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
Susan Stieg FullerEdward JonesMerrill Lynch, Pierce, Fenner & Smith Incorporated$5004-28-2009
Cindy Speigner CornetteMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.05-01-2009
James Kennerly Werner Jr.Sterne, Agee & Leach, Inc.Citigroup Global Markets Inc.05-01-2009
Larry Steve WeddleSterne, Agee & Leach, Inc.Citigroup Global Markets Inc.05-01-2009
Ralph Lanier Allison Jr.Sterne, Agee & Leach, Inc.Citigroup Global Markets Inc.05-01-2009
Robert Walter RedSterne, Agee & Leach, Inc.Citigroup Global Markets Inc.05-01-2009
Benjamin Alvis Gentry IINext Financial Group, Inc.UBS Financial Services Inc.05-04-2009
David Alan LookadooFTB Advisors, Inc.SunTrust Investment Services, Inc.05-06-2009
William Samuel Sawyer Jr.J.J.B. Hilliard, W.L. Lyons, LLCUBS Financial Services Inc.$15005-11-2009
Patrick Sean JohnsonFTB Advisors, Inc.UBS Financial Services Inc.05-18-2009
Gary Stephen ShortridgeSecurities America, Inc.UBS Financial Services Inc.05-20-2009
James Hedges FergusonSterne, Agee & Leach, Inc.Citigroup Global Markets Inc.05-22-2009
Jennifer Dawn HowardSterne, Agee & Leach, Inc.Citigroup Global Markets Inc.05-22-2009
John E WadeB. Riley Wealth ManagementUBS Financial Services Inc.05-22-2009
Catherine Sharp SmithMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.$2505-29-2009
Matthew Paul MccoyMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.05-29-2009
Michael Coy LawsonLPL Financial LLCEdward Jones06-01-2009
Michael Eugene GoldstonThoroughbred Financial Services, LLCCambridge Way, Inc.$2506-08-2009
Raymond Lee Mockmore Sr.Thoroughbred Financial Services, LLCCambridge Way, Inc.$1,00006-08-2009
Stanley Darrell KeathleyNext Financial Group, Inc.Securities Service Network, LLC06-10-2009
Timothy Charles ClarkPrincipal Securities, Inc.Securian Financial Services, Inc.06-11-2009
Stevan Lenoir Black Jr.Morgan Keegan & Company, Inc.INVEST Financial Corporation06-12-2009
Michael Sean BurkeFifth Third Securities, Inc.Synovus Securities, Inc.06-22-2009
James N KraeskeBrogan Financial, Inc.VALIC Financial Advisors, Inc.06-25-2009
Francis Patrick CunninghamB. Riley Wealth ManagementMorgan Keegan & Company, Inc.$10006-26-2009
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Showing 101 to 125 of 1,882 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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