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 Fsc Securities Corporation
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 |
|---|---|---|---|---|---|
| John O'Bannon | Edward Jones national BD | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2020 | Oct 15, 2020 |
| Ashley Rose Mcneal | Woodbury Financial Services, Inc. BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2020 | Jan 9, 2019 |
| Dylan Hansen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 31, 2020 | Sep 2, 2020 |
| Alicia Nicole Murray | Steward Partners Investment Solutions, LLC independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Aug 28, 2020 | Aug 28, 2020 |
| Clement Eric Alexander Richardson | Steward Partners Investment Solutions, LLC independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2020 | Aug 12, 2020 |
| John William Holmes | Wells Fargo Advisors wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 24, 2020 | Jul 29, 2020 |
| Christopher J Kemp | LPL Financial LLC BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2020 | May 20, 2020 |
| Neil Howard Pettes | Individual Financial Services, Inc. unclassified | Fsc Securities Corporation other | Other | Apr 30, 2020 | Sep 15, 2005 |
| Sergio Gerardo Garcia | Quest Capital Management, Inc. independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Apr 20, 2020 | May 13, 2020 |
| Kyle James Hickey | Everhart Advisors independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Apr 20, 2020 | Oct 30, 2020 (193 d) |
| Kelly Briana Hammer | Woodbury Financial Services, Inc. BD affiliated | Fsc Securities Corporation other | Other | Mar 30, 2020 | Aug 15, 2017 |
| Thomas S Murray | Park Avenue Securities LLC BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2020 | Mar 11, 2020 |
| Thomas George Lenze | Wells Fargo Advisors wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 10, 2020 | Feb 7, 2020 |
| Stephen Jay Myers | Woodbury Financial Services, Inc. BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2020 | Nov 21, 2018 |
| Dennis Lavoy | Michigan Financial Advisors Corporation unclassified | Fsc Securities Corporation other | Other | Dec 4, 2019 | May 5, 2016 |
| Renee Danielle Cooley | Edward Jones national BD | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2019 | Dec 17, 2019 |
| Shala L Walker | Mercer Global Advisors Inc. independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Nov 5, 2019 | Feb 14, 2020 (101 d) |
| Mark J Sommerville | Osaic Advisory Services, LLC BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2019 | Nov 13, 2019 |
| Bradley Scott Mills | Raymond James & Associates, Inc. national BD | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2019 | Oct 4, 2019 |
| Jared Reed Weiss | Legend Advisory, LLC BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2019 | Dec 2, 2021 (790 d) |
| Robyn Marie Krahn | LPL Financial LLC BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2019 | Aug 16, 2019 |
| Patrick White Ryan | UBS Financial Services Inc. wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 26, 2019 | Jul 26, 2019 |
| John Colmore Beane | Homrich Berg independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Jun 17, 2019 | Oct 10, 2019 (115 d) |
| Amy Michelle Million | Edward Jones national BD | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2019 | Jul 25, 2019 (48 d) |
| Brian Frederick Paluso | Chartwell Investment Partners, LLC other | Fsc Securities Corporation BD affiliated | Other | Jun 6, 2019 | Jul 8, 2019 (32 d) |
| Kristine Ann Buchband | Morgan Stanley wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 30, 2019 | May 24, 2019 |
| George Dean Karris | Foresters Advisory Services, LLC BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2019 | Jun 12, 2019 |
| Amanda Lynn Mitchum | Edward Jones national BD | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2019 | May 23, 2019 |
| Jacob Plahovinsak | Morgan Stanley wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 30, 2019 | May 7, 2019 |
| Peter Michael Shurow | Capital Financial Services, Inc. independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Apr 18, 2019 | Apr 22, 2019 |
| Steven Joe Combest | Capital Financial Services, Inc. independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Apr 18, 2019 | Apr 18, 2019 |
| Nilsa Michelle Daniel | Morgan Stanley wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 1, 2019 | Mar 19, 2019 |
| Tricia L Carter Wood | Rhodes Investment Advisors, Inc. independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Mar 12, 2019 | Mar 11, 2019 |
| Pamela Diana Fitzpatrick | Raymond James Financial Services Advisors, Inc BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2019 | Mar 13, 2019 |
| Alfred Francis Matarazzo | Main Line Financial Advisors, LLC. independent RIA | Fsc Securities Corporation other | Other | Dec 31, 2018 | Nov 3, 2009 |
| Brian David Mclean | Wilsey Asset Management Incorporated independent RIA | Fsc Securities Corporation other | Other | Dec 31, 2018 | Jan 19, 2012 |
| Emily Lauren Boyd-Brown | J.J.B. Hilliard, W.L. Lyons, LLC independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Dec 17, 2018 | Jan 24, 2019 (38 d) |
| Thomas A Walker | Financial Advocates Investment Management independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Dec 3, 2018 | Dec 3, 2018 |
| Chad A Walker | Sagepoint Financial, Inc. BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2018 | Nov 29, 2017 |
| Paul Richard Mcwilliams | Planmember Securities Corporation independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Oct 31, 2018 | Nov 1, 2018 |
| Caitlin Jill Gilman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 15, 2018 | Oct 12, 2018 |
| Tammy Ann Hospodar | U.S. Bancorp Advisors, LLC BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2018 | Sep 14, 2018 |
| Christopher Steven Loy | E*Trade Capital Management, LLC independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Sep 11, 2018 | Sep 21, 2018 |
| Jason Barrett Moore | LPL Financial LLC independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Aug 29, 2018 | Sep 4, 2018 |
| Nicholas Adam Bour | Corecap Advisors BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2018 | Aug 27, 2018 |
| Joseph Michael Robbins | Wells Fargo Advisors wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 22, 2018 | Jul 7, 2020 (685 d) |
| Aiyisha Adams | Osaic Fa, Inc. BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2018 | Sep 26, 2018 (57 d) |
| Mark G Comyns | The Wharton Advisory Group, LLC independent RIA | Fsc Securities Corporation other | Other | Jul 19, 2018 | Dec 14, 2007 |
| Matthew Scott Saltzgaber | LPL Financial LLC independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Jul 11, 2018 | Jun 29, 2018 |
| Jeffrey Mitchell Factor | The Wharton Advisory Group, LLC independent RIA | Fsc Securities Corporation other | Other | Jul 5, 2018 | Jul 21, 2008 |
| Elaine Roecklein | Cambridge Investment Research Advisors, Inc. BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2018 | Jun 7, 2018 |
| Stephen Derengowski | Truist Advisory Services, Inc. BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2018 | Jul 31, 2018 (32 d) |
| Matthew Edward Mai | LPL Financial LLC independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Jun 8, 2018 | May 24, 2018 |
| Robert Joseph Caldwell | LPL Financial LLC independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2018 | May 24, 2018 |
| Timothy Don Mills | Arvest Wealth Management BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2018 | Aug 14, 2018 (85 d) |
| Phylip Charles Simmons | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 4, 2018 | Oct 25, 2018 (174 d) |
| Joseph Francis Meylor | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 4, 2018 | Nov 12, 2018 (192 d) |
| Daryl Gregory Regenauer | Wells Fargo Advisors wirehouse | Fsc Securities Corporation BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 11, 2018 | Apr 9, 2018 |
| Clare Amelia Ciervo | Northstar Asset Management, Inc independent RIA | Fsc Securities Corporation BD affiliated | RIA to affiliated broker-dealer or bank | Apr 11, 2018 | Apr 18, 2019 (372 d) |
| Thomas Gerard Kalis | Raymond James & Associates, Inc. national BD | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2018 | Mar 23, 2018 |
626 moves match.