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 Cetera Investment Services 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
Robby Shawn TiffeeMorgan Keegan & Company, LLC otherCetera Investment Services LLC otherOtherMar 31, 2012Jun 18, 2013 (444 d)
Eric Ty KingMorgan Keegan & Company, LLC otherCetera Investment Services LLC otherOtherMar 31, 2012Jun 21, 2013 (447 d)
Erik J JohnsonMorgan Keegan & Company, LLC otherCetera Investment Services LLC otherOtherMar 31, 2012Apr 15, 2013 (380 d)
Matthew Christopher DurhamMorgan Keegan & Company, LLC otherCetera Investment Services LLC otherOtherMar 31, 2012Oct 22, 2013 (570 d)
Donna Suzanne McphillipsMorgan Keegan & Company, LLC otherCetera Investment Services LLC otherOtherMar 31, 2012Apr 15, 2013 (380 d)
Merry Heather DooleyAmeriprise Financial Services, LLC national BDCetera Investment Services LLC otherOtherFeb 24, 2012Feb 21, 2012
Therese Illeene MisnerKey Investment Services LLC otherCetera Investment Services LLC otherOtherFeb 21, 2012Jun 1, 2012 (101 d)
Ronald Edwin BarnetteAmeriprise Financial Services, LLC national BDCetera Investment Services LLC otherOtherFeb 1, 2012Aug 14, 2012 (195 d)
Christopher Riley AveyFirst Allied Securities, Inc. otherCetera Investment Services LLC otherOtherDec 31, 2011Jan 4, 2012
Brandon BeckChase Investment Services Corp. otherCetera Investment Services LLC otherOtherDec 15, 2011Jan 11, 2012
Jason Edward MayUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherNov 16, 2011Nov 7, 2011
Jennifer Lynne ArpsSorrento Pacific Financial, LLC otherCetera Investment Services LLC otherOtherNov 11, 2011Nov 14, 2011
Christopher Arthur MarkosSorrento Pacific Financial, LLC otherCetera Investment Services LLC otherOtherNov 11, 2011Nov 11, 2011
Mark Scott HeffelRobert W. Baird & Co. Incorporated otherCetera Investment Services LLC otherOtherNov 10, 2011Nov 1, 2011
Michael Todd WhitmoreUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherNov 10, 2011Nov 10, 2011
Jennifer Hanna WilliamsUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherNov 10, 2011Nov 10, 2011
Jonathan Richard FerrellUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherNov 10, 2011Nov 10, 2011
Jason Bradley MoretzUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherNov 10, 2011Nov 10, 2011
Tiffany Ung SnyderUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherNov 10, 2011Nov 10, 2011
Andrew Page LillyUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherNov 10, 2011Nov 10, 2011
Samuel R LushMML Investors Services, LLC otherCetera Investment Services LLC otherOtherNov 3, 2011Nov 1, 2011
Randall SmithLPL Financial LLC otherCetera Investment Services LLC otherOtherNov 2, 2011Sep 16, 2013 (684 d)
Michael Phillip ClarkStrategic Advisers LLC national BDCetera Investment Services LLC otherOtherOct 27, 2011Nov 10, 2011
Robert Jay DavisPnc Wealth Management otherCetera Investment Services LLC otherOtherOct 18, 2011Oct 31, 2011
Brent Robert BridenbackAmeriprise Financial Services, LLC national BDCetera Investment Services LLC otherOtherOct 17, 2011Oct 12, 2011
Brandon M CableMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherOct 12, 2011Oct 25, 2011
Debra Rae MartinUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherOct 7, 2011Oct 4, 2011
Larry David AldersonUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherOct 7, 2011Oct 4, 2011
Jennifer Corbit CalabroUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherOct 7, 2011Oct 4, 2011
Brian Quinn ColemanU.S. Bancorp Investments, Inc. otherCetera Investment Services LLC otherOtherOct 6, 2011Oct 14, 2011
