DFX Intelligence
Advisor moves
Arrivals at U.S. Bancorp Investments, Inc.What a move isA 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.
1,473 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Jordan Steven-Keith Dalton | Principal Securities, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2022 | May 9, 2022 |
| Thane Jordan Blosser | LPL Financial LLC independent RIA | U.S. Bancorp Investments, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 20, 2022 | Apr 29, 2022 |
| Kyle James Tate | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 19, 2022 | May 2, 2022 |
| Aileen Joy Domine Malig | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 18, 2022 | Apr 19, 2022 |
| Casey William Shaw | Stratos Wealth Partners, Ltd BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2022 | Mar 22, 2022 |
| Jason Lee Rennecker | Pruco Securities, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2022 | May 3, 2022 |
| Timothy Dj Roche | Tcfg Investment Advisors, LLC independent RIA | U.S. Bancorp Investments, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 28, 2022 | Mar 10, 2022 |
| Vicente Eduardo Contreras | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 24, 2022 | Apr 15, 2022 |
| Breeanna Catherine Wolford | Pnc Wealth Management BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2022 | Mar 24, 2022 |
| Joseph Huckleby | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 16, 2022 | Mar 14, 2022 |
| Leanna Ruth Naffziger | Cantella & Co., Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2022 | Aug 8, 2022 (157 d) |
| Alexander Scott Warzecha | Midwest Financial Partners independent RIA | U.S. Bancorp Investments, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 1, 2022 | Oct 3, 2023 (581 d) |
| Clayton Wayne Reed | Edward Jones national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2022 | Feb 28, 2022 |
| Ema Brari | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 9, 2022 | Feb 8, 2022 |
| Laura Schwendinger Rosser | MML Investors Services, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2022 | Jan 31, 2022 |
| Adam Lundy | Huntington Financial Advisors BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2022 | Jan 14, 2022 |
| Mahmoud Ishaq Bah | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 18, 2022 | Jan 13, 2022 |
| Cristian Patrick Spence | Bancwest Investment Services, Inc. (Bwis) BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2022 | Jan 10, 2022 |
| Michael H Gibbons | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 12, 2022 | Jan 10, 2022 |
| Michael Cong Truong | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 11, 2022 | Jan 14, 2022 |
| Matthew Dal Porto Sain | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 11, 2022 | Feb 8, 2022 |
| Kyle Joseph Hartley | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 11, 2022 | Jan 20, 2022 |
| Ryan Kevin Gonzales | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 4, 2022 | Mar 31, 2022 (86 d) |
| Quang Le Anh Nguyen | Citigroup Global Markets Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2022 | Feb 15, 2022 (42 d) |
| Mehmet Gulisik | Fifth Third Securities, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2022 | Dec 20, 2021 |
| Bradley John Mock | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 2, 2022 | Jan 18, 2022 |
| Lisa Renee Kopis | Stifel, Nicolaus & Company, Incorporated national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2021 | Jul 20, 2022 (215 d) |
| Lance Ervin Boettcher | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 15, 2021 | Dec 23, 2021 |
| Juan Galaviz | Citigroup Global Markets Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2021 | Dec 14, 2021 |
| Brandon Marcus Daniels | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 10, 2021 | Dec 23, 2021 |
| Lucas Dale Rogers | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 7, 2021 | Dec 8, 2021 |
| Siara Charrel Montgomery | Stifel, Nicolaus & Company, Incorporated national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2021 | Jan 3, 2022 (31 d) |
| Thomas Hoy | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 30, 2021 | Dec 1, 2021 |
| Christopher Donald Small | LPL Financial LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 24, 2021 | Nov 10, 2021 |
| Jonathan Matthew Rafferty | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 23, 2021 | Nov 30, 2021 |
| Nidaa Petros Kalasho | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 17, 2021 | Dec 13, 2021 |
| Lauren Brooke Dyer | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 17, 2021 | Nov 8, 2021 |
| Charles Edward Maeyaert | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 17, 2021 | Dec 21, 2021 (34 d) |
| Xiaodong Miao | Hsbc Securities (USA) Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2021 | Nov 23, 2021 |
| James Stuart Linderer | Northwestern Mutual Investment Services,LLC no RAUM | U.S. Bancorp Investments, Inc. BD affiliated | Other | Nov 8, 2021 | Nov 10, 2021 |
| Jeff Scott Richman | Pnc Wealth Management BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2021 | Nov 8, 2021 |
| Daniel Christian Barrett Lund | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 28, 2021 | Dec 14, 2021 (47 d) |
| James Eugene Ely | Wedbush Securities Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2021 | Oct 27, 2021 |
| Jerad Allen Buckingham | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 21, 2021 | Oct 15, 2021 |
| John Edward Fetrow | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 19, 2021 | Oct 19, 2021 |
| Mustafa Baghshi | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 14, 2021 | Dec 21, 2021 (68 d) |
| Andrew Joe Bekius | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 13, 2021 | Oct 12, 2021 |
| Muamer Maksumic | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 12, 2021 | Oct 4, 2021 |
| Darin Eugene Mcleish | Comerica Securities bank affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Other | Oct 7, 2021 | Oct 6, 2021 |
| David Andrew Paul | Cuna Brokerage Services, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2021 | Dec 21, 2021 (77 d) |
| Nestor Lemus | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 29, 2021 | Nov 4, 2021 (36 d) |
| Sheryl Kim Devoss | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 16, 2021 | Sep 14, 2021 |
| John M Tanner | Raymond James & Associates, Inc. national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2021 | Aug 25, 2021 |
| Natasha Alana Miller | Bancwest Investment Services, Inc. (Bwis) BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2021 | Aug 31, 2021 |
| John Connor Lafavre | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 9, 2021 | Dec 14, 2023 (826 d) |
| Brandon G Morrell | Cadaret Grant & Co Inc BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2021 | Sep 8, 2021 |
| Ruel Lamberto Cabarles | Cetera Investment Advisers LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2021 | Jun 26, 2023 (664 d) |
| Richard Thomas Ferguson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 30, 2021 | Sep 8, 2021 |
| Christina Marie Johnson | Pnc Managed Account Solutions, Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2021 | Nov 9, 2021 (78 d) |
| Lenin Ibarra | Transamerica Retirement Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2021 | Aug 30, 2021 |