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 World Choice 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 |
|---|---|---|---|---|---|
| Robert Kenneth Cargin | Regis Asset Management LLC unclassified | World Choice Securities, Inc. state registered | Other | Dec 31, 2018 | Mar 2, 2018 |
| Michael Shannon Haddaway | Regis Asset Management LLC unclassified | World Choice Securities, Inc. state registered | Other | Dec 31, 2018 | May 9, 2018 |
| Olin Robert Johanssen | On Investment Management Co BD affiliated | World Choice Securities, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 18, 2018 | Dec 4, 2018 |
| Jiexiong J Liu | Transamerica Financial Advisors, LLC other | World Choice Securities, Inc. state registered | Other | Feb 9, 2015 | Feb 28, 2017 (750 d) |
| Peter Casciotta | Securian Financial Services, Inc. other | World Choice Securities, Inc. state registered | Other | Sep 20, 2011 | Jul 17, 2013 (666 d) |
| Eric Lee Bartel | Equitable Advisors, LLC national BD | World Choice Securities, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 27, 2007 | Aug 2, 2007 |
| Theresa Montya | E*Trade Advisory Services, Inc. unclassified | World Choice Securities, Inc. state registered | Other | Jun 11, 2003 | Jan 31, 2006 (965 d) |
| Gary Neal Hannah | Bts Asset Management, Inc. other | World Choice Securities, Inc. state registered | Other | Dec 31, 2002 | May 22, 2002 |
| Karel Annette Story | UBS Financial Services Inc. wirehouse | World Choice Securities, Inc. state registered | Wirehouse to a state-registered adviser | Nov 19, 2002 | May 26, 2004 (554 d) |
Page 1 of 1
9 moves match.