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
Wing Chung YipHSBC Securities (USA) Inc.Voya Financial Advisors, Inc.01-06-2009
Edward Richard RiepeHSBC Securities (USA) Inc.Mclaughlin, Piven, Vogel Inc.01-13-2009
Raffaele ProsperoHSBC Securities (USA) Inc.Citigroup Global Markets Inc.05-04-2009
Esperanza Janet StraughterHSBC Securities (USA) Inc.Banc of America Investment Services, Inc.06-01-2009
Allison Patricia MahoneyHSBC Securities (USA) Inc.Banc of America Investment Services, Inc.07-20-2009
Jerry Nicholas GiordanoHSBC Securities (USA) Inc.Chase Investment Services Corp.08-31-2009
Robert Louis GaromoHSBC Securities (USA) Inc.Chase Investment Services Corp.10-15-2009
Jason Marc KlagerHSBC Securities (USA) Inc.Citigroup Global Markets Inc.02-01-2010
Wendy F FengHSBC Securities (USA) Inc.Citigroup Global Markets Inc.02-22-2010
Mary Ann Ann LuczakHSBC Securities (USA) Inc.GFA Securities, LLC03-08-2010
Ming Y HuangHSBC Securities (USA) Inc.Citigroup Global Markets Inc.06-07-2010
Joanne LamHSBC Securities (USA) Inc.Morgan Stanley02-22-2011
Ofer VadelHSBC Securities (USA) Inc.Hapoalim Securities USA, Inc.02-27-2012
Rafael Torres Jr.HSBC Securities (USA) Inc.Chase Investment Services Corp.03-12-2012
Wilson Yushun FungHSBC Securities (USA) Inc.Citigroup Global Markets Inc.06-04-2012
Yevgeniy GryazevHSBC Securities (USA) Inc.Chase Investment Services Corp.07-09-2012
Wadie Christopher HabibyHSBC Securities (USA) Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-15-2012
Yanoret SanchezHSBC Securities (USA) Inc.Citigroup Global Markets Inc.09-10-2012
Serafino G BrunoHSBC Securities (USA) Inc.LPL Financial LLC10-08-2012
Andrew SolimanHSBC Securities (USA) Inc.Citigroup Global Markets Inc.10-15-2012
Zakia BenzoubeierHSBC Securities (USA) Inc.J.P. Morgan Securities LLC11-05-2012
Lucette CalasHSBC Securities (USA) Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-03-2012
Paul Stuart McAndrewsHSBC Securities (USA) Inc.MetLife Securities Inc.01-02-2013
Susan S BisharaHSBC Securities (USA) Inc.AXA Advisors, LLC01-14-2013
Yanique Keisha Paula AndersonHSBC Securities (USA) Inc.Allstate Financial Services, LLC01-22-2013
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Showing 1 to 25 of 97 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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