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 Gwn Securities 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 |
|---|---|---|---|---|---|
| Sean Greaves | Cetera Investment Advisers LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2026 | Aug 14, 2026 |
| Matthew Thomas Bradshaw | Credit Union Investment Services state registered | Gwn Securities Inc. BD affiliated | Other | Aug 18, 2026 | Aug 20, 2026 |
| Sean Henry Culbertson | Cambridge Investment Research Advisors, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2026 | Jul 10, 2026 |
| Colin Philip Shannon | MML Investors Services, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 20, 2026 | Jun 2, 2026 (74 d) |
| Robert Emmet Mullis | Money Concepts Advisory Service BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2025 | Aug 26, 2026 (238 d) |
| Michael Depaola | Cetera Investment Advisers LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2025 | Nov 6, 2025 |
| Mikell Vincent Admire | Oneamerica Securities, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2025 | Sep 12, 2025 |
| Kenneth Wayne Gutshall | Capital Analysts BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2025 | Aug 14, 2025 |
| Julian Carter Driver | Secure Investment Management, LLC independent RIA | Gwn Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 11, 2025 | Jan 26, 2026 (199 d) |
| Anthony Michael Romeo | J.P. Morgan Securities LLC wirehouse | Gwn Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 1, 2025 | Jul 1, 2025 |
| Richard Allen Gutshall | Capital Analysts BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2025 | May 4, 2025 |
| Christopher Charles Karschnik | Lincoln Investment independent RIA | Gwn Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 1, 2025 | May 1, 2025 |
| Jason Kyle Rogers | Sound Income Strategies, LLC independent RIA | Gwn Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 14, 2025 | May 19, 2025 (35 d) |
| Mario Reynaldo Reina | Infinity Financial Services Advisory independent RIA | Gwn Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 31, 2025 | Mar 25, 2025 |
| Douglas Bontempo Frawley | Avalon state registered | Gwn Securities Inc. BD affiliated | Other | Mar 25, 2025 | Mar 20, 2025 |
| Bernard Joseph Audet | MML Investors Services, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2025 | Mar 20, 2026 (375 d) |
| Garold Scott Casterline | Oneamerica Securities, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2025 | Apr 14, 2025 (66 d) |
| Brian Thomas White | United Planners' Financial Services Of America A Limited Partner independent RIA | Gwn Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 10, 2025 | Mar 17, 2026 (431 d) |
| Carter Moffitt | Fidelity Personal And Workplace Advisors BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2024 | Feb 3, 2025 (46 d) |
| Keith G Bermeo | MML Investors Services, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2024 | Sep 23, 2024 |
| Justin Anthony Baierl | Hornor, Townsend & Kent, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2024 | Jan 8, 2025 (160 d) |
| Ryan R Claar | Advice And Planning Services BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | Jul 16, 2026 (805 d) |
| Satinder Singh Dhindsa | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Gwn Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 1, 2024 | Feb 27, 2024 |
| Joshua James Gullo | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2024 | Feb 14, 2024 |
| Robert Layton | Ocean Financial Advisors LLC state registered | Gwn Securities Inc. BD affiliated | Other | Jan 9, 2024 | Jan 5, 2024 |
| Andrew W Booth | Citizens Securities, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2023 | Oct 31, 2024 (386 d) |
| Kathleen Murphy | Valic Financial Advisors, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2023 | Aug 16, 2023 |
| Jason Andrew Midkiff | Ameritas Advisory Services, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2023 | Aug 18, 2023 |
| Jerry Bruno | Leigh Baldwin & Co., LLC independent RIA | Gwn Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Aug 18, 2023 |
| Trevor Michael Nelson | Corecap Advisors BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2023 | Jul 28, 2023 |
| William Benjamin | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2023 | Jun 30, 2023 |
| Michael Victor Carballo | Independent Financial Partners BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2023 | Jun 29, 2023 |
| Shaminder Singh Dhindsa | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Gwn Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 31, 2023 | Mar 20, 2023 |
| Arnold J Staton | Valic Financial Advisors, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2023 | Jan 30, 2023 |
| David Alvin Beaty | Heartland Financial Services, Ltd. state registered | Gwn Securities Inc. other | Other | Dec 31, 2022 | Feb 10, 2009 |
| David Franklin Spivey | Voya Financial Advisors, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2022 | Jan 18, 2023 |
| Sam Apoian Spaulding | Voya Financial Advisors, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2022 | Jan 4, 2023 |
| Wayne Martin Cook | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2022 | Jan 3, 2023 |
| Patrick James Bello | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Gwn Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 9, 2022 | Feb 14, 2023 (97 d) |
| Julie Ann Heath | Avantax Advisory Services BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2022 | Oct 18, 2022 |
| Korosh Ataei | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2022 | Jul 15, 2022 |
| Jarrod Scott Thompson | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2022 | Jul 5, 2022 |
| Rayce Nunley | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2022 | Jun 30, 2022 |
| Cameron Thomas Elafros | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2022 | Jun 22, 2022 |
| Riley Harris Feldman | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2022 | Jun 22, 2022 |
| John C Puritz | Primerica Advisors national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2022 | May 19, 2022 |
| Anees Mahmood Saifi | MML Investors Services, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2022 | May 11, 2022 |
| Matthew Anthony Solano | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2022 | Mar 4, 2022 |
| Paul Michael Carnahan | Securian Financial Services, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2022 | Mar 1, 2022 |
| William Todd Henehan | Osaic Wealth, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 17, 2022 | Feb 14, 2022 |
| Lynn Stebbins | Securian Financial Services, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2022 | Jan 27, 2022 |
| Craig Paul Eden | Valic Financial Advisors, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 13, 2022 | Jan 10, 2022 |
| Dago Berto Casco | Primerica Advisors national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Feb 4, 2022 (35 d) |
| Kyle P Kummer | MML Investors Services, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 8, 2021 | Dec 3, 2021 |
| Todd Jordan Rashkin | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2021 | Oct 15, 2021 |
| Jerome Van Leftwich | Stf Management LP no RAUM | Gwn Securities Inc. BD affiliated | Other | Oct 13, 2021 | Feb 24, 2022 (134 d) |
| Kevin F Lamberson | Pruco Securities, LLC BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2021 | Oct 12, 2021 |
| Michael D. Mestdagh | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2021 | Sep 27, 2021 |
| Thomas F Sylvestro | Osaic Wealth, Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2021 | Aug 17, 2021 |
| Kaising Victor Lui | Equitable Advisors, LLC national BD | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2021 | Jun 22, 2021 |
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411 moves match.