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 Western International Securities
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 |
|---|---|---|---|---|---|
| Ron Freund | The Social Equity Group, Inc. other | Western International Securities other | Other | Dec 23, 2025 | Aug 21, 2017 |
| Ute Scott-Smith | The Social Equity Group, Inc. other | Western International Securities other | Other | Jul 14, 2023 | Aug 21, 2017 |
| Michael John Hall | Holden Hall Wealth Management unclassified | Western International Securities BD affiliated | Other | Dec 31, 2022 | Aug 3, 2021 |
| Steve Cheol Kim | UBS Financial Services Inc. wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 7, 2022 | Nov 28, 2022 |
| Josiah David Ball | Cambridge Investment Research Advisors, Inc. BD affiliated | Western International Securities BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2022 | Nov 30, 2022 |
| Richard Allen Hugh | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 11, 2022 | Aug 3, 2022 |
| Carolyn Rebecca Wyatt | M Stevens Wealth Advisors, LLC state registered | Western International Securities BD affiliated | Other | Jul 7, 2022 | Jun 21, 2022 |
| Maureen Ming-Yuan Tsu | Npb Financial Group, LLC independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2022 | Jun 24, 2022 |
| Charles Brian Conners | Npb Financial Group, LLC independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2022 | Jun 24, 2022 |
| Andrew David Tsu | Npb Financial Group, LLC independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2022 | Jun 24, 2022 |
| Shaun Michael Beyrer | J.P. Morgan Securities LLC wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 17, 2022 | Feb 7, 2022 |
| Ivan Parry | Npb Financial Group, LLC independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Feb 14, 2022 | Feb 23, 2022 |
| Jose Orlando Castillo | J.P. Morgan Securities LLC wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 16, 2021 | Sep 10, 2021 |
| Ernest Bernard Arnold | Rjj Pasadena Securities, Inc. independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2021 | Jul 2, 2021 |
| Juan Carlos Vazquez | J.P. Morgan Securities LLC wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 11, 2021 | May 13, 2021 |
| Brittany Elizabeth Farrell | Beacon Pointe Advisors, LLC independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | May 18, 2021 | Mar 30, 2021 |
| John Wade Reagan | Wells Fargo Advisors wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 15, 2021 | Apr 21, 2021 |
| Todd Evan Melillo | Ladenburg Thalmann Asset Management Inc independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Apr 1, 2021 | May 10, 2021 (39 d) |
| Seiichi Shinomiya | Citigroup Global Markets Inc. BD affiliated | Western International Securities BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2021 | Jan 29, 2021 |
| Ryan Reynolds | Edward Jones national BD | Western International Securities BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2021 | Feb 5, 2021 |
| Parker E. King | Edward Jones national BD | Western International Securities BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2020 | Dec 23, 2020 |
| Flavia Dolores Lo Coco | Rjj Pasadena Securities, Inc. independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Dec 11, 2020 | Nov 13, 2020 |
| James Ronald Lo Coco | Rjj Pasadena Securities, Inc. independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Dec 11, 2020 | Nov 13, 2020 |
| Steven R. Graham | J.P. Morgan Securities LLC wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 18, 2020 | Sep 4, 2020 |
| Jeffry Jess Johnson | Mutual Advisors, LLC BD affiliated | Western International Securities BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2020 | Jul 24, 2020 |
| Donald Alan Johnson | Wells Fargo Advisors wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2020 | Jul 2, 2020 |
| Karen Virginia Vogelsang | Wells Fargo Advisors wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2020 | Jul 2, 2020 |
| Dylan Austin Johnson | Wells Fargo Advisors wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2020 | Jul 2, 2020 |
| Allen Glenn Solis | J.P. Morgan Securities LLC wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 8, 2020 | Sep 8, 2020 (123 d) |
| Scott David Litner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 22, 2020 | Oct 21, 2021 (638 d) |
| Wael S Zorob | J.P. Morgan Securities LLC wirehouse | Western International Securities independent RIA | Wirehouse to independent RIA | Nov 15, 2019 | Nov 5, 2019 |
| Travis Steven Haukedahl | J.P. Morgan Securities LLC wirehouse | Western International Securities independent RIA | Wirehouse to independent RIA | Nov 14, 2019 | Nov 5, 2019 |
