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 Cetera Investment 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.

AdvisorFromToTypeLeftRegistered
Brian Keith SurovikInvestment Professionals, Inc. BD affiliatedCetera Investment Services LLC otherOtherOct 8, 2018May 30, 2007
Alison K SabranCetera Advisor Networks LLC otherCetera Investment Services LLC otherOtherJun 6, 2016Nov 28, 2011
David SchoepCetera Investment Advisers LLC otherCetera Investment Services LLC otherOtherJun 2, 2015Nov 16, 2012
Kimberly Kay EskelsonBanner Investment Advisors, LLC unclassifiedCetera Investment Services LLC otherOtherFeb 8, 2014Jan 3, 2014
Charles Albert StricklandFsc Securities Corporation otherCetera Investment Services LLC otherOtherJan 21, 2014Jan 15, 2014
Lindsay Jo Dockter-HolubCetera Investment Advisers LLC otherCetera Investment Services LLC otherOtherJan 13, 2014Nov 19, 2012
Kyle Edward FitzpatrickAmeriprise Financial Services, LLC national BDCetera Investment Services LLC otherOtherJan 10, 2014Jan 21, 2014
John Coltrane LandersPnc Wealth Management otherCetera Investment Services LLC otherOtherDec 4, 2013Jan 2, 2014
Chad Anthony PughHancock Whitney Investment Services Inc. otherCetera Investment Services LLC otherOtherNov 15, 2013Nov 27, 2013
Richard D AlbrightMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherNov 13, 2013Nov 15, 2013
Amy Jensen DatemaAsset & Financial Planning, Ltd otherCetera Investment Services LLC otherOtherNov 13, 2013Dec 11, 2013
Timothy Dean KliewerInvest Financial Corporation otherCetera Investment Services LLC otherOtherNov 11, 2013Nov 12, 2013
Brandon L BouchereauLPL Financial LLC otherCetera Investment Services LLC otherOtherOct 29, 2013Oct 11, 2013
Thomas Justin GalanteMorgan Stanley wirehouseCetera Investment Services LLC otherOtherOct 28, 2013Oct 28, 2013
William Dale KellyBb&T Investment Services, Inc. no RAUMCetera Investment Services LLC otherOtherOct 18, 2013Nov 29, 2013 (42 d)
Gregory Scott MasonPnc Wealth Management otherCetera Investment Services LLC otherOtherOct 7, 2013Oct 7, 2013
Timothy Brian WallsConcourse Financial Group Advisors otherCetera Investment Services LLC otherOtherSep 27, 2013Jan 23, 2014 (118 d)
Dennis Alan HaubertAmeriprise Financial Services, LLC national BDCetera Investment Services LLC otherOtherSep 26, 2013Sep 25, 2013
Daniel Enrique LunaNext Financial Group, Inc. otherCetera Investment Services LLC otherOtherSep 13, 2013Sep 24, 2013
Belma Chase CagerEquitable Advisors, LLC national BDCetera Investment Services LLC otherOtherSep 13, 2013Oct 3, 2013
Matthew John BeyerHornor, Townsend & Kent, LLC otherCetera Investment Services LLC otherOtherSep 12, 2013Oct 30, 2013 (48 d)
Martin E PalomoEdward Jones national BDCetera Investment Services LLC otherOtherSep 10, 2013Sep 23, 2013
Roderick Charles SalterInvest Financial Corporation otherCetera Investment Services LLC otherOtherSep 5, 2013Sep 3, 2013
Dena Lee PetersenLPL Financial LLC otherCetera Investment Services LLC otherOtherSep 5, 2013Sep 11, 2013
John Douglas TaborAmeriprise Financial Services, LLC national BDCetera Investment Services LLC otherOtherAug 22, 2013Aug 23, 2013
Matthew MurphyJ.P. Morgan Securities LLC wirehouseCetera Investment Services LLC otherOtherAug 1, 2013Sep 23, 2013 (53 d)
Thomas Albert GeraghtyEdward Jones national BDCetera Investment Services LLC otherOtherJul 31, 2013Aug 13, 2013
Mark Albert MacumberCetera Investment Advisers LLC otherCetera Investment Services LLC otherOtherJul 23, 2013Nov 16, 2012
Joseph Martin KellyEdward Jones national BDCetera Investment Services LLC otherOtherJul 10, 2013Jul 29, 2013
