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 W&S Brokerage Services, 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 |
|---|---|---|---|---|---|
| Donald James | Thrivent Investment Management Inc. BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2026 | Jul 8, 2026 |
| Evan Matthew Valeri | LPL Financial LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2026 | Jun 12, 2026 |
| Niccolo Alfred Gonzales | Cetera Investment Advisers LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2026 | Mar 23, 2026 (45 d) |
| Dawson Troy-Lee Johnson | Equitable Advisors, LLC national BD | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2026 | Mar 10, 2026 (63 d) |
| Uriah Eli Jackson | Edward Jones national BD | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2025 | Dec 4, 2025 |
| Marcelo C Hernandez | LPL Enterprise, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2025 | Oct 9, 2025 |
| Jonnie Goodmanson | Edward Jones national BD | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2025 | Sep 30, 2025 |
| Daniel Owens | Strategic Advisers LLC national BD | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2025 | Sep 22, 2025 |
| Matthew Cole Plymale | Valic Financial Advisors, Inc. BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2025 | Dec 22, 2025 (111 d) |
| Scott James Walker | LPL Financial LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2025 | Mar 19, 2026 (246 d) |
| Michael Thomas Bugg | First Command Advisory Services BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2025 | Apr 11, 2025 |
| Kristofer Joseph Lanzer | Foundations Investment Advisors LLC independent RIA | W&S Brokerage Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 14, 2025 | May 13, 2025 (60 d) |
| Renee Charlene De Haan | Principal Securities, Inc. BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2025 | Aug 12, 2026 (582 d) |
| Reginald Lamont Venson | LPL Enterprise, LLC no RAUM | W&S Brokerage Services, Inc. BD affiliated | Other | Dec 19, 2024 | Sep 19, 2025 (274 d) |
| Abrahim Mutee Kassim | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | W&S Brokerage Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 11, 2024 | Oct 22, 2024 |
| Wayne Stephen Babst | Truist Advisory Services, Inc. BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2024 | Feb 5, 2026 (497 d) |
| Jared H Bovinet | Pruco Securities, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2024 | Jun 7, 2024 |
| Kyle Robert Thomas | Pruco Securities, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2024 | Nov 20, 2024 (184 d) |
| Joel A Wozny | Huntington Financial Advisors BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2024 | Jul 25, 2024 (113 d) |
| Scott David Mullen | Equitable Advisors, LLC national BD | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Mar 11, 2024 (31 d) |
| Marchaun Morrison | Pruco Securities, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2023 | Oct 8, 2025 (714 d) |
| Emily Jo Farrell | Ameriprise Financial Services, LLC national BD | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2023 | Nov 13, 2023 (76 d) |
| Adam J Locascio | Cetera Advisors LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2023 | Sep 18, 2023 (35 d) |
| Kristopher Schwarte | Empower Advisory Group, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2023 | Aug 22, 2023 (34 d) |
| Lauren Grames | Mutual Of Omaha Investor Services, Inc. independent RIA | W&S Brokerage Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 11, 2023 | Aug 10, 2023 |
| Anthony Ray Harris | On Investment Management Co BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2023 | Jul 7, 2025 (823 d) |
| Arthur Matthew Chen | MML Investors Services, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2022 | Jan 20, 2023 |
| Vivienne Ather | Ameriprise Financial Services, LLC national BD | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2022 | Aug 16, 2023 (245 d) |
| Davy Kwok | MML Investors Services, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2022 | Sep 20, 2022 |
| Tyler Dean Sass | Harbour Investments, Inc. independent RIA | W&S Brokerage Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2022 | Jul 28, 2022 |