| Amanda Corinne Miser | First Command Advisory Services BD affiliated | Western International Securities independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 12, 2019 | Sep 12, 2019 |
| Eric Daniel Silvestre | J.P. Morgan Securities LLC wirehouse | Western International Securities independent RIA | Wirehouse to independent RIA | Aug 22, 2019 | Aug 29, 2019 |
| Marcy Lynn Vaughan | Wells Fargo Advisors wirehouse | Western International Securities BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 18, 2019 | May 7, 2020 (324 d) |
| Mark Katz | Hilltop Securities Inc. BD affiliated | Western International Securities independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 14, 2019 | Jul 3, 2019 |
| Timothy Podell | Wedbush Securities Inc. BD affiliated | Western International Securities independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 13, 2019 | Jun 20, 2019 |
| Kerry M. Moy | Morgan Stanley wirehouse | Western International Securities independent RIA | Wirehouse to independent RIA | Jun 10, 2019 | Jun 3, 2019 |
| Jessie Chen | Morgan Stanley wirehouse | Western International Securities independent RIA | Wirehouse to independent RIA | Jun 10, 2019 | Aug 13, 2019 (64 d) |
| Daniel Novak | Tcfg Investment Advisors, LLC independent RIA | Western International Securities independent RIA | RIA to RIA | May 17, 2019 | Mar 22, 2019 |
| Michael Lendell Foland | U.S. Bancorp Investments, Inc. BD affiliated | Western International Securities independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2019 | May 20, 2019 |
| Patrick Mcgrath | Northeast Asset Management LLC no RAUM | Western International Securities independent RIA | Other | Apr 23, 2019 | Nov 19, 2018 |
| Anna Farzam Pourdavoud | RBC Capital Markets, LLC national BD | Western International Securities BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2019 | Feb 19, 2021 (703 d) |
| Jacob Williams | Charles Schwab & Co., Inc. national BD | Western International Securities independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2019 | Mar 22, 2019 |
| Ron M. Amir | J.P. Morgan Securities LLC wirehouse | Western International Securities independent RIA | Wirehouse to independent RIA | Mar 6, 2019 | Feb 20, 2019 |
| Linda Wise Tucker | Ameriprise Financial Services, LLC national BD | Western International Securities independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 22, 2019 | Feb 25, 2019 |
| Walter Allan Huber | D.A. Davidson & Co. independent RIA | Western International Securities independent RIA | RIA to RIA | Jan 14, 2019 | Jan 14, 2019 |
| Jill Ann Henderson | Mutual Advisors, LLC BD affiliated | Western International Securities independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2019 | Jan 14, 2019 |
| Kenneth David Eversfield | D.A. Davidson & Co. independent RIA | Western International Securities independent RIA | RIA to RIA | Jan 14, 2019 | Jan 14, 2019 |
| Richard Whitman | Benchmark Capital Advisors LLC independent RIA | Western International Securities independent RIA | RIA to RIA | Dec 31, 2018 | Jan 11, 2019 |
| Noriko Hamaoka Ikeda | Raymond James Financial Services Advisors, Inc BD affiliated | Western International Securities independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2018 | Dec 20, 2018 |
| Helen Maria Scannapieco | Northeast Asset Management LLC independent RIA | Western International Securities independent RIA | RIA to RIA | Dec 11, 2018 | Nov 28, 2018 |
| Gerard Robert Betts | Northeast Asset Management LLC independent RIA | Western International Securities independent RIA | RIA to RIA | Dec 11, 2018 | Nov 18, 2018 |
| Albert Vincent Pette | Northeast Asset Management LLC independent RIA | Western International Securities independent RIA | RIA to RIA | Dec 11, 2018 | Nov 19, 2018 |
| Mark Stephen Klebanoff | Northeast Asset Management LLC independent RIA | Western International Securities independent RIA | RIA to RIA | Dec 11, 2018 | Nov 19, 2018 |
| Avraham Isaac Ziv | Northeast Asset Management LLC independent RIA | Western International Securities independent RIA | RIA to RIA | Dec 11, 2018 | Nov 16, 2018 |
| Hsien Lin | UBS Financial Services Inc. wirehouse | Western International Securities independent RIA | Wirehouse to independent RIA | Oct 22, 2018 | Nov 30, 2018 (39 d) |
| William John Mcbride | J.P. Morgan Securities LLC wirehouse | Western International Securities independent RIA | Wirehouse to independent RIA | Sep 13, 2018 | Sep 4, 2018 |
| Scott Leonard Dynan | Neuberger Berman Bd LLC no RAUM | Western International Securities independent RIA | Other | Sep 4, 2018 | Jun 13, 2019 (282 d) |
| Lorraine C. Crawford | RBC Securities, Inc. independent RIA | Western International Securities independent RIA | RIA to RIA | Jul 31, 2018 | Aug 10, 2018 |
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216 moves match.