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
Wanda Elaine Warsinski	New England Securities Corporation other	MML Investors Services, LLC other	Other	Dec 31, 2014	Apr 30, 2015 (120 d)
Ryan John Shanley	New England Securities Corporation other	Hornor, Townsend & Kent, LLC other	Other	Dec 24, 2014	Mar 2, 2015 (68 d)
Charles Richardson Ieuter	New England Securities Corporation other	Sequoia Wealth Management, LLC no RAUM	Other	Dec 22, 2014	Dec 19, 2014
Qayyum A Raheem	New England Securities Corporation other	Pruco Securities, LLC other	Other	Dec 22, 2014	May 13, 2015 (142 d)
Leonard Todd Johnson	New England Securities Corporation other	Sagepoint Financial, Inc. other	Other	Dec 22, 2014	Mar 26, 2015 (94 d)
Jeffrey Ryan Thompson	New England Securities Corporation other	Morgan Stanley wirehouse	Other	Dec 22, 2014	Dec 19, 2014
Matthew Ambuehl	New England Securities Corporation other	Pruco Securities, LLC other	Other	Dec 22, 2014	Jan 30, 2015 (39 d)
Robert George Tardio	New England Securities Corporation other	Sagepoint Financial, Inc. other	Other	Dec 22, 2014	Feb 17, 2015 (57 d)
Raymond Bradley Brown	New England Securities Corporation other	Osaic Wealth, Inc. other	Other	Dec 17, 2014	Jan 2, 2015
Stephen Brian Levy	New England Securities Corporation other	Msi Financial Services, Inc. other	Other	Dec 11, 2014	Dec 4, 2009
Peter D. Horwitch	New England Securities Corporation other	J. W. Cole Advisors, Inc. other	Other	Dec 8, 2014	Dec 1, 2014
Martin Ira Friedman	New England Securities Corporation other	Level Four Advisory Services other	Other	Dec 8, 2014	Dec 5, 2014
Michael Joseph Woitkoski	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Dec 8, 2014	Nov 26, 2014
Kathleen Elizabeth Owings	New England Securities Corporation other	J. W. Cole Advisors, Inc. other	Other	Dec 8, 2014	Dec 1, 2014
Linus Jae Park	New England Securities Corporation other	Mcadam LLC no RAUM	Other	Dec 8, 2014	Dec 10, 2014
Gabriel David Milano	New England Securities Corporation other	Td Ameritrade, Inc. no RAUM	Other	Dec 8, 2014	Dec 22, 2014
Kevin Cole Kynoch	New England Securities Corporation other	Securian Financial Services, Inc. BD affiliated	Other	Nov 21, 2014	Jun 2, 2021 (2385 d)
Anna Abma	New England Securities Corporation other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 21, 2014	Dec 12, 2014
Gerald Melvin Goz	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 21, 2014	Dec 15, 2014
Darren Blaine Todd	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 21, 2014	Nov 13, 2014
Brett G Ketvertis	New England Securities Corporation other	Osaic Fa, Inc. other	Other	Nov 21, 2014	Nov 14, 2014
Cheryl Ann Constantino	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 21, 2014	Nov 17, 2014
John Haywood Lyon	New England Securities Corporation other	MML Investors Services, LLC other	Other	Nov 21, 2014	May 4, 2015 (164 d)
Barclay Kendall Callender	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 21, 2014	Nov 17, 2014
Beth Vivian Walker	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 20, 2014	Nov 18, 2014
Mark Andrew Senseman	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 17, 2014	Nov 18, 2014
Mitchell Douglas Stolba	New England Securities Corporation other	Great Valley Advisor Group, LLC other	Other	Nov 17, 2014	Nov 13, 2014
Nathan Allen Richter	New England Securities Corporation other	Great Valley Advisor Group, LLC other	Other	Nov 17, 2014	Nov 13, 2014
Matthew A. Peterson	New England Securities Corporation other	Great Valley Advisor Group, LLC other	Other	Nov 17, 2014	Nov 13, 2014
Paul Sun-Wook Lim	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 17, 2014	Nov 19, 2014
