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 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 |
|---|---|---|---|---|---|
| Jeffrey Alan Bettermann | Cuso Financial Services, L.P. BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2019 | Aug 11, 2020 (523 d) |
| Naghmeh Nadry | J.P. Morgan Securities LLC wirehouse | W&S Brokerage Services, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Feb 22, 2019 | Mar 1, 2019 |
| Eric Anthony Rollins | First Command Advisory Services BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 10, 2019 | Apr 22, 2019 (102 d) |
| Wuyang Fu | Lifepro Asset Management independent RIA | W&S Brokerage Services, Inc. no RAUM | RIA to a newly registered adviser | Dec 31, 2018 | Mar 27, 2019 (86 d) |
| Jordan Anthony Leonard | MML Investors Services, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Mar 8, 2021 (798 d) |
| Earl Gerard Seitz | MML Investors Services, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2018 | May 14, 2022 (1258 d) |
| Jeremy Craig Mayfield | Secure Investment Management, LLC independent RIA | W&S Brokerage Services, Inc. no RAUM | RIA to a newly registered adviser | Nov 21, 2018 | Apr 18, 2019 (148 d) |
| Richard Keith Ryan | Eagle Strategies LLC BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 12, 2018 | Mar 7, 2019 (115 d) |
| Teresa Young | LPL Financial LLC independent RIA | W&S Brokerage Services, Inc. no RAUM | RIA to a newly registered adviser | Nov 7, 2018 | Feb 6, 2019 (91 d) |
| Salvatore Lauri | Edward Jones national BD | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 30, 2018 | Mar 12, 2019 (133 d) |
| Patricia Rose Piatt | Huntington Financial Advisors BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 18, 2018 | Feb 22, 2019 (127 d) |
| Torrec Sontiest Hawkins | Park Avenue Securities LLC BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 10, 2018 | Apr 15, 2019 (217 d) |
| Tony W Toombs | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | W&S Brokerage Services, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Sep 4, 2018 | Dec 9, 2019 (461 d) |
| Nathan Randall Miller | Pnc Wealth Management BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 20, 2018 | Feb 21, 2020 (550 d) |
| Spencer Lademan | Edward Jones national BD | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 25, 2018 | Apr 9, 2019 (258 d) |
| Jane E Kwoun | Pruco Securities, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2018 | Jan 5, 2026 (2730 d) |
| Brian Albert Lee | First Advisors National, LLC independent RIA | W&S Brokerage Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 12, 2018 | Mar 25, 2020 (622 d) |
| Donnie A. Bell | Voya Financial Advisors, Inc. BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 6, 2018 | Sep 14, 2018 (70 d) |
| Joseph A Cobb | Charles Schwab & Co., Inc. national BD | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 23, 2018 | Feb 18, 2019 (301 d) |
| George Mitchell Kay | Eagle Strategies LLC BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 20, 2018 | Feb 11, 2019 (297 d) |
| David Charles Betz | Kestra Advisory Services, LLC other | W&S Brokerage Services, Inc. no RAUM | Other | Nov 1, 2017 | Nov 19, 2019 (748 d) |
| Patrick S. Millard | Strategic Advisers LLC national BD | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 7, 2017 | Nov 15, 2019 (830 d) |
| Terry Toth | MML Investors Services, LLC other | W&S Brokerage Services, Inc. no RAUM | Other | Aug 4, 2017 | Feb 11, 2019 (556 d) |
| Thomas May | Allstate Financial Advisors, LLC no RAUM | W&S Brokerage Services, Inc. no RAUM | Other | May 2, 2017 | Feb 20, 2019 (659 d) |
| Jeffrey Lee Crader | Edward Jones national BD | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 25, 2017 | Mar 14, 2019 (688 d) |
| Joseph Michael Faragasso | Wienken Advisors, Ltd. no RAUM | W&S Brokerage Services, Inc. no RAUM | Other | Dec 15, 2016 | Oct 18, 2018 (672 d) |
| Patrick Heewoong Kim | Pruco Securities, LLC other | W&S Brokerage Services, Inc. no RAUM | Other | May 17, 2016 | Mar 21, 2019 (1038 d) |
| David Anthony Adamson | Msi Financial Services, Inc. other | W&S Brokerage Services, Inc. BD affiliated | Other | Feb 13, 2014 | May 2, 2022 (3000 d) |
| Tracy Alan Troxel | Thrivent Investment Management Inc. other | W&S Brokerage Services, Inc. no RAUM | Other | Feb 11, 2014 | Jan 2, 2020 (2151 d) |
| Bryan James Okuley | Global Investment Advisors, LLC unclassified | W&S Brokerage Services, Inc. no RAUM | Other | Dec 31, 2012 | Jul 10, 2019 (2382 d) |
| Kermit J Coble | M&T Securities, Inc. unclassified | W&S Brokerage Services, Inc. no RAUM | Other | Nov 16, 2011 | Sep 3, 2019 (2848 d) |
| Randall Lee Huot | Raymond James & Associates, Inc. national BD | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2008 | Jun 25, 2021 (4666 d) |
| Michael Joseph Nordyke | Valic Financial Advisors, Inc. other | W&S Brokerage Services, Inc. no RAUM | Other | Mar 7, 2008 | Mar 11, 2019 (4021 d) |
| Kevin Douglas Burns | Natcity Investments, Inc. unclassified | W&S Brokerage Services, Inc. no RAUM | Other | Apr 17, 2007 | Sep 21, 2018 (4175 d) |
| Brett Christian Roth | Fidelity Personal Trust Company, Fsb unclassified | W&S Brokerage Services, Inc. no RAUM | Other | Mar 28, 2007 | Dec 11, 2018 (4276 d) |
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95 moves match.