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 Mma Securities LLC

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.

AdvisorFromToTypeLeftRegistered
Sheryll Mae YeeCommonwealth Financial Network national BDMma Securities LLC no RAUMOtherJan 3, 2023Jan 23, 2023
Alyssa Leigh ReillyUBS Financial Services Inc. wirehouseMma Securities LLC no RAUMOtherNov 29, 2022Apr 18, 2024 (506 d)
Charles A HurstPrincipal Securities, Inc. BD affiliatedMma Securities LLC no RAUMOtherNov 22, 2022Jan 6, 2023 (45 d)
Taylor M ClarkWorld Investment Advisors, LLC institutionalMma Securities LLC no RAUMOtherNov 4, 2022Nov 29, 2022
Alexandra Louise MoenFrancis LLC institutionalMma Securities LLC no RAUMOtherOct 3, 2022Jul 28, 2021
James M OgradyJohn Hancock Personal Financial Services, LLC BD affiliatedMma Securities LLC no RAUMOtherJun 23, 2022Sep 27, 2022 (96 d)
Jennifer Diane KauffmanPrudeo Partners, LLC independent RIAMma Securities LLC no RAUMOtherJun 6, 2022Mar 18, 2025 (1016 d)
Dylan James CookeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMma Securities LLC no RAUMOtherMay 18, 2022May 31, 2022
Jeffrey Scott BroaddusFidelity Personal And Workplace Advisors BD affiliatedMma Securities LLC no RAUMOtherMay 13, 2022Jan 8, 2020
Peter Joseph ValottaGlobal Retirement Partners LLC institutionalMma Securities LLC no RAUMOtherMar 4, 2022Mar 7, 2022
Eric David GefreMorgan Stanley wirehouseMma Securities LLC no RAUMOtherFeb 18, 2022Nov 21, 2023 (641 d)
Cody Matthew LewallenLPL Financial LLC BD affiliatedMma Securities LLC no RAUMOtherJan 19, 2022Jan 17, 2024 (728 d)
Anthony Cameron CarterFidelity Personal And Workplace Advisors BD affiliatedMma Securities LLC no RAUMOtherJan 10, 2022Jan 10, 2025 (1096 d)
Jack Russell WilkinsonOsaic Wealth, Inc. BD affiliatedMma Securities LLC no RAUMOtherDec 2, 2021Nov 15, 2022 (348 d)
Melissa Lee LaceyLockton Investment Advisors, LLC institutionalMma Securities LLC no RAUMOtherAug 20, 2021Sep 27, 2021 (38 d)
Laura Thai StenbergPrincipal Securities, Inc. BD affiliatedMma Securities LLC no RAUMOtherFeb 26, 2021Mar 2, 2021
Rebecca Louise HaferPrivate Advisor Group, LLC BD affiliatedMma Securities LLC no RAUMOtherFeb 4, 2021Jan 13, 2021
Seth Adam FinemanPrincipal Securities, Inc. BD affiliatedMma Securities LLC no RAUMOtherJan 21, 2021Feb 23, 2021 (33 d)
Cy William FreemanCetera Advisor Networks LLC BD affiliatedMma Securities LLC no RAUMOtherJan 11, 2021Mar 1, 2022 (414 d)
Jennifer Kate SahadyGlobal Retirement Partners LLC institutionalMma Securities LLC no RAUMOtherSep 18, 2020Jan 25, 2022 (494 d)
Richard Peter CordovaKestra Advisory Services, LLC BD affiliatedMma Securities LLC no RAUMOtherJul 1, 2020Apr 1, 2020
Victoria Ann MercadoKestra Advisory Services, LLC BD affiliatedMma Securities LLC no RAUMOtherJul 1, 2020Sep 23, 2022 (814 d)
Moira Margaret HagyKestra Advisory Services, LLC BD affiliatedMma Securities LLC no RAUMOtherJul 1, 2020Apr 1, 2020
Philip M MazurekKestra Advisory Services, LLC BD affiliatedMma Securities LLC no RAUMOtherJul 1, 2020Apr 1, 2020
Robert Patrick GibsonThe Centurion Group, LLC institutionalMma Securities LLC no RAUMOtherDec 31, 2019May 28, 2019
Robert Michael KelleyWorkplace Financial Advisors, LLC unclassifiedMma Securities LLC no RAUMOtherDec 31, 2019Feb 7, 2020 (38 d)
Marc Allan ZimmermanThe Centurion Group, LLC institutionalMma Securities LLC no RAUMOtherDec 31, 2019May 29, 2019
Joseph Eugene BartnickiThe Centurion Group, LLC institutionalMma Securities LLC no RAUMOtherDec 31, 2019May 28, 2019
