DFX Intelligence
Advisor moves
Arrivals at Osaic Institutions, 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 |
|---|---|---|---|---|---|
| David Joseph James | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2023 | Apr 25, 2023 |
| Kyle Taramelli Bartholomay | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2023 | Jan 30, 2026 (1029 d) |
| Stephen Richard Soper | Wright Investors Service Inc other | Osaic Institutions, Inc. BD affiliated | Other | Apr 6, 2023 | Jul 11, 2023 (96 d) |
| Jerry Celentano | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2023 | Apr 17, 2023 |
| Daniel Seghi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 3, 2023 | Apr 3, 2023 |
| Martin James Mangialardi | Cuna Brokerage Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2023 | May 8, 2026 (1135 d) |
| Josiah Lee Quick | Fidelity Personal And Workplace Advisors BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2023 | May 30, 2023 (67 d) |
| Cynthia L Rich | Madison Avenue Securities, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2023 | Mar 16, 2023 |
| Antonio Piccolino | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 2, 2023 | Feb 27, 2023 |
| Ryan Scott Thompson | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2023 | Mar 6, 2023 |
| Andranik Hayotsyan | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 24, 2023 | Feb 13, 2023 |
| Joseph E Shea | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 17, 2023 | Feb 7, 2023 |
| Kenneth J Mitchell | Valic Financial Advisors, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2023 | Feb 21, 2023 |
| Adrian Anthony Andreotta | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 13, 2023 | Jan 27, 2023 |
| Christopher Michael Reaume | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 2, 2023 | Jan 23, 2023 |
| Charles Alan Chambers | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 31, 2023 | Feb 1, 2023 |
| Robert Thomas Boon | Mascoma Wealth Management independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 12, 2023 | Aug 27, 2024 (593 d) |
| Steve R Palmer | Securities America Advisors, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2023 | Feb 8, 2023 |
| Alexander Merrill | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2022 | Jul 18, 2024 (576 d) |
| Julie L Clementi | Valley National Advisers Inc independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 14, 2022 | Jan 3, 2023 |
| Gregory Caldwell Reid | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2022 | Dec 5, 2022 |
| Raymond Cecil Shoup | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2022 | Dec 8, 2022 |
| Trevor Prakash Mathew | Thrivent Investment Management Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2022 | Dec 13, 2022 (34 d) |
| Nicholas Thomas Poulos | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Oct 3, 2022 |
| Jeffrey Scott Krall | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Oct 3, 2022 |
| Jeffrey Thomas Bone | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Oct 12, 2022 |
| Ling Mao | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2022 | Sep 19, 2022 |
| William Dillon Fogarty | MML Investors Services, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2022 | Oct 7, 2022 |
| Kambiz Saadat | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 20, 2022 | Sep 19, 2022 |
| Peter Levine | J.P. Morgan Securities LLC wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 18, 2022 | Sep 22, 2022 |
| Chung Yueh Lin | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2022 | Sep 22, 2022 |
| Jean Maria Delbuono | Charles Schwab & Co., Inc. national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2022 | Aug 10, 2022 |
| Kathleen Florence Leclair | Td Private Client Wealth LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2022 | Jul 19, 2024 (700 d) |
| Dwight Dai Lee | Woodbury Financial Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 3, 2022 | Aug 1, 2022 |
| Matthew David Belfanti | Choreo, LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 3, 2022 | Sep 8, 2022 (36 d) |
| Chad Ryan Miles | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2022 | Aug 11, 2022 |
| Dennis John Keyser | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 18, 2022 | Oct 31, 2022 (105 d) |
| Richard Kenneth Wiethorn | First Horizon Advisors, Inc mixed wealth | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 14, 2022 | Jul 6, 2022 |
| Ross Antonio Deluca | Equitable Advisors, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2022 | Jul 7, 2022 |
| Douglas Busken | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2022 | Sep 19, 2022 (83 d) |
| Amy Buck | B.A. Roberts Financial Services, Inc. independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 14, 2022 | Aug 5, 2022 (52 d) |
| Thomas Joseph Mcaneny | Pnc Wealth Management BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2022 | Jun 8, 2022 |
| Adam Batchelor | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 25, 2022 | Oct 27, 2022 (155 d) |
| Malcolm Glenn Roane | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 18, 2022 | May 4, 2022 |
| Adam Joseph Wass | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 18, 2022 | May 4, 2022 |
| Robert Nieto | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 18, 2022 | May 4, 2022 |
| George Thomas Avila | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 18, 2022 | May 4, 2022 |
| Heather G. Blake | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 18, 2022 | Jan 2, 2026 (1325 d) |
| James Alexander Mollison | Pruco Securities, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2022 | May 6, 2022 |
| Dennis Leroy Mollison | Cuna Brokerage Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2022 | May 3, 2022 |
| Monica Sashil Chandra | Cuna Brokerage Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2022 | May 3, 2022 |
| Farhad Sediqi | Cuna Brokerage Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2022 | May 3, 2022 |
| Stephen Michael Volpe | Osaic Wealth, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2022 | May 2, 2022 |
| Owen Garth Van Syckle | Eagle Strategies LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2022 | Jul 13, 2022 (71 d) |
| Janet Mendez | Cuna Brokerage Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2022 | Sep 1, 2022 (133 d) |
| Giuseppe Faro Leone | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2022 | May 13, 2022 (64 d) |
| Luke Banks | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 1, 2022 | Nov 3, 2022 (247 d) |
| Michael Christopher Oakley | Citigroup Global Markets Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Apr 11, 2022 (52 d) |
| Yi-Ling Chen | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Feb 7, 2022 |
| Jason William Persinger | Cuna Brokerage Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2022 | Jun 28, 2023 (510 d) |
807 moves match.