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 Allied 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
Charles Ignatius Daniels	Harvest Financial, LLC unclassified	First Allied Securities, Inc. other	Other	Dec 31, 2025	Apr 13, 2011
Nancy Louise Armstrong	Zimmerman & Armstrong Investment Advisors unclassified	First Allied Securities, Inc. other	Other	Oct 17, 2024	Apr 19, 2011
Joseph Sylvester Sturniolo	Sturniolo Joseph S & Associates Inc other	First Allied Securities, Inc. other	Other	Feb 27, 2023	Mar 26, 2004
Steven Dominic Arrigan	Sturniolo Joseph S & Associates Inc other	First Allied Securities, Inc. other	Other	Feb 27, 2023	Nov 13, 2003
Allen Gammon Yee	Guidant Planning, Inc. unclassified	First Allied Securities, Inc. other	Other	Jan 2, 2023	Mar 10, 2009
Leeland Franklyn Gray	Green Pastures Wealth Management LLC state registered	First Allied Securities, Inc. other	Other	Dec 31, 2020	Dec 9, 2008
Lynda Reynoso Counts	First Allied Advisory Services, Inc. BD affiliated	First Allied Securities, Inc. no RAUM	Other	Nov 12, 2020	Mar 10, 2017
Ana Pasion	First Allied Advisory Services, Inc. BD affiliated	First Allied Securities, Inc. other	Other	Apr 22, 2020	Aug 3, 2012
James Dennis Hallett	Hallett Advisors independent RIA	First Allied Securities, Inc. other	Other	Dec 4, 2019	Apr 8, 2002
Christian Raul Cordoba	Ira Wealth Management unclassified	First Allied Securities, Inc. other	Other	Jul 3, 2019	Mar 9, 2009
Paul Joseph Seidman	Empowerment Financial Group independent RIA	First Allied Securities, Inc. other	Other	Feb 12, 2018	Aug 26, 2010
Patricia Carol Thom	The Thom Group unclassified	First Allied Securities, Inc. other	Other	Nov 15, 2017	Jul 11, 2005
Robert Anderson Pearl	Cig Asset Management, Inc. other	First Allied Securities, Inc. no RAUM	Other	Mar 30, 2017	Apr 20, 2017
Steven Terry Setchfield	Setchfield Asset Management independent RIA	First Allied Securities, Inc. other	Other	Dec 31, 2016	Jul 7, 2006
Jennifer M Mitchell	Pacific Asset Management Group unclassified	First Allied Securities, Inc. other	Other	Dec 31, 2015	May 27, 2008
Chad Aaron Williams	Capital Investment Management other	First Allied Securities, Inc. other	Other	Jun 25, 2015	May 10, 2010
Christopher Brian Pelley	Capital Investment Management other	First Allied Securities, Inc. other	Other	Jun 10, 2015	May 10, 2010
Robert Newman Webster	Webster Investment Advisors, Inc unclassified	First Allied Securities, Inc. other	Other	May 7, 2014	Feb 24, 2004
Bryce Allen Unck	LPL Financial LLC other	First Allied Securities, Inc. no RAUM	Other	Mar 17, 2014	Mar 11, 2014
Todd Michael Cour	Onyx Wealth Advisors, Inc. other	First Allied Securities, Inc. other	Other	Dec 31, 2013	May 25, 2012
James Blair Luippold	Horizon Wealth Group, LLC. unclassified	First Allied Securities, Inc. other	Other	Jan 18, 2013	Jan 10, 2008
Michael Joseph Adiutori	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Jul 19, 2012	Jul 13, 2012
Myles R. Luster	Bff Wealth Management, Inc. state registered	First Allied Securities, Inc. other	Other	Apr 10, 2012	Jul 27, 2011
Troy M Mailloux	Strategic Advisers LLC national BD	First Allied Securities, Inc. other	Other	Jan 4, 2012	Jan 10, 2012
Ronald William Hada	Northwestern Mutual Investment Services,LLC other	First Allied Securities, Inc. other	Other	Jan 3, 2012	Jan 3, 2012
Sarah Benton Walker	Fsc Securities Corporation other	First Allied Securities, Inc. other	Other	Nov 21, 2011	Oct 31, 2011
Robert L Arroyo	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Nov 17, 2011	Nov 10, 2011
Sean Kevin Fitzpatrick	Gordon H. Dickinson & Co. unclassified	First Allied Securities, Inc. other	Other	Oct 5, 2011	Sep 20, 2011
Joyce Anne Provost	Pacific Northwest Asset Management, Inc. unclassified	First Allied Securities, Inc. other	Other	Oct 4, 2011	Aug 12, 2011
