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 Comerica 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.

AdvisorFromToTypeLeftRegistered
Vincent MarchioneMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseComerica Securities otherOtherFeb 17, 2010Apr 13, 2010 (55 d)
David W GauhsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseComerica Securities otherOtherFeb 16, 2010Mar 31, 2010 (43 d)
Chia-Ying LinCitigroup Global Markets Inc. otherComerica Securities otherOtherJan 21, 2010Sep 30, 2010 (252 d)
Daniel ChaneWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherJan 12, 2010Nov 5, 2010 (297 d)
Peter W LittonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseComerica Securities otherOtherDec 9, 2009Apr 23, 2010 (135 d)
Jay M BartleyCommonwealth Financial Network national BDComerica Securities otherOtherDec 2, 2009Mar 12, 2010 (100 d)
Mary Frances LittTrustee Empowerment & Protection, Inc. otherComerica Securities otherOtherNov 30, 2009Dec 4, 2009
Rey Louie CarandangVoya Financial Advisors, Inc. otherComerica Securities otherOtherOct 30, 2009Mar 29, 2011 (515 d)
Anthony James LoshCetera Investment Services LLC otherComerica Securities otherOtherOct 16, 2009Nov 3, 2009
David Jay OhanianWells Fargo Advisors wirehouseComerica Securities otherOtherAug 11, 2009Oct 15, 2009 (65 d)
Elizabeth Jean WilsonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseComerica Securities otherOtherApr 20, 2009Jun 18, 2009 (59 d)
Paula SigueStanford Group Company unclassifiedComerica Securities otherOtherMar 30, 2009May 22, 2009 (53 d)
Dimitry FarberovWells Fargo Advisors wirehouseComerica Securities otherOtherMar 4, 2009Aug 20, 2010 (534 d)
Rafael Lamar ScrogginsWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherJul 25, 2008Aug 22, 2008
Georgia M SclavosAmeriprise Financial Services, LLC national BDComerica Securities otherOtherMar 24, 2008Jun 26, 2008 (94 d)
Howard Andrew SwanfeldtChase Investment Services Corp. otherComerica Securities otherOtherDec 21, 2007Jan 8, 2008
Joann Joice ShytleCitigroup Global Markets Inc. otherComerica Securities otherOtherDec 19, 2007Jun 6, 2008 (170 d)
Jeanmarie Macari LabonteWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherNov 7, 2007Nov 6, 2012 (1826 d)
Barry Gale BrundageWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherOct 1, 2007Oct 19, 2007
Theresa Sharon SerafimovskiChase Investment Services Corp. otherComerica Securities otherOtherSep 5, 2007Sep 21, 2007
Andrew Cassedy MillerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseComerica Securities otherOtherAug 24, 2007Aug 28, 2007
Dennis SerioWells Fargo Advisors wirehouseComerica Securities bank affiliatedOtherAug 3, 2007Jun 18, 2021 (5068 d)
Michele Lisa CusterGunnallen Financial, Inc unclassifiedComerica Securities otherOtherJul 20, 2007Oct 17, 2007 (89 d)
Alice HuangWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherJun 21, 2007Aug 3, 2007 (43 d)
David Alan CretcherUBS Financial Services Inc. wirehouseComerica Securities otherOtherJun 4, 2007Jun 4, 2007
Christopher Alvin TheutAmeriprise Advisor Services, Inc. unclassifiedComerica Securities otherOtherApr 12, 2007Apr 18, 2007
Michael Christopher WilsonWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherApr 11, 2007Jun 11, 2007 (61 d)
Scott HillaryFifth Third Securities, Inc. otherComerica Securities otherOtherApr 3, 2007Mar 23, 2007
Andrew Patrick AugustineChase Investment Services Corp. otherComerica Securities otherOtherJan 31, 2007Oct 30, 2007 (272 d)
Charles Patrick PierceKeybanc Capital Markets Inc. unclassifiedComerica Securities otherOtherDec 19, 2006Mar 14, 2007 (85 d)