James Dale Brown	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 14, 2014	Nov 18, 2014
Christopher Todd Rand	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 14, 2014	Nov 13, 2014
Marc Arlyn Gallo	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 14, 2014	Nov 12, 2014
Joe Francis Redmond	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 14, 2014	Dec 5, 2014
Shanna Jean Kehoe	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 13, 2014	Oct 23, 2014
Jason William Gamett	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 13, 2014	Nov 17, 2014
Patrick Michael Dunn	New England Securities Corporation other	Osaic Fa, Inc. other	Other	Nov 13, 2014	Nov 3, 2014
Tony Lee Brewer	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 13, 2014	Oct 23, 2014
Lawrence Joseph Weller	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 13, 2014	Nov 12, 2014
Scott Andrew Ellsworth	New England Securities Corporation other	Legend Advisory, LLC other	Other	Nov 11, 2014	Nov 11, 2014
William Frederick Fox	New England Securities Corporation other	First Allied Advisory Services, Inc. other	Other	Nov 10, 2014	Nov 3, 2014
James Arthur Baker	New England Securities Corporation other	First Allied Advisory Services, Inc. other	Other	Nov 10, 2014	Nov 3, 2014
Michael Stephan Mare	New England Securities Corporation other	Nova Financial Services other	Other	Nov 10, 2014	Nov 3, 2014
Jimmy Lee	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Nov 7, 2014	Nov 13, 2014
Katherine M Brandon	New England Securities Corporation other	Charles Schwab & Co., Inc. national BD	Other	Nov 7, 2014	Sep 23, 2025 (3973 d)
Daniel David Duren	New England Securities Corporation other	Sagepoint Financial, Inc. other	Other	Oct 31, 2014	Oct 31, 2014
Troy John Shreve	New England Securities Corporation other	Sagepoint Financial, Inc. other	Other	Oct 31, 2014	Oct 31, 2014
April L Martin	New England Securities Corporation other	Securities America Advisors, Inc. other	Other	Oct 31, 2014	Oct 27, 2014
Dustin John Will	New England Securities Corporation other	Sagepoint Financial, Inc. other	Other	Oct 31, 2014	Oct 31, 2014
Gary Hay	New England Securities Corporation other	The Wealth Consulting Group no RAUM	Other	Oct 30, 2014	Nov 17, 2014
Susan Schechter Weinblatt	New England Securities Corporation other	Securian Financial Services, Inc. other	Other	Oct 27, 2014	Nov 24, 2014
Jason Jon Lukz	New England Securities Corporation other	Valmark Advisers, Inc. other	Other	Oct 27, 2014	Oct 20, 2014
Carolrose Ann Schlesinger	New England Securities Corporation other	LPL Financial LLC independent RIA	Other	Oct 9, 2014	Jan 3, 2023 (3008 d)
Brett Mckinley Graham	New England Securities Corporation other	Msi Financial Services, Inc. other	Other	Oct 9, 2014	Jan 5, 2015 (88 d)
Dustin J Giannangelo	New England Securities Corporation other	LPL Financial LLC other	Other	Oct 7, 2014	Sep 30, 2014
Arin J Macqueen	New England Securities Corporation other	Voya Financial Advisors, Inc. other	Other	Oct 2, 2014	Oct 13, 2014
Walker Person	New England Securities Corporation other	Tlg Advisors, Inc. other	Other	Oct 2, 2014	Jan 20, 2016 (475 d)
Robert Hamilton Ellsworth	New England Securities Corporation other	Osaic Institutions, Inc. other	Other	Oct 1, 2014	Sep 30, 2014
Heather Logan Moir-Dangler	New England Securities Corporation other	Cambridge Investment Research Advisors, Inc. other	Other	Sep 19, 2014	Sep 16, 2014
Samuel Wilson Griggs	New England Securities Corporation other	Ssn Advisory, Inc. other	Other	Sep 15, 2014	Sep 29, 2014

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1,041 moves match.