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 Santander Securities

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
Nicholas Sean DuelferAmeriprise Financial Services, LLC national BDSantander Securities otherOtherAug 31, 2016Oct 26, 2016 (56 d)
Christian GinolfiVsr Advisory Services otherSantander Securities otherOtherAug 30, 2016Feb 6, 2017 (160 d)
Sarah O'Neill WhiteGupta Wealth Management, LLC otherSantander Securities otherOtherAug 12, 2016Aug 8, 2016
Robert R ValleeInvestors Capital Advisory otherSantander Securities otherOtherAug 3, 2016Aug 8, 2016
William James O'NeilUsaa Financial Planning Services no RAUMSantander Securities otherOtherJul 29, 2016Jan 11, 2017 (166 d)
Jeffrey Scott SilvieusMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSantander Securities otherOtherJul 20, 2016Jan 4, 2017 (168 d)
Thomas E HobinMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSantander Securities otherOtherJun 21, 2016Jul 5, 2016
Cassandra Wendy AlleyneStifel, Nicolaus & Company, Incorporated national BDSantander Securities otherOtherJun 14, 2016Jun 21, 2016
Meghavi Damani RoseanJ.P. Morgan Securities LLC wirehouseSantander Securities otherOtherJun 13, 2016Aug 16, 2016 (64 d)
Mark Edward ReadSignator Investors, Inc. otherSantander Securities otherOtherJun 10, 2016Sep 27, 2016 (109 d)
Michael Anthony PuglieseCuso Financial Services, L.P. otherSantander Securities otherOtherJun 9, 2016Jul 5, 2016
Richard Louis TrottaStonex Advisors Inc. otherSantander Securities otherOtherJun 7, 2016May 31, 2016
Andrew Pascal AmenyUBS Financial Services Inc. wirehouseSantander Securities otherOtherMay 11, 2016Jun 19, 2017 (404 d)
Frank Frederick LoriaCitizens Securities, Inc. otherSantander Securities otherOtherMay 9, 2016May 31, 2016
James Patrick FlynnCuso Financial Services, L.P. otherSantander Securities otherOtherMay 3, 2016May 17, 2016
Alfred B FarrellMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSantander Securities otherOtherApr 7, 2016May 12, 2016 (35 d)
Michael Richard TormeyPark Avenue Securities LLC otherSantander Securities otherOtherMar 30, 2016Mar 28, 2016
Carl W LitschMorgan Stanley wirehouseSantander Securities otherOtherMar 28, 2016Mar 22, 2016
William F KelseyHsbc Securities (USA) Inc. otherSantander Securities otherOtherMar 2, 2016Mar 8, 2016
Gary GeraciMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSantander Securities otherOtherFeb 16, 2016Jun 9, 2016 (114 d)
James H MooneyVoya Financial Advisors, Inc. otherSantander Securities otherOtherFeb 3, 2016Feb 10, 2016
Christopher Lee VazquezLPL Financial LLC otherSantander Securities otherOtherFeb 1, 2016Feb 10, 2016
Jesus Ernesto Corao GumaCitigroup Global Markets Inc. otherSantander Securities otherOtherJan 28, 2016Sep 28, 2017 (609 d)
Lori Susan DuquetteCitizens Securities, Inc. otherSantander Securities otherOtherJan 21, 2016Feb 12, 2016
Michael John DunleavyInvest Financial Corporation otherSantander Securities otherOtherJan 6, 2016Jan 21, 2016
Thomas KimInvest Financial Corporation otherSantander Securities otherOtherDec 28, 2015Jan 21, 2016
Heather Lee HerseyCitizens Securities, Inc. otherSantander Securities otherOtherNov 24, 2015Dec 11, 2015
Manuel Alfredo DuplatAmerant Investments, Inc. otherSantander Securities otherOtherOct 23, 2015Dec 22, 2016 (426 d)
John Michael ClarkCommonwealth Financial Network national BDSantander Securities otherOtherSep 28, 2015Nov 2, 2015 (35 d)
