn Alexander Crawford	Citigroup Global Markets Inc. BD affiliated	Western International Securities independent RIA	Affiliated broker-dealer or bank to independent RIA	May 2, 2018	Apr 6, 2018
Oswaldo Horacio Ramos	Citigroup Global Markets Inc. BD affiliated	Western International Securities independent RIA	Affiliated broker-dealer or bank to independent RIA	May 2, 2018	Apr 6, 2018
Andy Ravi Gitipityapon	Citigroup Global Markets Inc. BD affiliated	Western International Securities independent RIA	Affiliated broker-dealer or bank to independent RIA	May 2, 2018	Apr 9, 2018
Gerald Charles Roth	Citigroup Global Markets Inc. BD affiliated	Western International Securities independent RIA	Affiliated broker-dealer or bank to independent RIA	May 2, 2018	Apr 9, 2018
Antoine Samir Abi Nader	J.P. Morgan Securities LLC wirehouse	Western International Securities independent RIA	Wirehouse to independent RIA	Apr 18, 2018	Apr 6, 2018
Andrew J. Lais	LPL Financial LLC independent RIA	Western International Securities other	Other	Mar 12, 2018	Mar 2, 2018
Jesus Lopez-Castaneda	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Western International Securities other	Other	Feb 13, 2018	Feb 14, 2018
Kazuyo Deguchi	LPL Financial LLC independent RIA	Western International Securities other	Other	Feb 6, 2018	Jan 31, 2018
Rodney J Viloria	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Western International Securities independent RIA	Other	Jan 2, 2018	Aug 19, 2019 (594 d)
Cary Michael Margolis	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Western International Securities other	Other	Jan 2, 2018	Mar 13, 2018 (70 d)
Megan Polizzi	Independent Financial Group, LLC other	Western International Securities BD affiliated	Other	Dec 31, 2017	May 1, 2025 (2678 d)
Gregory Paul Holmes	Ameriprise Financial Services, LLC national BD	Western International Securities other	Other	Dec 8, 2017	Dec 4, 2017
Gabriel Patrick Swan	Ameritas Advisory Services other	Western International Securities other	Other	Nov 17, 2017	Oct 20, 2017
Kirk Robert Miller	J.P. Morgan Securities LLC wirehouse	Western International Securities other	Other	Sep 6, 2017	Aug 9, 2017
Matthew Lincoln Mogush	RBC Securities, Inc. other	Western International Securities other	Other	Jul 5, 2017	Jul 18, 2017
Harrison Chi Chang	J.P. Morgan Securities LLC wirehouse	Western International Securities other	Other	Jun 29, 2017	Dec 2, 2017 (156 d)
Andrew Martz	J.P. Morgan Securities LLC wirehouse	Western International Securities other	Other	Jun 28, 2017	Jul 14, 2017
Yanjuan Huang	UBS Financial Services Inc. wirehouse	Western International Securities other	Other	Jun 2, 2017	May 15, 2017
Lawrence Jay Lazar	Kovack Advisors, Inc. other	Western International Securities other	Other	Apr 13, 2017	Apr 12, 2017
Scott Newhouse	Lakeside Wealth Management Group, LLC other	Western International Securities other	Other	Mar 13, 2017	Jun 15, 2017 (94 d)
Daniel Davidian	J.P. Morgan Securities LLC wirehouse	Western International Securities other	Other	Feb 24, 2017	Feb 1, 2017
Alison Oriana Vento	J.P. Morgan Securities LLC wirehouse	Western International Securities independent RIA	Wirehouse to independent RIA	Feb 8, 2017	Aug 9, 2018 (547 d)
John Felix Bodovitz	Wells Fargo Advisors wirehouse	Western International Securities other	Other	Dec 21, 2016	Feb 15, 2017 (56 d)
Ilan Meir Fersht	Financial West Group other	Western International Securities other	Other	Nov 17, 2016	Oct 13, 2017 (330 d)
Rodolfo Ruiz	Sagepoint Financial, Inc. other	Western International Securities other	Other	Nov 2, 2016	Nov 9, 2016
Frank Gilbert Nyerges	Morgan Stanley wirehouse	Western International Securities other	Other	Nov 1, 2016	Oct 28, 2016