| Mark Molley | Fidelity Personal And Workplace Advisors BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2022 | Jun 30, 2023 (501 d) |
| Leshawn Powers | Huntington Financial Advisors BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2021 | Jan 10, 2023 (453 d) |
| Joseph Mark Duea | Thrivent Advisor Network, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2021 | Oct 29, 2021 |
| Mark Christopher Zonno | LPL Financial LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2021 | Nov 8, 2022 (461 d) |
| Russell D Rhodes | MML Investors Services, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2021 | May 5, 2022 (297 d) |
| Delores J May | Pnc Wealth Management BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Jun 30, 2021 (98 d) |
| Stacy A Wasserman | Allstate Financial Advisors, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2020 | Mar 10, 2021 (105 d) |
| Rene C Tamez | Oneamerica Securities, Inc. BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2020 | Oct 20, 2020 |
| Placido John Rodriguez | Comerica Securities bank affiliated | W&S Brokerage Services, Inc. BD affiliated | Other | Mar 23, 2020 | Apr 8, 2020 |
| Gina Stoltz | Eagle Strategies LLC BD affiliated | W&S Brokerage Services, Inc. no RAUM | Other | Feb 14, 2020 | Feb 18, 2020 |
| Joseph Leo Sheffieck | MML Investors Services, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2020 | Mar 27, 2020 (49 d) |
| Michael D Snoeyink | Citizens Securities, Inc. BD affiliated | W&S Brokerage Services, Inc. no RAUM | Other | Jan 7, 2020 | Jan 24, 2020 |
| Michael Bono | Advice And Planning Services BD affiliated | W&S Brokerage Services, Inc. no RAUM | Other | Jan 6, 2020 | Feb 21, 2020 (46 d) |
| Robert Brett Horn | LPL Financial LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2019 | May 12, 2020 (140 d) |
| Edward Easterling | Transamerica Retirement Advisors, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2019 | Aug 12, 2020 (247 d) |
| Marcelle Gordon | Ele Advisory Services, Inc independent RIA | W&S Brokerage Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 5, 2019 | Jul 20, 2020 (258 d) |
| Ricky Joe Dover | Edward Jones national BD | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2019 | Oct 22, 2020 (366 d) |
| Carl Scott Trent | MML Investors Services, LLC BD affiliated | W&S Brokerage Services, Inc. no RAUM | Other | Oct 15, 2019 | Oct 24, 2019 |
| Troy Lynn Olson | Park Avenue Securities LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2019 | Jun 4, 2020 (259 d) |
| Talhon Ford Campbell | Edward Jones national BD | W&S Brokerage Services, Inc. no RAUM | Other | Sep 14, 2019 | Dec 4, 2019 (81 d) |
| Benjamin P Wallace | Wells Fargo Advisors wirehouse | W&S Brokerage Services, Inc. no RAUM | Other | Sep 12, 2019 | Sep 25, 2019 |
| Jeffrey Allen Dunn | Orion Portfolio Solutions, LLC independent RIA | W&S Brokerage Services, Inc. no RAUM | Other | Aug 29, 2019 | Nov 14, 2019 (77 d) |
| Christopher Michael Sheeler | Esi Financial Advisors BD affiliated | W&S Brokerage Services, Inc. no RAUM | Other | Aug 20, 2019 | Sep 13, 2019 |
| Scott Beal | Edward Jones national BD | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 7, 2019 | Sep 20, 2019 (44 d) |
| David A Kudo | Osaic Wealth, Inc. BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 25, 2019 | Feb 13, 2020 (203 d) |
| Ellen Glenn Honeycutt | Valic Financial Advisors, Inc. BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 16, 2019 | Jul 26, 2019 |
| Gerald Wayne Childs | Pruco Securities, LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2019 | May 19, 2021 (707 d) |
| Lance Dawayne Stanislaus | Edward Jones national BD | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 29, 2019 | Oct 22, 2019 (146 d) |
| Derrick Fitzgerald Stevenson | Pruco Securities, LLC BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 25, 2019 | Apr 10, 2019 |
| Brian Antonio Madrigal | Independent Financial Partners BD affiliated | W&S Brokerage Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 15, 2019 | Apr 15, 2019 (31 d) |
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95 moves match.