DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Departures from New England Securities Corporation

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
Jonathan David Baety	New England Securities Corporation other	Waddell & Reed other	Other	Aug 22, 2011	Aug 9, 2011
David Adams Gallman	New England Securities Corporation other	E*Trade Capital Management, LLC other	Other	Aug 8, 2011	Oct 11, 2011 (64 d)
Jeremy Daniel Ditullio	New England Securities Corporation other	Osaic Fa, Inc. other	Other	Aug 4, 2011	Aug 11, 2011
Robert Anthony Egan	New England Securities Corporation other	First Allied Securities, Inc. other	Other	Aug 4, 2011	Aug 3, 2011
Jessica Rhae Gerdes	New England Securities Corporation other	Advice And Planning Services other	Other	Jul 13, 2011	Jan 10, 2017 (2008 d)
Robert Abram Smith	New England Securities Corporation other	Concourse Financial Group Advisors other	Other	Jul 7, 2011	Oct 5, 2011 (90 d)
James Troy Tuttle	New England Securities Corporation other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 1, 2011	Oct 11, 2011 (102 d)
John Edward Tattersall	New England Securities Corporation other	Wealthcare Advisory Partners LLC other	Other	Jun 24, 2011	Jun 22, 2017 (2190 d)
Jarrod Lee Brinkman	New England Securities Corporation other	Pruco Securities, LLC other	Other	Jun 24, 2011	Nov 8, 2012 (503 d)
Mary Jean Robbins	New England Securities Corporation other	Osaic Institutions, Inc. other	Other	Jun 22, 2011	Jun 27, 2011
Andrew James Harlan	New England Securities Corporation other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 20, 2011	Aug 11, 2011 (52 d)
Darin Britton Guthrie	New England Securities Corporation other	Ameriprise Financial Services, LLC national BD	Other	Jun 10, 2011	May 31, 2011
Mark Wallace Smith	New England Securities Corporation other	Regal Investment Advisors LLC other	Other	Jun 8, 2011	Jun 22, 2011
Gregory Howard Kamp	New England Securities Corporation other	MML Investors Services, LLC other	Other	Jun 7, 2011	Jul 20, 2011 (43 d)
William Thomas Lockwood	New England Securities Corporation other	Woodbury Financial Services, Inc. other	Other	Jun 6, 2011	May 31, 2011
Justin James Long	New England Securities Corporation other	Strategic Advisers LLC national BD	Other	Jun 1, 2011	Jul 15, 2011 (44 d)
Richard Friaglia	New England Securities Corporation other	Securian Financial Services, Inc. other	Other	May 24, 2011	Jun 9, 2011
John Bracker	New England Securities Corporation other	Woodbury Financial Services, Inc. other	Other	May 13, 2011	Apr 19, 2011
Michael Dorsey	New England Securities Corporation other	Chase Investment Services Corp. other	Other	May 6, 2011	May 6, 2011
Justin Lawrence Linder	New England Securities Corporation other	Wealth Management Partners LLC state registered	Other	Apr 27, 2011	Jun 1, 2011 (35 d)
Kerry Suzette Denton	New England Securities Corporation other	Cetera Investment Advisers LLC other	Other	Apr 25, 2011	Jun 22, 2017 (2250 d)
Marcel Richard Morin	New England Securities Corporation other	Centaurus Financial, Inc. other	Other	Apr 25, 2011	Apr 14, 2011
Bryan Michael Mccloskey	New England Securities Corporation other	Old Security Group state registered	Other	Apr 25, 2011	Apr 2, 2013 (708 d)
Joshua Charles Liljenquist	New England Securities Corporation other	E*Trade Capital Management, LLC other	Other	Apr 7, 2011	Apr 14, 2011
Linda Watson Bowen	New England Securities Corporation other	Wells Fargo Advisors wirehouse	Other	Apr 1, 2011	Jun 16, 2011 (76 d)
Branden Scott Findeisen	New England Securities Corporation other	Spc other	Other	Mar 31, 2011	Apr 1, 2011
Paul J. Phelan	New England Securities Corporation other	Financial Telesis, Inc. other	Other	Mar 28, 2011	Jul 30, 2012 (490 d)
Michael Eugene Geitner	New England Securities Corporation other	E*Trade Capital Management, LLC other	Other	Mar 25, 2011	Feb 6, 2013 (684 d)
Michael F. Laporta	New England Securities Corporation other	Morgan Stanley wirehouse	Other	Mar 21, 2011	Mar 16, 2011
Stephen Davis Miles	New England Securities Corporation other	Invest Financial Corporation other	Other	Mar 18, 2011	Mar 16, 2011
