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 |
|---|---|---|---|---|---|
| John Stephen Pronovost | Cambridge Investment Research Advisors, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2022 | Feb 26, 2021 |
| Brittany Nicole Squires | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2022 | Jan 10, 2022 |
| Brentley Elliott Priddy | Truist Advisory Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2022 | Jun 1, 2022 (149 d) |
| Norman Winston Watters | Truist Advisory Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2021 | Feb 24, 2022 (65 d) |
| Justin Sean Perri | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 20, 2021 | Jan 19, 2022 |
| Jeffrey Bruce Schneider | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2021 | Dec 6, 2021 |
| Roger Henry Weismiller | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2021 | Feb 3, 2022 (69 d) |
| Brian Nichols Mann | Morton Wealth independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 24, 2021 | Jan 2, 2026 (1500 d) |
| Nathalie Ann Moss | MML Investors Services, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2021 | Jan 5, 2022 (47 d) |
| William Gerard Skinner | Destra Capital Advisors LLC asset manager | Osaic Institutions, Inc. BD affiliated | Other | Nov 16, 2021 | Dec 23, 2021 (37 d) |
| Roger Dean Heidlebaugh | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2021 | Nov 18, 2021 |
| Nahid Karim Karimjee | Cuso Financial Services, L.P. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2021 | Nov 1, 2021 |
| Paul Ryan Lorenz | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2021 | Jun 26, 2023 (609 d) |
| Sean C Nicol | Osaic Wealth, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2021 | Nov 19, 2021 (42 d) |
| Corbin Couture | Securities America Advisors, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2021 | Oct 7, 2021 |
| Christopher D. Woodhouse | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2021 | Aug 23, 2021 |
| Cosmin Elijah Majors | Concourse Financial Group Advisors BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2021 | Aug 3, 2021 |
| James A Henriquez | Kovack Advisors, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2021 | Oct 18, 2021 (56 d) |
| Michael Hakoun | Td Private Client Wealth LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2021 | Mar 15, 2022 (230 d) |
| Claudio Mario Mastroianni | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2021 | Jul 26, 2021 |
| Anna Rae Larson | Thrivent Investment Management Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2021 | Jul 22, 2021 |
| Marci R Wilson | Hancock Whitney Investment Services Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2021 | Aug 13, 2021 (45 d) |
| Eric Lawrence Phelps | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2021 | Jun 21, 2021 |
| Mark Henning Anderson | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2021 | Jul 22, 2021 (31 d) |
| Christopher Matthew Tracy | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 7, 2021 | Aug 2, 2021 (56 d) |
| Darrin Adrian Andrews | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2021 | Jun 8, 2021 |
| Thomas Francis Russell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 4, 2021 | Jul 8, 2021 (34 d) |
| Kevin Gerard Smith | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2021 | Jun 28, 2021 |
| Toni Ann Ciampaglione | Commonwealth Financial Network national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2021 | Jun 1, 2021 |
| Litao Mai | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2021 | Apr 16, 2021 |
| Carlos Manuel Chapa | Cresta Advisors independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 14, 2021 | Apr 23, 2021 |
| Aaron Roman | Equitable Advisors, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2021 | Mar 29, 2021 |
| Cynthia Joy Rogers | Huntington Financial Advisors BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2021 | May 4, 2021 |
| John P Atkins | Cambridge Investment Research Advisors, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2021 | Feb 26, 2021 |
| Brett Alan Rand | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2021 | Jan 19, 2021 |
| Richard Edward Bergeron | Commonwealth Financial Network national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Jan 12, 2021 |
| Steven Dale Gabriel | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Mar 6, 2024 (1161 d) |
| Brent Merle Weisenborn | Bks Investment Services, Inc. unclassified | Osaic Institutions, Inc. BD affiliated | Other | Dec 11, 2020 | Mar 24, 2020 |
| Christopher Paul Mara | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2020 | Dec 8, 2020 |
| Brennan Vincent Krengel | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 23, 2020 | Dec 7, 2020 |
| Kenneth Edward Arnesen | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 16, 2020 | Oct 30, 2020 |
| Tracy Neal Adams | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2020 | Oct 23, 2020 |
| Jean S Mcmullin | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 21, 2020 | Oct 26, 2020 |
| Peter James Klarides | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Nov 4, 2020 |
| Stephen Thomas Snow | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 6, 2020 | Oct 1, 2020 |
| Joseph S Culotta | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2020 | Sep 3, 2020 |
| Mark A Lane | Cuna Brokerage Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2020 | Aug 27, 2020 |
| Jonathan Michael Vargo | Wolff Financial Management LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 6, 2020 | Aug 20, 2020 |
| Richard Michael Waters | Ameriprise Financial Services, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2020 | Aug 13, 2020 |
| Donald John Bellefy | Spc BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2020 | Jul 28, 2026 (2189 d) |
| Patricia Beacham Respess | Bb&T Securities, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2020 | Jul 21, 2020 |
| Daniel Albert Marnik | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2020 | Jul 28, 2020 |
| Jose Carlos Da Silva | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2020 | Jan 21, 2021 (210 d) |
| James Andrew Hotchkiss | Raymond James Financial Services Advisors, Inc BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2020 | Aug 6, 2020 (43 d) |
| Michael Patrick Kushch | Hsbc Securities (USA) Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Sep 21, 2020 (108 d) |
| Paige Ratliff | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2020 | Aug 16, 2022 (804 d) |
| William Marcus Ebhardt | First Command Advisory Services BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2020 | Feb 8, 2021 (270 d) |
| Steven Paul Boatner | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2020 | May 4, 2020 |
| Deanna Wilson Smith | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2020 | May 4, 2020 |
| Luke Green Voigt | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2020 | May 4, 2020 |
807 moves match.