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 First Financial Equity Corporation

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
Martin Ercoline	Edward Jones national BD	First Financial Equity Corporation BD affiliated	Affiliated broker-dealer or bank to another	Jan 14, 2022	Jan 13, 2022
Barry Joseph Queen	Sagepoint Financial, Inc. BD affiliated	First Financial Equity Corporation BD affiliated	Affiliated broker-dealer or bank to another	Jan 28, 2021	Jan 26, 2021
Joel Kent Wilkinson	Raymond James Financial Services Advisors, Inc BD affiliated	First Financial Equity Corporation BD affiliated	Affiliated broker-dealer or bank to another	Dec 8, 2020	Nov 17, 2020
Mark Joseph Debourg	Invesco Advisers, Inc. asset manager	First Financial Equity Corporation BD affiliated	Other	Jun 3, 2019	Jun 4, 2019
Daniel T Malachowski	Ntb Advisors, A Division Of Ntb Financial Corporation BD affiliated	First Financial Equity Corporation BD affiliated	Affiliated broker-dealer or bank to another	Apr 1, 2019	Apr 9, 2019
Mark Ryan	Fsc Securities Corporation BD affiliated	First Financial Equity Corporation BD affiliated	Affiliated broker-dealer or bank to another	Mar 22, 2019	Apr 17, 2019
Yancy Dwayne Spivey	Wells Fargo Advisors wirehouse	First Financial Equity Corporation BD affiliated	Wirehouse to affiliated broker-dealer or bank	Nov 15, 2018	Oct 18, 2018
Troy Allen Bruce	LPL Financial LLC independent RIA	First Financial Equity Corporation BD affiliated	RIA to affiliated broker-dealer or bank	Jul 9, 2018	Jun 19, 2018
Isaac J Orth	LPL Financial LLC independent RIA	First Financial Equity Corporation BD affiliated	RIA to affiliated broker-dealer or bank	Jun 15, 2018	Jun 8, 2018
Renee Elise Rael	United Planners' Financial Services Of America A Limited Partner other	First Financial Equity Corporation other	Other	Mar 16, 2018	Mar 20, 2018
Eric Landon Christus	MML Investors Services, LLC other	First Financial Equity Corporation other	Other	Feb 22, 2018	Feb 22, 2018
Michael Adolph Federico	Ameriprise Financial Services, LLC national BD	First Financial Equity Corporation other	Other	Feb 20, 2018	Feb 16, 2018
Kenneth Elvin Giager	Arvest Wealth Management other	First Financial Equity Corporation other	Other	Feb 6, 2018	Mar 5, 2018
Patrick T Duffy	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	First Financial Equity Corporation other	Other	Nov 2, 2017	Nov 14, 2017
Julie Gebert	Msh Capital Advisors LLC other	First Financial Equity Corporation other	Other	Sep 6, 2017	Aug 24, 2017
Daniel Richard Katz	Denver Pwm, LLC other	First Financial Equity Corporation other	Other	Aug 30, 2017	Jun 24, 2014
Thomas Michael Jeffrey	Raymond James & Associates, Inc. national BD	First Financial Equity Corporation other	Other	Aug 15, 2017	Jul 24, 2017
John Robert Guagliardo	Neuberger Berman Bd LLC no RAUM	First Financial Equity Corporation other	Other	Feb 10, 2017	Feb 28, 2017
Matthew James Pickett	Charles Schwab & Co., Inc. national BD	First Financial Equity Corporation other	Other	Nov 22, 2016	Dec 2, 2016
John Sigmund Simonson	Morgan Stanley wirehouse	First Financial Equity Corporation other	Other	Oct 4, 2016	Oct 6, 2016
Leonard F Waldmann	Morgan Stanley wirehouse	First Financial Equity Corporation other	Other	Jul 28, 2016	Aug 8, 2016
Stephen Michael John	Waddell & Reed other	First Financial Equity Corporation other	Other	Jun 28, 2016	Sep 16, 2016 (80 d)
Peter Anthony Sigal	Bakeravenue other	First Financial Equity Corporation other	Other	Jun 22, 2016	Aug 12, 2016 (51 d)
Kristopher B Smith	UBS Financial Services Inc. wirehouse	First Financial Equity Corporation other	Other	Jun 21, 2016	Jun 17, 2016
David Raymond Keefe	Nova Financial Services other	First Financial Equity Corporation other	Other	Jun 17, 2016	May 20, 2016
Laurence Ethan Goldstein	Nova Financial Services other	First Financial Equity Corporation other	Other	Jun 17, 2016	Apr 29, 2016
Lyle Anson Deo	Nova Financial Services other	First Financial Equity Corporation other	Other	Jun 17, 2016	May 5, 2016
Zachary Stuart Brodt	Raymond James & Associates, Inc. national BD	First Financial Equity Corporation other	Other	Apr 18, 2016	Apr 22, 2016
