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 Wescom Financial Services, LLC

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
Monica Cardenas	Wells Fargo Advisors wirehouse	Wescom Financial Services, LLC independent RIA	Wirehouse to independent RIA	Apr 20, 2021	May 4, 2021
Jessi Nicole Beach	U.S. Bancorp Investments, Inc. BD affiliated	Wescom Financial Services, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Dec 14, 2018	Feb 20, 2019 (68 d)
Sheldon Cooper Reed	Invest Financial Corporation other	Wescom Financial Services, LLC independent RIA	Other	Nov 29, 2017	Nov 30, 2017
Jonathon James Allen	Citigroup Global Markets Inc. other	Wescom Financial Services, LLC independent RIA	Other	Oct 26, 2017	Oct 13, 2017
Scott James Walker	Cuso Financial Services, L.P. other	Wescom Financial Services, LLC independent RIA	Other	Jun 22, 2017	May 29, 2018 (341 d)
Yelena V Kalashnikova	J.P. Morgan Securities LLC wirehouse	Wescom Financial Services, LLC independent RIA	Wirehouse to independent RIA	Feb 16, 2017	Feb 6, 2017
Karl Steven Gerstenacker	Edward Jones national BD	Wescom Financial Services, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Jan 18, 2017	Jan 24, 2017
Robert Michael Garcia	Calton & Associates, Inc. other	Wescom Financial Services, LLC independent RIA	Other	Nov 29, 2016	Nov 23, 2016
Samuel Soler-Conklin	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Wescom Financial Services, LLC independent RIA	Wirehouse to independent RIA	Nov 7, 2016	Nov 23, 2016
Sandra Marie Holguin	Osaic Institutions, Inc. other	Wescom Financial Services, LLC independent RIA	Other	Nov 3, 2016	Nov 7, 2016
Enrico Malpas Santos	Edward Jones national BD	Wescom Financial Services, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Apr 6, 2016	May 24, 2016 (48 d)
Jarryd Mychal Reyes	Cuna Brokerage Services, Inc. other	Wescom Financial Services, LLC independent RIA	Other	Feb 16, 2016	Feb 23, 2016
David Anthony Jabczenski	Alpha Cubed Investments, LLC other	Wescom Financial Services, LLC independent RIA	Other	Dec 21, 2015	Jan 5, 2016
Michael Brescione	Cuso Financial Services, L.P. other	Wescom Financial Services, LLC independent RIA	Other	Nov 4, 2015	Nov 5, 2015
Scott P Gevertz	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Wescom Financial Services, LLC independent RIA	Wirehouse to independent RIA	Jan 8, 2015	Sep 14, 2015 (249 d)
Ryan Christopher Collette	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Wescom Financial Services, LLC independent RIA	Wirehouse to independent RIA	Jul 19, 2013	Jul 30, 2013
Young Suh Kim	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Wescom Financial Services, LLC independent RIA	Wirehouse to independent RIA	Sep 6, 2012	Aug 9, 2013 (337 d)
Brian Clarke Gates	Modern Capital Advisors, LLC other	Wescom Financial Services, LLC independent RIA	Other	Jul 9, 2012	Sep 12, 2012 (65 d)
Jesse Espinoza	Cuna Brokerage Services, Inc. other	Wescom Financial Services, LLC independent RIA	Other	Aug 29, 2011	Aug 30, 2011
Humberto Rury Jimenez	Chase Investment Services Corp. other	Wescom Financial Services, LLC independent RIA	Other	Apr 5, 2011	Apr 6, 2011
Sean R Coumans	Chase Investment Services Corp. other	Wescom Financial Services, LLC independent RIA	Other	Jan 3, 2011	Jan 5, 2011
John Michael Greene	U.S. Bancorp Investments, Inc. other	Wescom Financial Services, LLC independent RIA	Other	Jan 27, 2010	Jan 28, 2010
Norman Matthew Yee	E*Trade Capital Management, LLC other	Wescom Financial Services, LLC independent RIA	Other	Feb 27, 2009	Aug 3, 2010 (522 d)
Geetika Mehrotra	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Wescom Financial Services, LLC independent RIA	Wirehouse to independent RIA	Nov 19, 2008	Dec 4, 2008
Pan Jung Kwe	Wells Fargo Investments, LLC unclassified	Wescom Financial Services, LLC independent RIA	Other	May 22, 2008	Jun 3, 2008
Rhandy Arzaga	Marc E. Anderson, Inc. unclassified	Wescom Financial Services, LLC independent RIA	Other	May 7, 2007	Mar 10, 2008 (308 d)
Douglas Peter Eng	Cuso Financial Services, L.P. other	Wescom Financial Services, LLC independent RIA	Other	Nov 3, 2004	Nov 4, 2004
Kevin Walter Vogt	Cuso Financial Services, L.P. other	Wescom Financial Services, LLC independent RIA	Other	Sep 1, 2004	Aug 31, 2004
David Soong Park	Cuso Financial Services, L.P. other	Wescom Financial Services, LLC independent RIA	Other	Sep 1, 2004	Jun 17, 2003
Byung Do Chong	Cuso Financial Services, L.P. other	Wescom Financial Services, LLC independent RIA	Other	Sep 1, 2004	Sep 1, 2004
Joel Daniel Harworth	Cuso Financial Services, L.P. other	Wescom Financial Services, LLC independent RIA	Other	Aug 31, 2004	Jun 17, 2003
Mark D Wendell	Partnervest Advisory Services LLC other	Wescom Financial Services, LLC independent RIA	Other	Dec 1, 2003	Mar 16, 2006 (836 d)
Deborah Ruth Krumwiede	Osaic Fa, Inc. other	Wescom Financial Services, LLC independent RIA	Other	Apr 15, 2003	Mar 16, 2006 (1066 d)
Hector Frank Siqueiros	Wells Fargo Investments, LLC unclassified	Wescom Financial Services, LLC independent RIA	Other	Oct 31, 2002	Mar 16, 2006 (1232 d)

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34 moves match.