Vinh Do	New England Securities Corporation other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 18, 2011	Mar 23, 2011
Richard Wade Herbert	New England Securities Corporation other	Waddell & Reed other	Other	Mar 11, 2011	Mar 17, 2011
Scott E. Dubin	New England Securities Corporation other	Wells Fargo Advisors wirehouse	Other	Mar 9, 2011	Mar 8, 2011
Patrick Charles Hannon	New England Securities Corporation other	Wells Fargo Advisors wirehouse	Other	Mar 3, 2011	Sep 28, 2011 (209 d)
Jason Allan Stroede	New England Securities Corporation other	Oneamerica Securities, Inc. other	Other	Mar 2, 2011	Sep 7, 2011 (189 d)
Mark Edward Fell	New England Securities Corporation other	Cetera Investment Advisers LLC BD affiliated	Other	Feb 28, 2011	Mar 21, 2024 (4770 d)
Monica Monique Gamblin	New England Securities Corporation other	First Heartland Consultants, Inc. other	Other	Feb 25, 2011	Mar 2, 2011
Brett Raymond Cloak	New England Securities Corporation other	Mma Asset Management LLC other	Other	Feb 24, 2011	Feb 25, 2011
Barbara Ann Bielucki	New England Securities Corporation other	T. Rowe Price Advisory Services, Inc. independent RIA	Other	Feb 24, 2011	Apr 16, 2019 (2973 d)
Rajesh Khullar	New England Securities Corporation other	Allstate Financial Advisors, LLC no RAUM	Other	Feb 8, 2011	Feb 17, 2011
Matthew Todd Flynn	New England Securities Corporation other	Morgan Stanley wirehouse	Other	Feb 8, 2011	Feb 25, 2011
Kenneth Matthew Handy	New England Securities Corporation other	Equitable Advisors, LLC national BD	Other	Feb 4, 2011	Apr 4, 2011 (59 d)
Michael Angelo Rosero	New England Securities Corporation other	Tower Square Securities, Inc. other	Other	Jan 31, 2011	Mar 3, 2006
Steven Paul Mignogna	New England Securities Corporation other	Legacy Advisors, LLC other	Other	Jan 25, 2011	Oct 5, 2011 (253 d)
Weston Charles Reinbolt	New England Securities Corporation other	LPL Financial LLC other	Other	Jan 24, 2011	Mar 11, 2011 (46 d)
Roger Stephen Augustyn	New England Securities Corporation other	Vsr Advisory Services other	Other	Jan 21, 2011	Jan 21, 2011
Robert Martin Nickoson	New England Securities Corporation other	Coppell Advisory Solutions LLC other	Other	Jan 14, 2011	Oct 2, 2013 (992 d)
Jason Charles Widler	New England Securities Corporation other	MML Investors Services, LLC other	Other	Jan 10, 2011	Feb 8, 2011
Justin Craig Bertelson	New England Securities Corporation other	Charles Schwab & Co., Inc. national BD	Other	Jan 10, 2011	May 20, 2011 (130 d)
Hector Noe Hinojosa	New England Securities Corporation other	Veritrust Financial, LLC other	Other	Jan 6, 2011	Apr 27, 2011 (111 d)
Christina Jenny Mangino	New England Securities Corporation other	Invest Financial Corporation other	Other	Jan 4, 2011	Dec 8, 2010
Joshua Townsend Pierce	New England Securities Corporation other	Mariner other	Other	Dec 31, 2010	Feb 11, 2010
Scott Lord	New England Securities Corporation other	Principal Securities, Inc. other	Other	Dec 22, 2010	Jan 4, 2011
Jacob Ryan Stewart	New England Securities Corporation other	Manulife Investment Management (US) LLC other	Other	Dec 16, 2010	Dec 3, 2010
Judith Ann Griffin	New England Securities Corporation other	Cambridge Investment Research Advisors, Inc. other	Other	Dec 15, 2010	Dec 13, 2010
Eric Dean Stuart	New England Securities Corporation other	Allegis Investment Advisors, LLC other	Other	Dec 13, 2010	Nov 22, 2016 (2171 d)
Bill F. Roach	New England Securities Corporation other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 2, 2010	Dec 21, 2010
Peter J. Palmer	New England Securities Corporation other	Strategic Advisers LLC national BD	Other	Nov 30, 2010	May 5, 2011 (156 d)
David Harold Jesperson	New England Securities Corporation other	Strategic Advisers LLC national BD	Other	Nov 15, 2010	May 12, 2011 (178 d)
Dewey Alan Engelsma	New England Securities Corporation other	Regal Investment Advisors LLC other	Other	Nov 12, 2010	Nov 8, 2010

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1,041 moves match.