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 Wedbush 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 |
|---|---|---|---|---|---|
| Patricia Anne Blair | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 4, 2026 |
| James Dee Carlson | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 4, 2026 |
| Sherry Phillips Malone | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 10, 2026 |
| Kevin Emmett Herron | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2026 | Sep 4, 2026 |
| James Daniel Mcdermott | Osaic Wealth, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2026 | Sep 14, 2026 |
| Jack Anthony Balestrieri | First Trust Advisors LP asset manager | Wedbush Securities Inc. BD affiliated | Other | Aug 12, 2026 | Aug 24, 2026 |
| Graham Johnson | Equitable Advisors, LLC national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2026 | Aug 12, 2026 |
| Steven M Schwary | Stifel, Nicolaus & Company, Incorporated national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2026 | Apr 29, 2026 |
| Michael Jonathon Garcar | Equitable Advisors, LLC national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2026 | Feb 23, 2026 |
| Richard Marion Blosser | Pathfinder Wealth Advisors, LLC no RAUM | Wedbush Securities Inc. BD affiliated | Other | Dec 31, 2025 | Oct 20, 2020 |
| Case Robert Wagstaff | Charles Schwab & Co., Inc. national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2025 | Jan 5, 2026 (39 d) |
| Edward Parks | LPL Enterprise, LLC BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2025 | Mar 24, 2026 (166 d) |
| Matthew Parker | LPL Financial LLC BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2025 | Oct 15, 2025 (33 d) |
| Kurt Verner Ryden | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 8, 2025 | Feb 11, 2026 (156 d) |
| Helene Shafiyan | Mcdonald Partners LLC independent RIA | Wedbush Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 4, 2025 | Sep 3, 2025 |
| Michael Clarence Powers | Mcdonald Partners LLC independent RIA | Wedbush Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 4, 2025 | Sep 3, 2025 |
| John Vincent Goodman | Mcdonald Partners LLC independent RIA | Wedbush Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 4, 2025 | Sep 3, 2025 |
| Jared Daniel Goodman | Mcdonald Partners LLC independent RIA | Wedbush Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 4, 2025 | Sep 3, 2025 |
| Rodney Patrick Gray | Morgan Stanley wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 7, 2025 | Mar 25, 2025 |
| Robert Anderson Mccommon | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2025 | Mar 20, 2025 |
| Angelina Marie Funtanilla | Morgan Stanley wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 24, 2025 | Aug 18, 2025 (175 d) |
| Hayden Loboy | Fisher Investments independent RIA | Wedbush Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 19, 2025 | Apr 22, 2025 (62 d) |
| Michael Patrick Mccall | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2024 | Nov 8, 2024 |
| Jonathan Brad Underkofler | Alliancebernstein L.P. asset manager | Wedbush Securities Inc. BD affiliated | Other | Nov 25, 2024 | Nov 25, 2024 |
| Christin M Hinckle | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 24, 2024 | Nov 7, 2024 |
| Lisa Gaye Marcelli | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Oct 30, 2024 |
| Alex Gregory Froloff | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 18, 2024 | Nov 15, 2024 |
| Michael Hayes Hamilton | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Oct 4, 2024 |
| Savannah Mae Baker | Equitable Advisors, LLC national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2024 | Oct 22, 2024 |
| Robert Januarius Cellucci | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2024 | Sep 16, 2024 |
| William Jason Beard | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2024 | Sep 16, 2024 |
| Mark Robert Kaskey | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2024 | Sep 17, 2024 |
| William Harrison Floyd | Texas Capital Bank Private Wealth Advisors independent RIA | Wedbush Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 16, 2024 | Jun 16, 2025 (273 d) |
| Venkata Ramachandra Raju Alluri | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 3, 2024 | Jan 5, 2026 (489 d) |
| James Tylor Moore | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 5, 2024 | Mar 1, 2024 |
| Patricia Louise Hirata | U.S. Bancorp Advisors, LLC BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2024 | Jan 17, 2024 |
| Christopher Ellis | Cuso Financial Services, L.P. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2024 | Feb 1, 2024 |
| Richard Allen Johnson | First Trust Advisors LP asset manager | Wedbush Securities Inc. BD affiliated | Other | Jan 29, 2024 | Jan 3, 2024 |
| Rebecca Mayer Hern | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 7, 2023 | Dec 1, 2023 |
| Dwayne Christopher Maki | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 1, 2023 | Nov 30, 2023 |
| Lynn Renee Sperandeo | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2023 | Nov 10, 2023 |
| Shannon Lori Loewenberg | Commonwealth Financial Network national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 22, 2023 | Sep 21, 2023 |
| Cole Petersen | Edward Jones national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2023 | Jul 7, 2023 |
| Jeffrey Brian Smits | Edward Jones national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2023 | Jul 5, 2023 |
| Tami S Babylon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 10, 2023 | May 17, 2023 |
| Edward Lowell Hildebrand | Sanctuary Advisors, LLC BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2023 | Apr 10, 2023 |
| Gianluca Triennese | Charles Schwab & Co., Inc. national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2023 | Jan 2, 2024 (273 d) |
| Joel Malone Funderburk | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 22, 2023 | Jun 14, 2024 (450 d) |
| John Alex Drevon | Equitable Advisors, LLC national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2023 | Feb 22, 2023 |
| Hugo Raynaldo Silva | Ally Invest Advisors independent RIA | Wedbush Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 6, 2022 | Oct 6, 2022 |
| David Campbell Smith | Hilltop Securities Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Sep 1, 2022 |
| Thomas Jeffrey Carlson | Ameriprise Financial Services, LLC national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2022 | Sep 27, 2022 |
| Edward Gerard Spiegel | E*Trade Capital Management, LLC independent RIA | Wedbush Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 31, 2022 | Oct 10, 2023 (405 d) |
| Stephen Francis Stroup | Ameriprise Financial Services, LLC national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2022 | Oct 30, 2023 (480 d) |
| Nathan Edwin Gierke | Sootchy Securities, LLC no RAUM | Wedbush Securities Inc. BD affiliated | Other | Jul 5, 2022 | Jul 7, 2022 |
| Michael Paul Massey | Raymond James & Associates, Inc. national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 18, 2022 | Aug 1, 2022 (75 d) |
| William Edward Romans | Raymond James & Associates, Inc. national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 18, 2022 | Aug 1, 2022 (75 d) |
| Grant Jeffrey Galligan | Raymond James & Associates, Inc. national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2022 | Apr 4, 2022 |
| Dustin Joseph Zahn | E*Trade Capital Management, LLC independent RIA | Wedbush Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 6, 2022 | Mar 28, 2022 |
| Eliza Forastieri-Pitsikalis | UBS Financial Services Inc. wirehouse | Wedbush Securities Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 28, 2022 | Mar 21, 2022 |
Page 1 of 5Next
289 moves match.