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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Richard Edward WinerSecurities America, Inc.BrokersXpress LLC10-26-2009
Debra Sue HamiltonSecurities America, Inc.Eagle One Investments, LLC11-28-2012
Christopher G LittleSecurities America, Inc.Eagle One Investments, LLC12-07-2012
Joseph Patrick HavansekSecurities America, Inc.Mutual of Omaha Investor Services, Inc.07-15-2014
Richard James HeubergerSecurities America, Inc.Sigma Financial Corporation$2507-18-2014
Anthony ValenciaSecurities America, Inc.JPMorgan Chase & Co.$6009-11-2014
Jeffery L A GundersonSecurities America, Inc.Sunset Financial Services, Inc.11-14-2014
Graham Brockett BolerjackSecurities America, Inc.Fintegra, LLC07-13-2015
Randy Fred KleinschmidtSecurities America, Inc.Fintegra, LLC$15007-14-2015
Robert Martin HerrmannSecurities America, Inc.Park Avenue Securities LLC$1007-15-2015
William Mckenzie MetcalfSecurities America, Inc.SWBC Investment Services, LLC09-28-2015
John M KellySecurities America, Inc.FSC Securities Corporation02-09-2016
James Arthur PloegerSecurities America, Inc.ValMark Securities, Inc.$5004-15-2016
Ann T RiederSecurities America, Inc.Wall Street Financial Group, Inc.$15009-23-2016
Gary Lavern CockeramSecurities America, Inc.Cetera Advisor Networks LLC11-09-2016
Raymond Charles BassSecurities America, Inc.Cetera Financial Specialists LLC11-17-2016
Ann Maria MoroccoSecurities America, Inc.Raymond James Financial Services, Inc.01-13-2017
Jean Elizabeth BeranekSecurities America, Inc.Cetera Advisor Networks LLC$1006-12-2017
James Kevin WilkinsSecurities America, Inc.National Planning Corporation$4510-23-2017
James David BlaydesSecurities America, Inc.National Planning Corporation10-23-2017
Jared Jonathan LesterSecurities America, Inc.National Planning Corporation10-23-2017
Scott Ira LoochtanSecurities America, Inc.National Planning Corporation10-27-2017
Brett Thomas GuendelSecurities America, Inc.Waddell & Reed11-10-2017
Jeffrey Ward NolanSecurities America, Inc.INVEST Financial Corporation11-16-2017
Stephen Ernest KutschatSecurities America, Inc.LPL Financial LLC$2405-08-2018
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Showing 1 to 25 of 32 entries

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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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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