Jason PettinelliMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSantander Securities otherOtherSep 24, 2015Oct 5, 2015
Randy Edward BallCitizens Securities, Inc. otherSantander Securities otherOtherSep 23, 2015Nov 5, 2015 (43 d)
Douglas A DrehwingHsbc Securities (USA) Inc. otherSantander Securities otherOtherSep 17, 2015Sep 23, 2015
Terence William TinkhamCitizens Securities, Inc. otherSantander Securities otherOtherSep 10, 2015Sep 22, 2015
Maximillian ChernavskyHsbc Securities (USA) Inc. otherSantander Securities otherOtherSep 10, 2015Oct 3, 2016 (389 d)
Paul Richard VegiardOsaic Institutions, Inc. otherSantander Securities otherOtherSep 8, 2015Mar 31, 2016 (205 d)
Sean Patrick RocheWells Fargo Advisors wirehouseSantander Securities otherOtherSep 3, 2015Sep 11, 2015
Joseph Anthony ManganoHsbc Securities (USA) Inc. otherSantander Securities otherOtherAug 31, 2015Sep 9, 2015
John Ryan HalloranMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSantander Securities otherOtherAug 20, 2015Sep 15, 2015
Patrick Stephen MullenCitizens Securities, Inc. otherSantander Securities otherOtherAug 13, 2015Sep 8, 2015
Irene TagarelliLPL Financial LLC otherSantander Securities otherOtherJul 22, 2015Jul 31, 2015
Brian Robert GaumontCitizens Securities, Inc. otherSantander Securities otherOtherJul 13, 2015Jul 28, 2015
Derek LairdJ.P. Morgan Securities LLC wirehouseSantander Securities otherOtherJul 9, 2015Sep 11, 2015 (64 d)
Steven Edward PonteInvestors Capital Advisory otherSantander Securities otherOtherJul 2, 2015Aug 18, 2015 (47 d)
Paul Richard DuquetteOsaic Institutions, Inc. otherSantander Securities otherOtherJun 30, 2015Sep 22, 2015 (84 d)
David ChanM&T Securities, Inc. unclassifiedSantander Securities otherOtherJun 26, 2015Aug 7, 2015 (42 d)
James BagliniOsaic Institutions, Inc. otherSantander Securities otherOtherJun 19, 2015Jun 26, 2015
Scott Richard SolodSignator Investors, Inc. otherSantander Securities otherOtherMay 27, 2015Jun 8, 2015
Seth BerkowitzMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSantander Securities otherOtherMay 27, 2015Jun 15, 2015
Mark Lawrence TunkelCapital One Advisors, LLC no RAUMSantander Securities otherOtherMay 4, 2015May 15, 2015
Agustin AcostaJ.P. Morgan Securities LLC wirehouseSantander Securities otherOtherFeb 18, 2015Mar 12, 2015
Alan David JacobsonM&T Securities, Inc. unclassifiedSantander Securities otherOtherFeb 12, 2015Feb 26, 2015
Dana R HolmesCitizens Securities, Inc. otherSantander Securities otherOtherFeb 6, 2015Mar 2, 2015
Vincent Paul GrimaldiInvestors Capital Advisory otherSantander Securities otherOtherFeb 5, 2015Feb 24, 2015
Joseph Nathan MarkimSignator Investors, Inc. otherSantander Securities otherOtherFeb 4, 2015Feb 13, 2015
Matt Francis BreunigCapital One Financial Advisors LLC unclassifiedSantander Securities otherOtherJan 23, 2015Feb 5, 2015
Peter David DubinHsbc Securities (USA) Inc. otherSantander Securities otherOtherJan 21, 2015Feb 5, 2015
Barbara Taylor-HatjeVoya Financial Advisors, Inc. otherSantander Securities otherOtherDec 31, 2014Feb 6, 2015 (37 d)
John LombardiMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSantander Securities otherOtherDec 5, 2014Dec 15, 2014
Joseph Michael PhillipsCitizens Securities, Inc. otherSantander Securities otherOtherNov 24, 2014Dec 15, 2014
Chris TalpasCuna Brokerage Services, Inc. otherSantander Securities otherOtherNov 24, 2014Dec 9, 2014
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417 moves match.