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 |
|---|---|---|---|---|---|
| Gregory Wade Gobble | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2020 | Mar 23, 2020 |
| Jason Michael Giordano | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2020 | Mar 6, 2020 |
| Tanner Bentley Bass | Arvest Wealth Management BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2020 | Feb 19, 2021 (352 d) |
| William R Davis | Swbc Investment Company independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 3, 2020 | Mar 2, 2020 |
| Kevin Brian Doyle | Capitol Securities Management, Inc. independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 2, 2020 | Feb 28, 2020 |
| John H Shank | Fifth Third Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2020 | Apr 20, 2020 (52 d) |
| Steven Gerard Wortmann | J.P. Morgan Securities LLC wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 13, 2020 | Mar 4, 2020 |
| John Anthony Johnson | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2020 | Jan 13, 2020 |
| Stephen Thomas Hadad | Pnc Wealth Management BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2020 | Feb 18, 2020 |
| Dino Berri | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2020 | Feb 20, 2020 |
| Andre Mangano | Aegis Capital Corp. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2020 | Feb 12, 2020 |
| Brian L Johnson | Simplicity Wealth no RAUM | Osaic Institutions, Inc. BD affiliated | Other | Jan 14, 2020 | Oct 22, 2020 (282 d) |
| Daniel John King | Citizens Private Wealth independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 3, 2020 | Nov 24, 2021 (691 d) |
| Gerhard Philip Schneider | Aegis Capital Corp. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 2, 2020 |
| Andrew Stephen Jankowiak | Bmo Harris Financial Advisors, Inc BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Mar 20, 2020 (80 d) |
| Linda Susan Puryear | Bb&T Securities, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2019 | May 20, 2020 (156 d) |
| Brian Kenneth Marois | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2019 | Dec 6, 2019 |
| Greg Scott | Raymond James Financial Services Advisors, Inc BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2019 | Dec 5, 2019 |
| Dustin Lee Barker | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2019 | Dec 2, 2019 |
| Sabina Anna Vegiard | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2019 | Jan 30, 2020 (66 d) |
| Murray Joseph Johnston | Feltl Advisors independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 18, 2019 | Nov 18, 2019 |
| Thomas Cole | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2019 | Dec 4, 2019 |
| John Michael Mousel | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2019 | Nov 1, 2019 |
| Steven Scott Smith | People'S United Advisors, Inc. mixed wealth | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 13, 2019 | Oct 25, 2019 |
| Michael Patrick Mitchell | Hantz Financial Services, Inc. independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 12, 2019 | Nov 3, 2021 (722 d) |
| Patrick Thomas Phalen | Momentum Independent Network Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2019 | Nov 1, 2019 |
| Christopher Matthew Parks | Momentum Independent Network Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2019 | Nov 1, 2019 |
| Clifton Douglas Hawkins | MML Investors Services, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2019 | Nov 1, 2019 |
| Lori Michelle Johnson | Momentum Independent Network Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2019 | Nov 1, 2019 |
| Amy Lynn Barnes | Momentum Independent Network Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2019 | Nov 1, 2019 |
| Matthew James Seigfreid | Waddell & Reed BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2019 | Jan 29, 2021 (464 d) |
| Cheri Watson | Morgan Stanley wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2019 | Nov 26, 2019 (40 d) |
| Xavier Jose Pol | Edward Jones national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 10, 2019 | Jul 30, 2025 (2120 d) |
| Rebecca Davis | Huntington Financial Advisors BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2019 | Dec 5, 2019 (59 d) |
| Debra Rae Martin | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2019 | Sep 9, 2019 |
| Scott Maxwell Frost | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2019 | Sep 9, 2019 |
| Mark Craig Simpson | Hancock Whitney Investment Services Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2019 | Aug 19, 2019 |
| Robert Fuller Reese | First Horizon Advisors, Inc mixed wealth | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 5, 2019 | Aug 12, 2019 |
| Brian Tuttle | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2019 | Jul 16, 2019 |
| Biren Patel | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2019 | Jul 1, 2019 |
| Sean Mitchell Sather | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 4, 2019 | Jun 6, 2019 |
| Richard Edward Labriola | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2019 | Nov 20, 2019 (174 d) |
| Mark Christopher Zacek | Raymond James Financial Services Advisors, Inc BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2019 | May 13, 2019 |
| Robert E Walker | Summit Financial Group Inc BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2019 | May 31, 2019 |
| David M Marks | Citigroup Global Markets Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2019 | May 2, 2019 |
| Dexter Keith Albrecht | Thrivent Investment Management Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2019 | May 28, 2019 |
| Adam Rean Bohlen | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 9, 2019 | Apr 22, 2019 |
| Lisa Marie Blevens | Td Ameritrade, Inc. no RAUM | Osaic Institutions, Inc. BD affiliated | Other | May 3, 2019 | May 14, 2019 |
| Zachary Michael Thomas | Equitable Advisors, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2019 | Apr 30, 2019 |
| Mark Stanley Cross-Powers | People'S United Advisors, Inc. mixed wealth | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 15, 2019 | Jun 10, 2019 (56 d) |
| Carol B Mayer | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2019 | Apr 17, 2019 |
| Randall Brian Monaghan | Stifel, Nicolaus & Company, Incorporated national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2019 | Apr 2, 2019 |
| Deandre James Bell | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2019 | Apr 18, 2019 |
| Silvano Roberto Vizoso | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 4, 2019 | Apr 10, 2019 |
| Michael Joseph O'Leary | Oppenheimer & Co. Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2019 | Apr 1, 2019 |
| Steven Patrick Willick | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 26, 2019 | May 14, 2019 (49 d) |
| Thomas W. Moran | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 15, 2019 | Mar 18, 2019 |
| Jessica Lynn Cafasso | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 15, 2019 | Mar 8, 2019 |
| Joshua Douglas Tallent | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 27, 2019 | Feb 13, 2019 |
| Alan J Hadad | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 14, 2019 | Sep 22, 2020 (586 d) |
807 moves match.