James Robert PoteetMsi Financial Services, Inc. otherCetera Investment Services LLC otherOtherSep 26, 2011Feb 11, 2013 (504 d)
Paula Rose SwansonWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherSep 14, 2011Jun 25, 2012 (285 d)
Cynthia Ann MaherWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherSep 9, 2011Mar 13, 2013 (551 d)
Michael Robert OsgoodMorgan Stanley wirehouseCetera Investment Services LLC otherOtherSep 9, 2011Sep 9, 2011
Jeffrey H MaMorgan Stanley wirehouseCetera Investment Services LLC otherOtherSep 7, 2011Aug 21, 2013 (714 d)
Antonio F CibellaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherAug 12, 2011Aug 29, 2011
John Edward MartfeldRaymond James & Associates, Inc. national BDCetera Investment Services LLC otherOtherAug 4, 2011Aug 2, 2011
James Patrick UlmanMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherAug 2, 2011Aug 1, 2011
Bradley Gene BrodersenAmeritas Advisory Services otherCetera Investment Services LLC otherOtherAug 1, 2011Aug 8, 2011
Mark TillmanAmeritas Advisory Services otherCetera Investment Services LLC otherOtherJul 26, 2011Jul 28, 2011
Kip Thomas SiedlingLPL Financial LLC otherCetera Investment Services LLC otherOtherJul 21, 2011Aug 23, 2011 (33 d)
Shane BoehmU.S. Bancorp Investments, Inc. otherCetera Investment Services LLC otherOtherJul 20, 2011Jul 21, 2011
Richard Wade HowardWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherJul 18, 2011Jul 20, 2011
John Chaopin YangUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherJul 14, 2011Aug 1, 2011
Lisa SmithChase Investment Services Corp. otherCetera Investment Services LLC otherOtherJul 12, 2011Jul 23, 2012 (377 d)
James Joseph McgintyWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherJun 29, 2011Sep 20, 2011 (83 d)
Sharon Lee HyerSpectrum Capital, LLC unclassifiedCetera Investment Services LLC otherOtherJun 28, 2011Jun 30, 2011
John Christopher KellySpectrum Capital, LLC unclassifiedCetera Investment Services LLC otherOtherJun 28, 2011Jun 22, 2011
Gary Duane SchaudtSpectrum Capital, LLC unclassifiedCetera Investment Services LLC otherOtherJun 28, 2011Jun 22, 2011
Rochelle Lea MurphySpectrum Capital, LLC unclassifiedCetera Investment Services LLC otherOtherJun 28, 2011Jul 18, 2011
Debby P PanHsbc Securities (USA) Inc. otherCetera Investment Services LLC otherOtherJun 27, 2011Aug 1, 2011 (35 d)
Andrew Mark DalkaAmeritas Advisory Services otherCetera Investment Services LLC otherOtherJun 23, 2011Aug 23, 2011 (61 d)
Kamiar VossoughiCredit Suisse Securities (USA) LLC otherCetera Investment Services LLC otherOtherJun 10, 2011Apr 8, 2013 (668 d)
Andrew Neal GeorgeRaymond James Financial Services Advisors, Inc otherCetera Investment Services LLC otherOtherJun 9, 2011Mar 22, 2013 (652 d)
Kevin John ScorsoneChase Investment Services Corp. otherCetera Investment Services LLC otherOtherJun 1, 2011Oct 8, 2012 (495 d)
Kenneth C KondasUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherMay 16, 2011May 17, 2011
Daniel ReeceCharles Schwab & Co., Inc. national BDCetera Investment Services LLC otherOtherMay 13, 2011Sep 14, 2011 (124 d)
Mary Helen McdowChase Investment Services Corp. otherCetera Investment Services LLC otherOtherMay 3, 2011May 3, 2011
Alan Lee CrouseMsi Financial Services, Inc. otherCetera Investment Services LLC otherOtherMar 10, 2011Mar 1, 2011
Kathleen Anne HatcherWintrust Investments otherCetera Investment Services LLC otherOtherMar 8, 2011Dec 6, 2011 (273 d)
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527 moves match.