Kimberly Ann Barentsen	Investors Capital Advisory other	First Allied Securities, Inc. other	Other	Sep 30, 2011	Oct 25, 2011
Bryan Christopher Savage	Msi Financial Services, Inc. other	First Allied Securities, Inc. other	Other	Sep 16, 2011	Sep 6, 2011
Brian Wayne Appel	Equitable Advisors, LLC national BD	First Allied Securities, Inc. other	Other	Sep 12, 2011	Aug 24, 2011
Brian Neal Everett	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Aug 16, 2011	Jul 29, 2011
Michael Joseph Pepin	Edward Jones national BD	First Allied Securities, Inc. other	Other	Aug 10, 2011	Aug 8, 2011
Robert Anthony Egan	New England Securities Corporation other	First Allied Securities, Inc. other	Other	Aug 4, 2011	Aug 3, 2011
Anthony Franklin Artero	Lucia Capital Group other	First Allied Securities, Inc. other	Other	Jul 28, 2011	Aug 3, 2011
Nicholas Kolitsidas	Lucia Capital Group other	First Allied Securities, Inc. other	Other	Jul 28, 2011	Aug 3, 2011
Kevin Gregory Bruce	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Jun 14, 2011	Aug 9, 2011 (56 d)
Justin Peter Mclaughlin	Advisors Asset Management, Inc. other	First Allied Securities, Inc. other	Other	Jun 14, 2011	Nov 4, 2011 (143 d)
Steven Douglas White	Investors Capital Advisory other	First Allied Securities, Inc. other	Other	Jun 1, 2011	May 31, 2011
Frederick Edwin Hubler	LPL Financial LLC other	First Allied Securities, Inc. other	Other	May 25, 2011	May 13, 2011
Scott Hottel Chapin	LPL Financial LLC other	First Allied Securities, Inc. other	Other	May 25, 2011	May 16, 2011
Homer Allen Braden	Harbour Investments, Inc. other	First Allied Securities, Inc. other	Other	May 19, 2011	May 17, 2011
Brandy Clements-Corder	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Apr 27, 2011	Apr 26, 2011
Tim Lee Baker	Next Financial Group, Inc. other	First Allied Securities, Inc. other	Other	Apr 21, 2011	Apr 19, 2011
Daniel Richard Garvin	Next Financial Group, Inc. other	First Allied Securities, Inc. other	Other	Mar 25, 2011	Mar 3, 2011
John Joseph Parrillo	Lucia Capital Group other	First Allied Securities, Inc. other	Other	Mar 16, 2011	Mar 15, 2011
Huy Quoc Nguyen	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Mar 15, 2011	Mar 14, 2011
Michael Jerome Ellison	Fsc Securities Corporation other	First Allied Securities, Inc. other	Other	Mar 4, 2011	Mar 2, 2011
James Lee Hall	Edward Jones national BD	First Allied Securities, Inc. other	Other	Mar 1, 2011	Feb 25, 2011
Bradley James Lineberger	LPL Financial LLC other	First Allied Securities, Inc. other	Other	Feb 24, 2011	Feb 11, 2011
Evan Davis Kirkpatrick	Nfp Advisor Services, LLC other	First Allied Securities, Inc. other	Other	Feb 16, 2011	Mar 7, 2011
Mark Markland	Qa3 Financial LLC unclassified	First Allied Securities, Inc. other	Other	Feb 11, 2011	Feb 10, 2011
Marty Sasson	Qa3 Financial LLC unclassified	First Allied Securities, Inc. other	Other	Feb 11, 2011	Feb 11, 2011
Scott Douglas Reisenweaver	Qa3 Financial LLC unclassified	First Allied Securities, Inc. other	Other	Feb 11, 2011	Feb 14, 2011
Joseph Trent Byerly	Qa3 Financial LLC unclassified	First Allied Securities, Inc. other	Other	Feb 11, 2011	Feb 11, 2011
Ali K Yousaf	Capital Investment Management other	First Allied Securities, Inc. other	Other	Feb 7, 2011	May 10, 2010
Mark Alan Haenny	Charles Schwab & Co., Inc. national BD	First Allied Securities, Inc. other	Other	Jan 31, 2011	Jan 14, 2011
Michael Edward Moss	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	First Allied Securities, Inc. other	Other	Jan 20, 2011	Jan 20, 2011
Brett James Andrews	Wells Fargo Advisors wirehouse	First Allied Securities, Inc. other	Other	Jan 18, 2011	Jan 25, 2011

Page 1 of 5Next

283 moves match.