DFX Intelligence

RIA Intelligence

Advisor moves

Arrivals at Advisors Asset Management, 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
Brad Ryan Brondsema	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Oct 1, 2009 (331 d)
Andrew Stuart Zimmerman	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Mar 11, 2009 (127 d)
Christopher Shea Marmion	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Jan 4, 2010 (426 d)
Bryan Robert Huhn	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Apr 5, 2011 (882 d)
Carlos Jesus Gonzalez	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	May 26, 2009 (203 d)
Andrew James Goodenough	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Oct 5, 2009 (335 d)
Katya Lynn Thompson-Cantu	Wamu Investments, Inc. unclassified	Advisors Asset Management, Inc. other	Other	Sep 11, 2008	Sep 4, 2008
Jeffrey Cody Garcia	Waddell & Reed other	Advisors Asset Management, Inc. other	Other	Sep 4, 2008	Sep 11, 2008
Mark Grafton	Chase Investment Services Corp. other	Advisors Asset Management, Inc. other	Other	Aug 27, 2008	Aug 25, 2008
Alfred Fuentes	Usaa Financial Planning Services no RAUM	Advisors Asset Management, Inc. other	Other	Aug 22, 2008	Sep 2, 2008
Gerald Steven Reed	Waddell & Reed other	Advisors Asset Management, Inc. other	Other	Jul 10, 2008	Sep 4, 2008 (56 d)
Bruno Vera	Chase Investment Services Corp. other	Advisors Asset Management, Inc. other	Other	Jun 26, 2008	Oct 8, 2008 (104 d)
Bryan Scott Pecherek	UBS Financial Services Inc. wirehouse	Advisors Asset Management, Inc. other	Other	Jun 9, 2008	Jun 5, 2008
Edward Mckay Felt	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	May 29, 2008	May 28, 2008
Donald Osborn Hobart	Wells Fargo Advisors wirehouse	Advisors Asset Management, Inc. other	Other	May 2, 2008	Apr 16, 2008
Brian Henry Beyer	Ameriprise Financial Services, LLC national BD	Advisors Asset Management, Inc. other	Other	Apr 29, 2008	May 28, 2008
Evangeline Katherine Kanaris	Td Ameritrade, Inc. no RAUM	Advisors Asset Management, Inc. other	Other	Feb 28, 2008	May 6, 2014 (2259 d)
Gregory Jason Mclean	Signator Investors, Inc. other	Advisors Asset Management, Inc. other	Other	Feb 11, 2008	Feb 25, 2014 (2206 d)
John Bernard Hussey	Allianz Global Investors Managed Accounts LLC other	Advisors Asset Management, Inc. mixed wealth	Other	Aug 17, 2007	Aug 12, 2026 (6935 d)
Kami Lyn Vidor	Usaa Financial Planning Services no RAUM	Advisors Asset Management, Inc. other	Other	Jul 12, 2007	Aug 21, 2007 (40 d)
Daniel Martin Swallow	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jul 2, 2007
John Richard Devries	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jul 3, 2007
Peter Joseph Catalano	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jul 16, 2007
Anthony Robert Saba	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jul 5, 2007
Gregory Brian Clarkin	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jan 8, 2013 (2009 d)
Brad Lee Hallock	T. Rowe Price Advisory Services, Inc. no RAUM	Advisors Asset Management, Inc. other	Other	Jun 14, 2007	Sep 23, 2008 (467 d)
Eugene Everett Peroni	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jun 5, 2007	May 17, 2007
Bonny Barbara Collins	Usaa Financial Planning Services no RAUM	Advisors Asset Management, Inc. other	Other	Mar 23, 2007	Mar 26, 2007