Russell Wayne Ketron	Protected Investors Of America other	Western International Securities other	Other	Jul 19, 2016	Jun 17, 2016
Glen Sherman Calkins	Protected Investors Of America other	Western International Securities other	Other	Jul 11, 2016	Jun 20, 2016
Eugene Yin Wang	Oppenheimer & Co. Inc. other	Western International Securities other	Other	Jul 5, 2016	Jun 27, 2016
Harold Bowler Parker	Nasdaq Dorsey Wright other	Western International Securities other	Other	Jun 1, 2016	Jul 26, 2007
Steven Sunyuk Lew	D.A. Davidson & Co. other	Western International Securities other	Other	Apr 4, 2016	Apr 14, 2016
Peter Fitch Keating	Wells Fargo Advisors wirehouse	Western International Securities other	Other	Mar 9, 2016	Mar 22, 2016
Toni Lynn Iannarelli	Monticello Investment Services, Inc. no RAUM	Western International Securities other	Other	Nov 30, 2015	Nov 16, 2015
Doron Kochavi	UBS Financial Services Inc. wirehouse	Western International Securities other	Other	Oct 27, 2015	Oct 19, 2015
Ernesto A. Chavez	J P Turner & Company Capital Management, LLC other	Western International Securities other	Other	Sep 29, 2015	Oct 19, 2015
Chiu-Ni Wang	LPL Financial LLC other	Western International Securities other	Other	Aug 5, 2015	Sep 29, 2015 (55 d)
Hiroshi Mizutani	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Western International Securities other	Other	Jul 20, 2015	Jul 17, 2015
Matthew Scott Saltzgaber	Peak Wealth Management, LLC independent RIA	Western International Securities other	Other	Jun 8, 2015	Dec 11, 2015 (186 d)
B. David Goldstein	United Advisors other	Western International Securities other	Other	Jun 5, 2015	May 29, 2015
May Hongying Miao	Wells Fargo Advisors wirehouse	Western International Securities other	Other	May 15, 2015	May 5, 2015
Robin Wun-Hsiung Chan	Invesco Advisers, Inc. other	Western International Securities other	Other	Apr 24, 2015	May 31, 2016 (403 d)
Craig Gordon Johnson	J.P. Morgan Securities LLC wirehouse	Western International Securities other	Other	Mar 27, 2015	Mar 16, 2015
Shomir Mukherjee	Citigroup Global Markets Inc. other	Western International Securities other	Other	Feb 28, 2015	Feb 23, 2015
Timothy Heath Tanner	Centaurus Financial, Inc. other	Western International Securities other	Other	Jan 28, 2015	Jan 28, 2015
Michael Phillip Gorak	Centaurus Financial, Inc. other	Western International Securities other	Other	Jan 9, 2015	Jan 12, 2015
Carter Ashly Morrison	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Marc Michael Miller	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Robert Steven Wilkinson	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 5, 2015
Thomas Raymond Biggs	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Christopher Todd Irvin	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Charles Baker Bachtell	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Karen Jaber	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Clifford Newton Gamble	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Gerard Paul Gloisten	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Adam Senator Wiatrak	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Mark Anton Baksic	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2014	Jan 2, 2015
Douglas James Martin	D.A. Davidson & Co. other	Western International Securities other	Other	Sep 18, 2014	Sep 12, 2014
Jeffrey Patrick Wolfe	Morgan Stanley wirehouse	Western International Securities other	Other	Sep 3, 2014	Aug 26, 2014
Michael Jay Moody	Nasdaq Dorsey Wright other	Western International Securities other	Other	Apr 1, 2014	Jul 26, 2007
Isela D Ortega-Wu	U.S. Bancorp Advisors, LLC other	Western International Securities other	Other	Mar 26, 2014	Apr 2, 2014

Page 2 of 4Previous Next

216 moves match.