DFX Intelligence

RIA Intelligence

Advisor moves

Arrivals at Level Four Advisory Services

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
Steven John PotterWells Fargo Advisors wirehouseLevel Four Advisory Services otherOtherDec 6, 2010Jan 27, 2014 (1148 d)
James WarrenOsaic Fs, Inc. otherLevel Four Advisory Services otherOtherSep 7, 2010Sep 9, 2010
Gregory Steven MooreMwc Advisors, Lc unclassifiedLevel Four Advisory Services otherOtherJul 13, 2010May 10, 2010
Mark Wade DicksonMwc Advisors, Lc unclassifiedLevel Four Advisory Services otherOtherJul 13, 2010May 10, 2010
John Milner BryanRaymond James Financial Services Advisors, Inc otherLevel Four Advisory Services BD affiliatedOtherApr 23, 2010Dec 21, 2021 (4260 d)
Sherman J FernandesMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLevel Four Advisory Services otherOtherOct 22, 2009Jan 8, 2014 (1539 d)
John Dray SterlingSecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherSep 2, 2009Oct 11, 2005
Eric Kurt HiteMsi Financial Services, Inc. otherLevel Four Advisory Services otherOtherJul 21, 2009Apr 29, 2010 (282 d)
Brian William ThomasRaymond James & Associates, Inc. national BDLevel Four Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJul 15, 2009Dec 21, 2021 (4542 d)
Damon Andrew PiersonWoodbury Financial Services, Inc. otherLevel Four Advisory Services otherOtherMay 29, 2009Jun 12, 2009
Lucien Eugene CraigZacks Investment Management, Inc. otherLevel Four Advisory Services otherOtherApr 2, 2009Apr 9, 2009
Barry Keith MaloneOsaic Fs, Inc. otherLevel Four Advisory Services otherOtherFeb 6, 2009Jan 5, 2009
Brian Richard ClauerAmeriprise Advisor Services, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherAug 13, 2008Mar 5, 2021 (4587 d)
David Barnett ByrnesMutual Service Corporation unclassifiedLevel Four Advisory Services otherOtherAug 7, 2008Aug 5, 2008
Kevin Donald GrantSecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherJul 7, 2008Jul 3, 2008
Ben G PierceEdward Jones national BDLevel Four Advisory Services otherOtherJul 2, 2008Jun 25, 2008
Chad Jeffrey PerryPrincipal Securities, Inc. otherLevel Four Advisory Services otherOtherJun 17, 2008Jun 12, 2008
Jeffrey SheatsAmeriprise Advisor Services, Inc. unclassifiedLevel Four Advisory Services otherOtherMar 14, 2008Mar 14, 2008
Jeffrey Allen GumpAmeriprise Advisor Services, Inc. unclassifiedLevel Four Advisory Services otherOtherMar 14, 2008Mar 14, 2008
Louis Charles BrunoRaymond James Financial Services, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherDec 31, 2007Dec 21, 2021 (5104 d)
David Robert NeubranderRaymond James Financial Services, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherNov 12, 2007Dec 21, 2021 (5153 d)
Edward George HarrisBanc Of America Investment Services, Inc. unclassifiedLevel Four Advisory Services otherOtherOct 17, 2007Jul 29, 2014 (2477 d)
Darren Collier McneelyRaymond James Financial Services, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherOct 15, 2007Dec 21, 2021 (5181 d)
Leslie Edward GarrettRaymond James Financial Services, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherOct 2, 2007Dec 21, 2021 (5194 d)
Eric Justin ReidRaymond James Financial Services, Inc. unclassifiedLevel Four Advisory Services otherOtherSep 27, 2007Nov 19, 2007 (53 d)
Joe HallA. G. Edwards & Sons, Inc. unclassifiedLevel Four Advisory Services otherOtherJun 25, 2007Jan 16, 2014 (2397 d)
John Lemuel JohnsonRaymond James Financial Services, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherJun 6, 2007May 20, 2021 (5097 d)
Gregory Thomas WilliamsRaymond James Financial Services, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherFeb 21, 2007Dec 21, 2021 (5417 d)
Jason Doyle FletcherBanc Of America Investment Services, Inc. unclassifiedLevel Four Advisory Services otherOtherNov 30, 2006Apr 16, 2015 (3059 d)
Richard Perdue Mc CoyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseLevel Four Advisory Services BD affiliatedWirehouse to affiliated broker-dealer or bankOct 2, 2006Dec 21, 2021 (5559 d)
Richard Michael TretaPruco Securities, LLC otherLevel Four Advisory Services otherOtherJul 21, 2006Aug 17, 2006
Clarence BarneySecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherFeb 4, 2006Feb 1, 2006
Kathryn Bridget SchneiderSecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherFeb 4, 2006Feb 1, 2006
Joseph SolomonSecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherDec 31, 2005Jan 4, 2006
Melvyn Leroy VarrelmanSecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherDec 31, 2005Jan 26, 2006
John William StovallSecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherDec 31, 2005Jan 3, 2006
Matthew Sean ShermanSecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherDec 31, 2005Jan 3, 2006
Peter Grenville MagnusonRaymond James Financial Services, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherAug 11, 2005Dec 21, 2021 (5976 d)
Joseph Wayne GlobenskySecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherJul 15, 2005Jul 12, 2005
Conrad E CookMorgan Stanley Dw Inc. unclassifiedLevel Four Advisory Services otherOtherFeb 22, 2005Jan 3, 2017 (4333 d)
Robert Stephen KalamanColumbia Management Advisors, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherJan 18, 2005Jan 9, 2024 (6930 d)
John Frederick NashMai Corporation unclassifiedLevel Four Advisory Services BD affiliatedOtherJun 16, 2004Jan 9, 2026 (7877 d)
Kevin Bradley AdkinsPan-American Investment Advisers, Inc. unclassifiedLevel Four Advisory Services BD affiliatedOtherApr 16, 2004Dec 21, 2021 (6458 d)
Darryn David PopeSecurities America Advisors, Inc. otherLevel Four Advisory Services otherOtherDec 31, 2003Jul 12, 2005 (559 d)
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284 moves match.