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
Elliott GeeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherFeb 23, 2011Jun 20, 2012 (483 d)
Michael McgriffEsi Financial Advisors otherCetera Investment Services LLC otherOtherFeb 16, 2011Jan 14, 2014 (1063 d)
Leah Anne BrooksEdward Jones national BDCetera Investment Services LLC otherOtherFeb 15, 2011Feb 28, 2011
Heather Ann PrattLPL Financial LLC otherCetera Investment Services LLC otherOtherFeb 4, 2011Feb 2, 2011
Andrew M. NakagawaChase Investment Services Corp. otherCetera Investment Services LLC otherOtherFeb 3, 2011Jul 25, 2012 (538 d)
Kenneth David LoebelVoya Financial Advisors, Inc. otherCetera Investment Services LLC otherOtherJan 19, 2011Jan 18, 2011
William Andrew SniderDenver Money Manager, LLC otherCetera Investment Services LLC otherOtherJan 7, 2011Jan 17, 2012 (375 d)
William Eric EastburnCetera Advisor Networks LLC otherCetera Investment Services LLC otherOtherDec 10, 2010Dec 10, 2010
Adam Lee DeskinsCetera Advisor Networks LLC otherCetera Investment Services LLC otherOtherDec 10, 2010Dec 10, 2010
Deborah Ruth KrumwiedeCuso Financial Services, L.P. otherCetera Investment Services LLC otherOtherDec 2, 2010Dec 1, 2010
Cory James ThompsonArvest Wealth Management otherCetera Investment Services LLC otherOtherDec 2, 2010Dec 1, 2010
Justin Douglas HendersonCapital One Financial Advisors LLC unclassifiedCetera Investment Services LLC otherOtherDec 2, 2010Dec 1, 2010
Fred David AbajeloCuso Financial Services, L.P. otherCetera Investment Services LLC otherOtherDec 1, 2010Dec 1, 2010
Trevor Moore JohnsonCuso Financial Services, L.P. otherCetera Investment Services LLC otherOtherDec 1, 2010Nov 30, 2010
Justin Mark LevanetzAmeriprise Financial Services, LLC national BDCetera Investment Services LLC otherOtherNov 18, 2010Nov 23, 2010
Daniel BradaickChase Investment Services Corp. otherCetera Investment Services LLC otherOtherNov 1, 2010Jan 3, 2012 (428 d)
Mark EssenfeldAmeriprise Financial Services, LLC national BDCetera Investment Services LLC otherOtherOct 12, 2010Oct 15, 2010
Andrew Robert CoveRaymond James Financial Services Advisors, Inc otherCetera Investment Services LLC otherOtherOct 7, 2010Oct 5, 2010
Rod ChisholmCuna Brokerage Services, Inc. otherCetera Investment Services LLC otherOtherSep 22, 2010Sep 21, 2010
Rosemina HudaniCuna Brokerage Services, Inc. otherCetera Investment Services LLC otherOtherSep 22, 2010Sep 21, 2010
Carlos Hernan FonsecaCuna Brokerage Services, Inc. otherCetera Investment Services LLC otherOtherSep 22, 2010Sep 22, 2010
Toni Lynn RoseCuna Brokerage Services, Inc. otherCetera Investment Services LLC otherOtherSep 22, 2010Sep 21, 2010
Brandon Christopher WilliamsCuna Brokerage Services, Inc. otherCetera Investment Services LLC otherOtherSep 22, 2010Sep 21, 2010
Chun BaiChase Investment Services Corp. otherCetera Investment Services LLC otherOtherSep 8, 2010Mar 10, 2011 (183 d)
Paul ValerioPark Avenue Securities LLC otherCetera Investment Services LLC otherOtherJul 23, 2010May 17, 2012 (664 d)
Vanessa Leann CordellGreat American Advisors, Inc. otherCetera Investment Services LLC otherOtherJul 16, 2010Jul 16, 2010
Leah M. BartleyMorgan Stanley wirehouseCetera Investment Services LLC otherOtherJul 16, 2010Jun 21, 2012 (706 d)
David Melvin RindalD.A. Davidson & Co. otherCetera Investment Services LLC otherOtherJul 14, 2010Jul 9, 2010
Daniel Robert KerriganWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherJul 8, 2010Jul 6, 2010
Jeremy Michael DavisWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherJul 8, 2010Jul 6, 2010
Kurt Enoch ChaseJ P Turner & Company Capital Management, LLC otherCetera Investment Services LLC otherOtherJun 30, 2010Jun 7, 2010