Patrick Stewart ReisingerThe Centurion Group, LLC institutionalMma Securities LLC no RAUMOtherDec 31, 2019May 28, 2019
Eugene Richard WeberThe Centurion Group, LLC institutionalMma Securities LLC no RAUMOtherDec 31, 2019May 28, 2019
Daniel Bernard CisonWells Fargo Advisors wirehouseMma Securities LLC no RAUMOtherNov 14, 2019Aug 25, 2021 (650 d)
Ryan James EspingMorgan Stanley wirehouseMma Securities LLC no RAUMOtherJul 10, 2019Jul 16, 2019
Gary Michael RedingLPL Financial LLC independent RIAMma Securities LLC no RAUMOtherApr 23, 2019Apr 1, 2019
Melissa Marie SpowalLPL Financial LLC independent RIAMma Securities LLC no RAUMOtherApr 23, 2019Apr 1, 2019
Jeffrey W StephensSdm Advisors, LLC no RAUMMma Securities LLC no RAUMOtherSep 28, 2018Aug 1, 2018
Kevin James BowlerSagepoint Financial, Inc. BD affiliatedMma Securities LLC no RAUMOtherJul 6, 2018Jun 11, 2026 (2897 d)
Roxana GomezSagepoint Financial, Inc. BD affiliatedMma Securities LLC no RAUMOtherJul 6, 2018Jul 3, 2018
Erik PflaumSagepoint Financial, Inc. BD affiliatedMma Securities LLC no RAUMOtherJun 18, 2018May 23, 2018
Jacob DalySagepoint Financial, Inc. BD affiliatedMma Securities LLC no RAUMOtherJun 11, 2018May 10, 2018
Ian Robert MccormickMorgan Stanley wirehouseMma Securities LLC no RAUMOtherMay 30, 2018Aug 31, 2026 (3015 d)
Craig J ReidMoney Concepts Advisory Service otherMma Securities LLC no RAUMOtherDec 31, 2017Jan 12, 2018
Brian David DillonFiduciary Investment Advisors, LLC otherMma Securities LLC no RAUMOtherOct 19, 2017Dec 22, 2017 (64 d)
Cameron Malachy NeiheiselNational Planning Corporation ("Npc Of America" In Fl & Ny) otherMma Securities LLC no RAUMOtherJun 6, 2017Oct 20, 2017 (136 d)
Karen Kirchner WilhelmsThrivent Investment Management Inc. otherMma Securities LLC no RAUMOtherJan 27, 2017Aug 22, 2023 (2398 d)
Matthew Edward TelferWells Fargo Advisors wirehouseMma Securities LLC no RAUMOtherDec 9, 2016Sep 11, 2024 (2833 d)
Chris George PulosBrower Investment Advisers, LLC unclassifiedMma Securities LLC no RAUMOtherNov 17, 2016Jun 22, 2016
Kevin James DuffinBrower Investment Advisers, LLC unclassifiedMma Securities LLC no RAUMOtherNov 17, 2016Jun 22, 2016
Paul George LiebezeitThe Centurion Group, LLC otherMma Securities LLC no RAUMOtherNov 14, 2016May 29, 2019 (926 d)
Richard Burton RowehlGlobal Retirement Partners LLC otherMma Securities LLC no RAUMOtherSep 2, 2016Oct 3, 2016 (31 d)
Nathan Dean RasmussenKestra Advisory Services, LLC otherMma Securities LLC no RAUMOtherJul 13, 2016Aug 8, 2016
Polly Jane BrooksPrincipal Securities, Inc. otherMma Securities LLC no RAUMOtherJun 29, 2016Aug 21, 2026 (3705 d)
Sheray Ginine OliverNewport Group Securities, Inc. otherMma Securities LLC no RAUMOtherApr 28, 2016Jan 17, 2024 (2820 d)
Benjamin Diven ZietzConcourse Financial Group Advisors otherMma Securities LLC no RAUMOtherMar 24, 2016Mar 7, 2016
Bernabe VillanuevaCitizens Securities, Inc. otherMma Securities LLC no RAUMOtherDec 7, 2015Jan 21, 2016 (45 d)
Judith Mechiel LakeSecurian Financial Services, Inc. otherMma Securities LLC no RAUMOtherAug 3, 2010Jul 28, 2023 (4742 d)
Brian Edward BartkusInvestacorp Advisory Services Inc otherMma Securities LLC no RAUMOtherAug 23, 2007Mar 30, 2021 (4968 d)
Laurie Lynn ClarkEquitable Advisors, LLC national BDMma Securities LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJun 22, 2007Dec 22, 2025 (6758 d)
Pablo Andres OrdonezMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMma Securities LLC no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Oct 5, 2004Jun 16, 2025 (7559 d)
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118 moves match.