Christopher Armstrong	Morgan Stanley wirehouse	First Financial Equity Corporation other	Other	Mar 11, 2016	Apr 1, 2016
Matthew David Calhoun	Morgan Stanley wirehouse	First Financial Equity Corporation other	Other	Feb 9, 2016	Feb 5, 2016
Theodore T Simonson	Morgan Stanley wirehouse	First Financial Equity Corporation other	Other	Jan 4, 2016	Jan 17, 2017 (379 d)
Leonard Scott Sanford	Northwestern Mutual Investment Services,LLC other	First Financial Equity Corporation other	Other	Aug 25, 2015	Aug 26, 2015
Garrett Pierce Smith	Wells Fargo Advisors wirehouse	First Financial Equity Corporation other	Other	May 28, 2015	Jun 15, 2015
Russell A Andrews	Ameriprise Financial Services, LLC national BD	First Financial Equity Corporation other	Other	Apr 16, 2015	Apr 13, 2015
Jon Bruce Park	LPL Financial LLC other	First Financial Equity Corporation other	Other	Feb 23, 2015	Feb 25, 2015
Duane Kevin Shumaker	H. Beck, Inc. other	First Financial Equity Corporation other	Other	Feb 3, 2015	Feb 12, 2015
John Paul Barringer	Morgan Stanley wirehouse	First Financial Equity Corporation other	Other	Jan 27, 2015	Jan 16, 2015
Anne Marie Perry	Wells Fargo Advisors wirehouse	First Financial Equity Corporation other	Other	Dec 18, 2014	Dec 15, 2014
Daniel Joseph Hughes	Wedbush Securities Inc. other	First Financial Equity Corporation other	Other	Nov 20, 2014	Nov 14, 2014
Luis Manuel Espinoza	Newport Coast Asset Management other	First Financial Equity Corporation other	Other	Oct 22, 2014	Oct 16, 2014
Rodney Arin Becker	Edward Jones national BD	First Financial Equity Corporation other	Other	Jul 30, 2014	Aug 5, 2014
Rodney Alan Smith	Bradley Wealth LLC other	First Financial Equity Corporation other	Other	Nov 20, 2013	Jun 11, 2013
Todd Edward Desberg	Nova Financial Services other	First Financial Equity Corporation other	Other	Feb 4, 2013	Feb 8, 2013
Jeffrey Peterson Wilcock	Alliance Financial Group, Inc. unclassified	First Financial Equity Corporation other	Other	Dec 31, 2012	Jun 23, 2009
Eric Andrew Kammerer	Wells Fargo Advisors wirehouse	First Financial Equity Corporation other	Other	Sep 27, 2012	Aug 30, 2012
Daniel Pierre Laframboise	Jrl Capital Advisors LLC other	First Financial Equity Corporation other	Other	Sep 26, 2012	Sep 27, 2012
John P Page	Jrl Capital Advisors LLC other	First Financial Equity Corporation other	Other	May 17, 2012	May 18, 2012
William Glen Newbury	Waddell & Reed other	First Financial Equity Corporation other	Other	May 7, 2012	Jun 26, 2012 (50 d)
Robert Joseph Courter	Wedbush Securities Inc. other	First Financial Equity Corporation other	Other	Mar 16, 2012	Mar 15, 2012
Frank Peter Messano	Tri-Ad Capital Management, Inc. other	First Financial Equity Corporation other	Other	Feb 10, 2012	Feb 10, 2012
Pearley Hughes Wells	Kaiser Wealth Management other	First Financial Equity Corporation other	Other	Jan 31, 2012	Jan 11, 2012
Philip Sargent Taylor	Stifel, Nicolaus & Company, Incorporated national BD	First Financial Equity Corporation other	Other	Jan 5, 2012	Jan 23, 2012
Alphonsus Richard Panzera	Sanders Morris LLC other	First Financial Equity Corporation other	Other	Dec 31, 2011	Feb 16, 2012 (47 d)
Sarah Nowfel	Astor Asset Management LLC other	First Financial Equity Corporation other	Other	Jul 25, 2011	Jul 18, 2011
Kenneth A Corlett	Wfp Securities unclassified	First Financial Equity Corporation other	Other	Jun 2, 2011	Jun 3, 2011
Donald Martin Scramstad	Bancwest Investment Services, Inc. (Bwis) other	First Financial Equity Corporation other	Other	May 24, 2011	May 23, 2011
Michael J Allison	Hilltop Securities Inc. other	First Financial Equity Corporation other	Other	May 11, 2011	Jan 29, 2015 (1359 d)
Nicholas Edwin Fuller	Edward Jones national BD	First Financial Equity Corporation other	Other	Mar 15, 2011	Apr 6, 2011
Paul Alphonse Perreault	Wells Fargo Advisors wirehouse	First Financial Equity Corporation other	Other	Feb 24, 2011	Feb 18, 2011
Marilee Alice Stephens	Partnervest Advisory Services LLC other	First Financial Equity Corporation other	Other	Feb 22, 2011	Jan 27, 2011

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106 moves match.