Andrew Benjamin WaxmanPfic Advisors, Inc. unclassifiedComerica Securities otherOtherNov 6, 2006Feb 2, 2007 (88 d)
Deborah Lee-KavousiWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherOct 31, 2006Feb 14, 2007 (106 d)
James KumpfMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseComerica Securities bank affiliatedOtherOct 12, 2006Apr 25, 2019 (4578 d)
Marc D LivernoisMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseComerica Securities otherOtherOct 9, 2006Oct 11, 2006
Dennile Lynne HaddockLPL Financial LLC otherComerica Securities otherOtherSep 18, 2006Sep 13, 2006
Christopher R. BeauvaisAmeriprise Advisor Services, Inc. unclassifiedComerica Securities otherOtherSep 8, 2006Sep 15, 2006
Christopher HaddadMorgan Stanley Dw Inc. unclassifiedComerica Securities otherOtherAug 1, 2006Nov 13, 2006 (104 d)
Claire S MarshFsc Securities Corporation otherComerica Securities otherOtherJun 22, 2006Jul 27, 2007 (400 d)
Jonathan Boyd KeenAmeriprise Financial Services, LLC national BDComerica Securities otherOtherJun 1, 2006Jan 25, 2007 (238 d)
Ketan DesaiMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseComerica Securities otherOtherApr 6, 2006Apr 4, 2011 (1824 d)
Michael J RosenbergU.S. Bancorp Advisors, LLC otherComerica Securities otherOtherFeb 10, 2006May 1, 2006 (80 d)
Annette Guerra MusaBanc One Securities Corporation unclassifiedComerica Securities otherOtherFeb 9, 2006Feb 16, 2006
Kevin James SandinFifth Third Securities, Inc. otherComerica Securities otherOtherOct 10, 2005Oct 7, 2005
Daniel Lee FergusonChase Investment Services Corp. otherComerica Securities otherOtherAug 16, 2005Aug 19, 2005
Douglas James BulgerTd Ameritrade, Inc. no RAUMComerica Securities otherOtherJul 27, 2005Sep 14, 2005 (49 d)
Barton Freeze GunterBanc One Securities Corporation unclassifiedComerica Securities otherOtherJun 13, 2005Jun 14, 2005
Thomas Jay StoutZions Capital Advisors, Inc. otherComerica Securities otherOtherMay 27, 2005May 4, 2007 (707 d)
Anay Kumar SrivastavaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseComerica Securities otherOtherApr 26, 2005May 12, 2010 (1842 d)
David M SchabackerBanc One Securities Corporation unclassifiedComerica Securities otherOtherMar 29, 2005Jul 18, 2005 (111 d)
Bryan Paul KucholtzChase Investment Services Corp. otherComerica Securities otherOtherMar 22, 2005Mar 10, 2005
Jesse David BayarenaTd Ameritrade, Inc. no RAUMComerica Securities otherOtherNov 10, 2004Jan 3, 2005 (54 d)
Kimberly Faye ValletBanc One Securities Corporation unclassifiedComerica Securities otherOtherOct 22, 2004Oct 20, 2004
Nicholas Anthony GiambriBanc One Securities Corporation unclassifiedComerica Securities otherOtherAug 3, 2004Aug 26, 2005 (388 d)
Richard Alan HaginsWamu Investments, Inc. unclassifiedComerica Securities otherOtherJul 15, 2004Sep 16, 2008 (1524 d)
Duane Ray AponteEquitable Advisors, LLC national BDComerica Securities otherOtherNov 4, 2003Nov 26, 2003
Katy Ming-Hung ChenWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherAug 18, 2003Mar 10, 2004 (205 d)
David SkolnikWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherJul 31, 2003Aug 20, 2004 (386 d)
Mark Raymond PalmerWells Fargo Investments, LLC unclassifiedComerica Securities otherOtherMay 5, 2003Jun 14, 2004 (406 d)
Erik James JueUBS Financial Services Inc. wirehouseComerica Securities otherOtherFeb 26, 2003Mar 11, 2003
Scott Christian RosserUBS Financial Services Inc. wirehouseComerica Securities otherOtherDec 20, 2002Jun 18, 2009 (2372 d)
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182 moves match.