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 Moloney Securities Co., 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
Scott Allen Hume	RBC Capital Markets, LLC national BD	Moloney Securities Co., Inc. other	Other	Feb 19, 2016	Jan 29, 2016
Sarah Elisabeth Louise Arnold	RBC Capital Markets, LLC national BD	Moloney Securities Co., Inc. other	Other	Feb 19, 2016	Jan 29, 2016
Randall E Duggan	RBC Capital Markets, LLC national BD	Moloney Securities Co., Inc. other	Other	Feb 19, 2016	Jan 29, 2016
Kirk Edwin Prescott Littlewood	Littlewood Financial Services, Inc. unclassified	Moloney Securities Co., Inc. other	Other	Dec 31, 2015	Feb 5, 2016 (36 d)
Glenn Herbert Cray	J P Turner & Company Capital Management, LLC other	Moloney Securities Co., Inc. other	Other	Sep 21, 2015	Sep 18, 2015
James Edward Nelson	Minnesota Valley Investment Advisors LLC unclassified	Moloney Securities Co., Inc. other	Other	Sep 17, 2014	Mar 31, 2014
Patrice Irene Henjum	Minnesota Valley Investment Advisors LLC unclassified	Moloney Securities Co., Inc. other	Other	Sep 17, 2014	Mar 28, 2014
Rex Glenn Russell	Questar Asset Management, Inc. other	Moloney Securities Co., Inc. other	Other	Jan 27, 2014	Jan 4, 2016 (707 d)
William Matthew Leisman	Money Concepts Advisory Service other	Moloney Securities Co., Inc. other	Other	Dec 5, 2013	Dec 6, 2013
Charles William Heil	Smith Moore & Co. other	Moloney Securities Co., Inc. other	Other	Dec 11, 2012	Dec 13, 2012
David Francis Lagrange	Eagle One Investments, LLC unclassified	Moloney Securities Co., Inc. other	Other	Jul 31, 2012	Aug 2, 2012
Selden Kent Martin	UBS Financial Services Inc. wirehouse	Moloney Securities Co., Inc. other	Other	Jun 25, 2012	Feb 12, 2014 (597 d)
Douglas Fosdick Carter	Nations Financial Group, Inc. other	Moloney Securities Co., Inc. other	Other	May 4, 2012	Apr 3, 2012
Jeffrey Allen Morris	Eagle One Investments, LLC unclassified	Moloney Securities Co., Inc. other	Other	Mar 19, 2012	Mar 16, 2012
Gregory Wade Gobble	Alton Capital Management, Inc. other	Moloney Securities Co., Inc. other	Other	Oct 14, 2011	Oct 3, 2011
Sidney Yves Prepetit	Lifemark Securities Corp. other	Moloney Securities Co., Inc. other	Other	May 5, 2011	Apr 21, 2011
Meredith Cabell Jones	Detalus Advisors, LLC other	Moloney Securities Co., Inc. other	Other	Apr 1, 2011	Mar 31, 2011
Brian Patrick Corrigan	Detalus Advisors, LLC other	Moloney Securities Co., Inc. other	Other	Apr 1, 2011	Mar 31, 2011
Paul Kurt Saxenmeyer	Janney Montgomery Scott LLC other	Moloney Securities Co., Inc. other	Other	Mar 17, 2011	Mar 1, 2011
Gary Paul Notch	St. Louis Asset Management, Inc. unclassified	Moloney Securities Co., Inc. other	Other	Dec 20, 2010	Dec 20, 2010
William Scott Paddor	Waterstone Financial Group, Inc. unclassified	Moloney Securities Co., Inc. other	Other	Sep 1, 2009	Sep 1, 2009
Richard Robert Ruskey	R.T. Jones Capital Equities, Inc. unclassified	Moloney Securities Co., Inc. other	Other	May 18, 2009	Jun 15, 2009
Edward James Balmes	R.T. Jones Capital Equities, Inc. unclassified	Moloney Securities Co., Inc. other	Other	May 18, 2009	May 20, 2009
Michael G Campbell	Moseco/Saint Louis Capital Management LLC unclassified	Moloney Securities Co., Inc. other	Other	Dec 31, 2003	May 24, 2002
David Allen Wampler	RBC Capital Markets, LLC national BD	Moloney Securities Co., Inc. other	Other	Jun 28, 2003	Jan 3, 2006 (920 d)
Eric Alexander Duncan	E*Trade Advisory Services, Inc. unclassified	Moloney Securities Co., Inc. other	Other	Sep 10, 2002	Feb 20, 2013 (3816 d)

Page 1 of 1

26 moves match.