David Michael BiggsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherJul 9, 2013Jan 21, 2014 (196 d)
John M DemasiSantander Securities otherCetera Investment Services LLC otherOtherJul 5, 2013Jul 2, 2013
Michael Drew DavenportRaymond James & Associates, Inc. national BDCetera Investment Services LLC otherOtherJul 5, 2013Jul 12, 2013
Thomas Dennis MartinNew England Securities Corporation otherCetera Investment Services LLC otherOtherJul 1, 2013Jul 8, 2013
Edward Ignazio CugnoPnc Wealth Management otherCetera Investment Services LLC otherOtherJun 20, 2013Nov 25, 2013 (158 d)
Marissa Antoinette CorrellEdward Jones national BDCetera Investment Services LLC otherOtherMay 23, 2013Sep 3, 2013 (103 d)
Benjamin CarusoWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherMay 14, 2013May 30, 2013
Gary Edward HendersonSuntrust Investment Services, Inc. otherCetera Investment Services LLC otherOtherMay 9, 2013May 14, 2013
Jason Scott AdamsSuntrust Investment Services, Inc. otherCetera Investment Services LLC otherOtherApr 30, 2013Aug 26, 2013 (118 d)
Chi Dawnielle RichmondSagepoint Financial, Inc. otherCetera Investment Services LLC otherOtherApr 29, 2013May 1, 2013
Donald James PaulKey Investment Services LLC otherCetera Investment Services LLC otherOtherApr 25, 2013May 16, 2013
Sarah Jo EmeryHantz Financial Services, Inc. no RAUMCetera Investment Services LLC otherOtherApr 11, 2013Apr 16, 2013
Jennifer Ann BrandtRBC Capital Markets, LLC national BDCetera Investment Services LLC otherOtherApr 9, 2013Jan 31, 2014 (297 d)
Allen Brent WagnerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherApr 3, 2013Apr 11, 2013
Stephen Richard SmithBb&T Investment Services, Inc. no RAUMCetera Investment Services LLC otherOtherApr 1, 2013Apr 15, 2013
Nikolas R McwhirterHancock Whitney Investment Services Inc. otherCetera Investment Services LLC otherOtherMar 15, 2013Mar 15, 2013
Wes PetersonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherMar 7, 2013Apr 11, 2013 (35 d)
Jason Anthony StrandbergU.S. Bancorp Investments, Inc. otherCetera Investment Services LLC otherOtherMar 6, 2013Mar 5, 2013
Justin ChildressMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherMar 6, 2013Apr 16, 2013 (41 d)
Jared Michael McgaheeWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherMar 4, 2013Mar 4, 2013
Scott Browning CoombesAdvice And Planning Services otherCetera Investment Services LLC otherOtherMar 1, 2013Mar 21, 2013
Matthew B CarrierJ.P. Morgan Securities LLC wirehouseCetera Investment Services LLC otherOtherFeb 26, 2013Feb 28, 2013
Richard Steven SowellAmegy Investments, Inc. otherCetera Investment Services LLC otherOtherFeb 21, 2013May 9, 2013 (77 d)
Stephen Alan MartinWaddell & Reed otherCetera Investment Services LLC otherOtherFeb 20, 2013Feb 19, 2013
Matthew T KradelMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCetera Investment Services LLC otherOtherFeb 19, 2013Mar 28, 2013 (37 d)
James D KingWells Fargo Advisors wirehouseCetera Investment Services LLC otherOtherFeb 15, 2013Feb 22, 2013
Bobby Farrar HaileyConcourse Financial Group Advisors otherCetera Investment Services LLC otherOtherFeb 15, 2013Feb 19, 2013
Thomas Anthony DittaValic Financial Advisors, Inc. otherCetera Investment Services LLC otherOtherJan 31, 2013Apr 11, 2013 (70 d)
Jeff Cheng JinLPL Financial LLC otherCetera Investment Services LLC otherOtherJan 30, 2013Jan 29, 2013
George LyLPL Financial LLC otherCetera Investment Services LLC otherOtherJan 30, 2013Jan 29, 2013
Jenny Xiao HuangLPL Financial LLC otherCetera Investment Services LLC otherOtherJan 30, 2013Jan 29, 2013
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525 moves match.