Jennifer Grzeskiewicz	Wells Fargo Advisors wirehouse	Advisors Asset Management, Inc. other	Other	Mar 16, 2007	Mar 14, 2007
Brian M Lowrance	LPL Financial LLC other	Advisors Asset Management, Inc. other	Other	Mar 12, 2007	Mar 19, 2007
James Eric Inman	Usaa Investment Services Company other	Advisors Asset Management, Inc. other	Other	Mar 5, 2007	Feb 26, 2007
Frank J Vidakovics	UBS Financial Services Inc. wirehouse	Advisors Asset Management, Inc. other	Other	Mar 1, 2007	Mar 6, 2007
Scott Brandon Dooley	Pgim Investments LLC other	Advisors Asset Management, Inc. other	Other	Feb 15, 2007	Mar 22, 2006
Inger Margit Jansen	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Feb 5, 2007	Mar 21, 2007 (44 d)
Mandy Marie Haskell	Commonwealth Financial Network national BD	Advisors Asset Management, Inc. other	Other	Dec 19, 2006	Dec 18, 2006
Neal Young Lee	Clearbridge Investments, LLC other	Advisors Asset Management, Inc. other	Other	Aug 3, 2006	Aug 16, 2006
Michael Sauve Koury	Raymond James & Associates, Inc. national BD	Advisors Asset Management, Inc. other	Other	Jul 6, 2006	Nov 6, 2012 (2315 d)
Scott Larson Collins	Wells Fargo Advisors wirehouse	Advisors Asset Management, Inc. other	Other	Feb 21, 2006	Feb 22, 2006
Brian Carlyle Perkes	Ofi Private Investments Inc other	Advisors Asset Management, Inc. mixed wealth	Other	Dec 19, 2005	Apr 4, 2018 (4489 d)
William Carr Stokes	A. G. Edwards & Sons, Inc. unclassified	Advisors Asset Management, Inc. other	Other	Nov 11, 2005	Aug 12, 2009 (1370 d)
Luke Donenfeld	Bear Stearns Asset Management Inc. other	Advisors Asset Management, Inc. other	Other	Aug 15, 2005	Apr 3, 2007 (596 d)
Erin Klisser Arellano	U.S. Bancorp Advisors, LLC other	Advisors Asset Management, Inc. other	Other	Aug 2, 2005	Aug 31, 2005
Michael Stuart Parker	Metlife Investment Fund Services LLC unclassified	Advisors Asset Management, Inc. other	Other	Jul 20, 2005	Jan 24, 2011 (2014 d)
Robert Cecil Alston	Chase Investment Services Corp. other	Advisors Asset Management, Inc. other	Other	Jul 13, 2005	Jul 11, 2005
Paul Kenneth Marshall	Morgan Stanley Dw Inc. unclassified	Advisors Asset Management, Inc. other	Other	Jun 1, 2005	Jul 19, 2005 (48 d)
Adam Mark Eisenhauer	Ameriprise Advisor Services, Inc. unclassified	Advisors Asset Management, Inc. other	Other	Jul 29, 2004	Aug 4, 2004
Jeffrey A. Seitz	Bny Mellon Securities Corporation other	Advisors Asset Management, Inc. other	Other	Jun 2, 2004	Mar 14, 2006 (650 d)
Raymond Key	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	May 12, 2004	Oct 5, 2010 (2337 d)
Mark S Sargon	UBS Financial Services Inc. wirehouse	Advisors Asset Management, Inc. other	Other	Feb 24, 2004	Apr 10, 2007 (1141 d)
Timothy Randolph Boecker	John Hancock Distributors LLC unclassified	Advisors Asset Management, Inc. other	Other	Dec 4, 2003	Mar 2, 2016 (4472 d)
Randy Allan Olfers	Waddell & Reed other	Advisors Asset Management, Inc. other	Other	Sep 8, 2003	Oct 25, 2004 (413 d)
John Vito Sacchetti	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advisors Asset Management, Inc. other	Other	Jun 18, 2003	Oct 25, 2004 (495 d)
Thomas Leslie Sherwood	Keybanc Capital Markets Inc. unclassified	Advisors Asset Management, Inc. other	Other	Aug 9, 2002	Apr 12, 2006 (1342 d)

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173 moves match.