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 |
|---|---|---|---|---|---|
| Philip Thomas Springirth | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 11, 2019 | Feb 5, 2019 |
| Christopher Reed | Girard Advisory Services, LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 5, 2019 | Jan 31, 2024 (1821 d) |
| James Duane Bish | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2019 | Feb 8, 2019 |
| Melissa Godwin Scott | First Citizens Investor Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2019 | Feb 4, 2019 |
| Antonio J Esteves | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2019 | Jan 17, 2019 |
| Angelo N. Piccolo | Citigroup Global Markets Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2019 | Dec 10, 2018 |
| Stanton G Shields | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 3, 2019 | Feb 7, 2019 (35 d) |
| Mark Raymond Vida | Investmark Advisory Group LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2019 | Jan 7, 2019 |
| Brian James Coleman | Planmember Securities Corporation independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2019 | Jan 11, 2019 |
| Daniel Seghi | Citigroup Global Markets Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 27, 2018 | Dec 5, 2018 |
| Scott Andrew Fraser | Raymond James Financial Services Advisors, Inc BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2018 | Jan 3, 2019 |
| Cristine Joan Furey | Cuso Financial Services, L.P. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2018 | Dec 13, 2018 |
| Benard Kyule Weibel | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 4, 2018 | Jan 25, 2019 (52 d) |
| Nathaniel Ross Barkley | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2018 | Dec 7, 2018 |
| Danielle Marie Thompson | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2018 | Dec 21, 2018 |
| Nathan D Schmiege | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2018 | Dec 21, 2018 |
| Michael Osborne Jenkins | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2018 | Feb 1, 2019 (60 d) |
| Marrisa Michelle Taylor | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2018 | Dec 18, 2018 |
| Rebecca Chartier | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2018 | Dec 19, 2018 |
| William Tyler Rondeau | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2018 | Jan 7, 2019 (35 d) |
| Derek James Sebastian | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2018 | Jan 8, 2019 (36 d) |
| Brianna Marie Gooden | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2018 | Jan 2, 2019 |
| Rusty Randolph Odle | Pnc Wealth Management BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2018 | Dec 19, 2022 (1489 d) |
| Christopher Russell Perkins | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 12, 2018 | Jan 8, 2019 (57 d) |
| Julie Anne Bramlitt | Cetera Investment Advisers LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2018 | Jan 3, 2019 (64 d) |
| Steven Michael Milligan | Brookstone Wealth Advisors, LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 29, 2018 | Aug 14, 2018 |
| Brandy Sue Mohan | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2018 | Nov 7, 2018 |
| Aaron Leo Schettler | Primerica Advisors national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2018 | Oct 20, 2018 |
| Dennis John Keyser | M&T Securities, Inc. unclassified | Osaic Institutions, Inc. BD affiliated | Other | Oct 17, 2018 | Oct 2, 2018 |
| Chi Mak | J.P. Morgan Securities LLC wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 12, 2018 | Oct 5, 2018 |
| Grant William De Vries | Investment Advisors Corp BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2018 | Oct 11, 2018 |
| David James Jarvill | Investment Advisors Corp BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2018 | Oct 11, 2018 |
| James Ronald Welch | Cuna Brokerage Services, Inc. mixed wealth | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 2, 2018 | Oct 9, 2018 |
| John Stewart Freeman | Raymond James Financial Services Advisors, Inc BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2018 | Nov 1, 2018 (48 d) |
| Kimberly Sue Tinholt | Investment Professionals, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2018 | Sep 11, 2018 |
| Jaime Lynn Wynsma | Investment Professionals, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2018 | Sep 11, 2018 |
| Benjamin David Giese | MML Investors Services, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2018 | Sep 7, 2018 |
| Samuel Campbell Watson | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2018 | Sep 12, 2018 |
| Jared Colin Correa Petrizzi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 31, 2018 | Sep 7, 2018 |
| Luis Justo Gonzalez | Investment Professionals, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2018 | Aug 27, 2018 |
| Scott Douglas Samuels | Spartan Capital Private Wealth Management LLC state registered | Osaic Institutions, Inc. BD affiliated | Other | Aug 24, 2018 | Sep 5, 2018 |
| William Charles Brooks | Capital Guardian Wealth Management, LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 13, 2018 | Aug 15, 2019 (398 d) |
| Zenaida Buenaventura Orduna | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 11, 2018 | Jul 24, 2018 |
| Jonathan Edward Fonash | Capital One Advisors, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2018 | Jul 2, 2018 |
| Paul Richard Vegiard | Santander Securities BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2018 | Jun 4, 2018 |
| David Foad | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 31, 2018 | Jun 4, 2018 |
| Christopher Riofrio | J.P. Morgan Securities LLC wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 15, 2018 | May 15, 2018 |
| John Joseph Erny | LPL Financial LLC independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 9, 2018 | May 2, 2018 |
| Henry Manuel Nunez | Capital One Advisors, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2018 | Jan 10, 2019 (252 d) |
| Marc R Maddox | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2018 | May 1, 2018 |
| Joseph Sipala | Symmetry Partners independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 11, 2018 | Apr 30, 2018 |
| Shawn Amblod | Bb&T Securities, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2018 | Jun 18, 2018 (73 d) |
| Angela Catherine Weber Moffat | Key Investment Services LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2018 | Apr 16, 2018 |
| Michael Joseph Jennings | LPL Financial LLC independent RIA | Osaic Institutions, Inc. other | Other | Apr 5, 2018 | Mar 14, 2018 |
| Charles Joseph Abboud | LPL Financial LLC independent RIA | Osaic Institutions, Inc. other | Other | Mar 29, 2018 | Mar 15, 2018 |
| Albert Andrew Smith | Santander Securities other | Osaic Institutions, Inc. other | Other | Mar 15, 2018 | Mar 26, 2018 |
| Thomas Christopher Lloyd | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 13, 2018 | Mar 19, 2024 (2198 d) |
| Reid Jonathan Soberman | Capital Analysts other | Osaic Institutions, Inc. other | Other | Mar 13, 2018 | Mar 19, 2018 |
| Renata I Schindler | Citizens Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2018 | Feb 11, 2020 (708 d) |
| Kelly Mieloch Sparks | Truist Advisory Services, Inc. other | Osaic Institutions, Inc. other | Other | Mar 2, 2018 | Mar 1, 2018 |
807 moves match.