DFX Intelligence
Signals
Dated events with a sourceHow events are datedEvery event names how it is dated: a filing date, a registration date or a roster snapshot.Facts are what a form says; derived events compare two filings; inferences (a control person absent from the next Schedule A) are labelled as such. None of these is a prediction.
325,240 events
- Brady Andrew Drozdowski registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Eric Mettler registered as an investment adviser representative at Morgan Stanley
- Drew Mitchell Carpenter registered as an investment adviser representative at LPL Financial LLC
- Christian Allen Karges registered again as an investment adviser representative at Fsa Advisors, Inc. after a 95-day gap (last registration ended 2026-06-18)
- Quinn Berven registered again as an investment adviser representative at Lincoln Investment after a 46-day gap (last registration ended 2026-08-06)
- Garrett Flynn registered as an investment adviser representative at Osaic Wealth, Inc.
- Jonathan A Boone registered as an investment adviser representative at Edward Jones
- Jack Sanderson registered as an investment adviser representative at Equitable Advisors, LLC
- Katherine Elizabeth Mazzucco registered as an investment adviser representative at J.P. Morgan Securities LLC
- Carlina Elizabeth Fiocchi registered as an investment adviser representative at Equitable Advisors, LLC
- Sophia Kelly registered as an investment adviser representative at T. Rowe Price Associates, Inc.
- Cooper Choate registered as an investment adviser representative at J.P. Morgan Securities LLC
- Phillip Le Nguyen registered as an investment adviser representative at Valic Financial Advisors, Inc.
- Justin Nathaniel Fitzpatrick registered as an investment adviser representative at Schwab Wealth Advisory, Inc.
- Renxuan Hu registered as an investment adviser representative at J.P. Morgan Securities LLC
- Samantha Suhrcke registered as an investment adviser representative at J.P. Morgan Securities LLC
- Brooks Bond registered as an investment adviser representative at Morgan Stanley
- Christopher James Fallon registered as an investment adviser representative at UBS Financial Services Inc.
- Isabella Hellena Velez registered as an investment adviser representative at UBS Financial Services Inc.
- William G Ellenberg registered as an investment adviser representative at Raymond James & Associates, Inc.
- Meghan E Tracy registered again as an investment adviser representative at LPL Financial LLC after a 32-day gap (last registration ended 2026-08-20)
- Jonathan G Liles registered again as an investment adviser representative at Diversify Advisory Services, LLC after a 21-day gap (last registration ended 2026-08-31)
- Jasmyn N Love registered as an investment adviser representative at J.P. Morgan Securities LLC
- Alexander M Macdonald registered as an investment adviser representative at Morgan Stanley
- Traci L Vanderpool registered as an investment adviser representative at Edward Jones
- Andrew Calvin Patisaul registered again as an investment adviser representative at Eagle Strategies LLC after a 70-day gap (last registration ended 2026-07-13)
- Steven Arthur Newman registered again as an investment adviser representative at International Assets Investment Management, LLC after a 67-day gap (last registration ended 2026-07-16)
- Cara Vazquez registered as an investment adviser representative at New Edge Wealth
- Christopher Thomas Rieger registered as an investment adviser representative at 1620 Investment Advisors, Inc.
- Allison Marie Grandon registered as an investment adviser representative at Edward Jones
- James Reed Macdonald registered as an investment adviser representative at LPL Financial LLC
- Christian Lacroix registered as an investment adviser representative at Morgan Stanley
- Martha Gabriela Prieto Hernandez registered again as an investment adviser representative at Raymond James Financial Services Advisors, Inc after a 7-day gap (last registration ended 2026-09-14)
- Paul Russell Hardy registered as an investment adviser representative at Charles Schwab & CO., Inc.
- Kurt Ellis Helmich registered again as an investment adviser representative at Integrated Wealth Concepts LLC after a 77-day gap (last registration ended 2026-07-06)
- Samuel Jonathan Digerolamo registered as an investment adviser representative at Kinetic Investment Management, Inc.
- Dannie Lee Westlake registered again as an investment adviser representative at Mercer Global Advisors Inc. after a 6-day gap (last registration ended 2026-09-15)
- Vanessa Shirley Sredzinski registered again as an investment adviser representative at EP Wealth Advisors after a 608-day gap (last registration ended 2025-01-21)
- Dalton Alan Andrews registered again as an investment adviser representative at T. Rowe Price Advisory Services, Inc. after a 10-day gap (last registration ended 2026-09-11)
- Timothy O'Brien registered as an investment adviser representative at Osaic Wealth, Inc.
- Henry Baniel Whitney registered as an investment adviser representative at Planmember Securities Corporation
- Karmen Marie Ritt registered again as an investment adviser representative at Leelyn Smith, LLC after a 246-day gap (last registration ended 2026-01-18)
- Gregory Joseph Montejo registered again as an investment adviser representative at Farther after a 5-day gap (last registration ended 2026-09-16)
- Jacob Tambe Sanyi registered again as an investment adviser representative at Wells Fargo Advisors after a 1307-day gap (last registration ended 2023-02-22)
- Ethan L. Jones registered again as an investment adviser representative at Zions Capital Advisors, Inc. after a 250-day gap (last registration ended 2026-01-14)
- Susan Liu registered again as an investment adviser representative at Norvia Wealth Management LLC after a 115-day gap (last registration ended 2026-05-29)
- Daniel Kalvaitis registered again as an investment adviser representative at LPL Enterprise, LLC after a 10-day gap (last registration ended 2026-09-11)
- Darryl Peter Fiasconaro registered again as an investment adviser representative at LPL Financial LLC after a 3-day gap (last registration ended 2026-09-18)
- Anthony M Ursetti registered again as an investment adviser representative at Annex Wealth Management, LLC after a 6-day gap (last registration ended 2026-09-15)
- Jonathan Ballenger registered again as an investment adviser representative at Northcoast Asset Management LLC after a 6424-day gap (last registration ended 2009-02-18)
- John Taylor Linkous registered as an investment adviser representative at Osaic Wealth, Inc.
- Ulrika Anna Claesson registered as an investment adviser representative at Edward Jones
- Luciano G Prestonise registered again as an investment adviser representative at Cetera Investment Advisers LLC after a 416-day gap (last registration ended 2025-08-01)
- Lisa Dionne Ford registered again as an investment adviser representative at LPL Enterprise, LLC after a 5-day gap (last registration ended 2026-09-16)
- Nicky Yu Chen registered as an investment adviser representative at J.P. Morgan Securities LLC
- Kapil Jain registered as an investment adviser representative at Osaic Wealth, Inc.
- Xinran Lian registered again as an investment adviser representative at Iconiq Capital, LLC after a 182-day gap (last registration ended 2026-03-23)
- Briana Michelle Dewing registered as an investment adviser representative at Charles Schwab & CO., Inc.
- Manjinder Kaur registered as an investment adviser representative at LPL Financial LLC
- Timothy Shawn Rhouddou registered as an investment adviser representative at Raymond James Financial Services Advisors, Inc