Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Phillip Peter ParzialeCUNA Brokerage Services, Inc.Citizens Securities, Inc.08-21-2020
Phillip Peter ParzialeCUNA Brokerage Services, Inc.Citizens Securities, Inc.08-21-2020
Delcarme Francois- LefortCharles Schwab & Co., Inc.Citizens Securities, Inc.08-18-2020
Delcarme Francois-LeFortCharles Schwab & Co., Inc.Citizens Securities, Inc.08-18-2020
Delcarme Francois-LeFortCharles Schwab & Co., Inc.Citizens Securities, Inc.08-18-2020
Carleton Frederick EllisTD Ameritrade, Inc.Citizens Securities, Inc.07-20-2020
Michael Aloysious Guthrie IVNorthwestern Mutual Investment Services, LLCCitizens Securities, Inc.03-13-2020
Peter Kurt HigginsFidelity Brokerage Services LLCCitizens Securities, Inc.02-20-2020
Joseph Michael HartonMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitizens Securities, Inc.01-24-2020
Cameron Colt WillcoxE*TRADE Securities LLCCitizens Securities, Inc.01-23-2020
Sean Joseph Pierce SrSecurities America, Inc.Citizens Securities, Inc.01-17-2020
Rebecca Carrie PondSecurian Financial Services, Inc.Citizens Securities, Inc.01-14-2020
John Joseph NooneLPL Financial LLCCitizens Securities, Inc.01-13-2020
Thomas M. MuradianCitizens Securities, Inc.Citizens Securities, Inc.01-03-2020
Charles Kenneth FrankianSantander Securities LLCCitizens Securities, Inc.12-18-2019
Aaron FoleySantander Securities LLCCitizens Securities, Inc.11-12-2019
Kyle Neil GauthierCharles Schwab & Co., Inc.Citizens Securities, Inc.11-08-2019
Daryl Flynn Wells Sr.GWFS Equities, Inc.Citizens Securities, Inc.$15010-31-2019
Anthony S. LarameeE*TRADE Securities LLCCitizens Securities, Inc.10-24-2019
Oscar G RodriguezSantander Securities LLCCitizens Securities, Inc.09-20-2019
Yekaterina S FerraroLPL Financial LLCCitizens Securities, Inc.09-12-2019
Robin E StanleyGWFS Equities, Inc.Citizens Securities, Inc.08-28-2019
Candice TravisSantander Securities LLCCitizens Securities, Inc.08-23-2019
Chad A. PoiresSantander Securities LLCCitizens Securities, Inc.08-21-2019
Zerong QianJ.P. Morgan Securities LLCCitizens Securities, Inc.06-18-2019
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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.