Thomas Francis RitchiePnc Wealth Management otherCetera Investment Services LLC otherOtherJun 25, 2010Jul 15, 2010
Jeffrey Donald JanechekMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherJun 15, 2010Sep 18, 2013 (1191 d)
Joseph Robert CraneNew England Securities Corporation otherCetera Investment Services LLC otherOtherJun 4, 2010Jun 10, 2010
Linda E. MoranMorgan Stanley wirehouseCetera Investment Services LLC otherOtherJun 3, 2010May 21, 2010
Nicole Lauree Trottier-RogersTd Wealth Management Services Inc. unclassifiedCetera Investment Services LLC otherOtherMay 28, 2010Jun 2, 2011 (370 d)
Kristen Marie DunderCuso Financial Services, L.P. otherCetera Investment Services LLC otherOtherMay 21, 2010Jun 3, 2010
Darren Lee GraysonEquity Design Advisors, LLC unclassifiedCetera Investment Services LLC otherOtherMay 12, 2010Aug 4, 2010 (84 d)
Andrew Gerard StarostaJ. W. Cole Advisors, Inc. otherCetera Investment Services LLC otherOtherMay 11, 2010Nov 23, 2010 (196 d)
Jennelle Renee ChorakMorgan Stanley wirehouseCetera Investment Services LLC otherOtherMay 10, 2010Apr 23, 2010
Paul MozisCitizens Securities, Inc. otherCetera Investment Services LLC otherOtherApr 30, 2010Dec 6, 2011 (585 d)
Matthew Allen CyrTd Wealth Management Services Inc. unclassifiedCetera Investment Services LLC otherOtherApr 23, 2010May 4, 2010
Brian Richard ConnorsU.S. Bancorp Investments, Inc. otherCetera Investment Services LLC otherOtherApr 19, 2010Dec 9, 2010 (234 d)
Eric Christopher DubrocMorgan Keegan & Company, LLC otherCetera Investment Services LLC otherOtherApr 9, 2010Apr 22, 2010
Mark Daniel VanceLPL Financial LLC otherCetera Investment Services LLC otherOtherApr 5, 2010Apr 6, 2010
Darren Mark HowcroftTd Wealth Management Services Inc. unclassifiedCetera Investment Services LLC otherOtherFeb 18, 2010Mar 10, 2010
Steven Robert EnglishTd Wealth Management Services Inc. unclassifiedCetera Investment Services LLC otherOtherFeb 17, 2010Apr 7, 2010 (49 d)
Diana Beth BriegelUvest Financial Services Group, Inc. unclassifiedCetera Investment Services LLC otherOtherFeb 2, 2010Feb 2, 2010
Warren Geary MetzgerPnc Wealth Management otherCetera Investment Services LLC otherOtherJan 21, 2010Jan 27, 2010
Zebradee Isadore JacksonFifth Third Securities, Inc. otherCetera Investment Services LLC otherOtherJan 14, 2010Apr 14, 2010 (90 d)
Benjamin J MalickEdward Jones national BDCetera Investment Services LLC otherOtherJan 7, 2010Jan 20, 2010
Christopher David RankinFnb Brokerage Services, Inc. unclassifiedCetera Investment Services LLC otherOtherJan 5, 2010Feb 3, 2010
Julie Marie TapkeTapke Asset Management, LLC unclassifiedCetera Investment Services LLC otherOtherJan 4, 2010Feb 17, 2010 (44 d)
Terry Albert PasqualeVeritrust Financial, LLC otherCetera Investment Services LLC otherOtherDec 2, 2009Nov 29, 2011 (727 d)
Keith Kavell CarterMoney Concepts Advisory Service otherCetera Investment Services LLC otherOtherDec 2, 2009Dec 15, 2009
Alisha Marie NorrisThrivent Investment Management Inc. otherCetera Investment Services LLC otherOtherNov 27, 2009Oct 24, 2011 (696 d)
David Alan LanganMML Investors Services, LLC otherCetera Investment Services LLC otherOtherNov 24, 2009Jan 5, 2011 (407 d)
Brian Scott McclearyGlobal Portfolio Strategies, Inc. otherCetera Investment Services LLC otherOtherNov 11, 2009Oct 14, 2011 (702 d)
Gregory Edward SmythAmcore Investment Services, Inc unclassifiedCetera Investment Services LLC otherOtherNov 6, 2009Nov 2, 2009
Steve Ching Huang ChenMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherOct 29, 2009Oct 28, 2009
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527 moves match.