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.

AdvisorFromToTypeLeftRegistered
Michael Edward MenningNew England Securities Corporation otherSagepoint Financial, Inc. otherOtherOct 31, 2013Oct 30, 2013
Ryan Michael EvansNew England Securities Corporation otherNorthwestern Mutual Investment Services,LLC otherOtherOct 29, 2013Jan 29, 2014 (92 d)
Richard Alan RudnickiNew England Securities Corporation otherMML Investors Services, LLC otherOtherOct 28, 2013Nov 14, 2013
Keith David HanenbergNew England Securities Corporation otherSecurian Financial Services, Inc. otherOtherOct 28, 2013Nov 1, 2013
Steven Thomas SummaNew England Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherOct 24, 2013Jun 13, 2014 (232 d)
Patrick John BrannanNew England Securities Corporation otherCetera Advisors LLC otherOtherOct 24, 2013Oct 21, 2013
Scott Thomas FarmerNew England Securities Corporation otherNationwide Securities, LLC no RAUMOtherOct 16, 2013Nov 7, 2013
Donald Robert BurnafordNew England Securities Corporation otherAmerican Portfolios Advisors, Inc otherOtherOct 15, 2013Oct 23, 2013
Kent P Von Der VellenNew England Securities Corporation otherHornor, Townsend & Kent, LLC otherOtherOct 15, 2013Oct 21, 2013
Edward Robert VrablikNew England Securities Corporation otherSecurian Financial Services, Inc. otherOtherOct 11, 2013Nov 1, 2013
Dominick Joseph FioreNew England Securities Corporation otherWorld Investment Advisors, LLC otherOtherOct 7, 2013Jun 26, 2025 (4280 d)
Leslie Anne HerrNew England Securities Corporation otherJ.P. Morgan Securities LLC wirehouseOtherOct 7, 2013Sep 8, 2014 (336 d)
Richard Alexander LeuNew England Securities Corporation otherCreative Planning otherOtherOct 7, 2013Oct 1, 2013
Martin D. WeissNew England Securities Corporation otherSgl Financial, LLC otherOtherOct 7, 2013Oct 3, 2013
Emily O PatteeNew England Securities Corporation otherMorgan Stanley wirehouseOtherOct 7, 2013Jan 3, 2014 (88 d)
Abigail HurlburtNew England Securities Corporation otherMariner otherOtherOct 3, 2013Jan 24, 2011
Daniel V BrungardNew England Securities Corporation otherPruco Securities, LLC otherOtherOct 3, 2013Oct 18, 2013
John R DuffyNew England Securities Corporation otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherOct 1, 2013Mar 12, 2014 (162 d)
Michael Jay BairdNew England Securities Corporation otherSecurities America Advisors, Inc. otherOtherSep 26, 2013Jul 23, 2014 (300 d)
Brian Dean ParkerNew England Securities Corporation otherPruco Securities, LLC otherOtherSep 25, 2013Oct 8, 2013
Matthew C McdonoughNew England Securities Corporation otherPruco Securities, LLC otherOtherSep 25, 2013Oct 14, 2013
Anthony Joseph DorvalNew England Securities Corporation otherMoors & Cabot, Inc otherOtherSep 17, 2013Sep 17, 2013
Dahmen M LariviereNew England Securities Corporation otherLPL Enterprise, LLC no RAUMOtherSep 13, 2013Sep 26, 2024 (4031 d)
Joshua John SandsNew England Securities Corporation otherLevel Four Advisory Services otherOtherSep 12, 2013Sep 12, 2013
Mark William SearsNew England Securities Corporation otherPruco Securities, LLC otherOtherSep 9, 2013Sep 24, 2013
Mark Eric ScarbroughNew England Securities Corporation otherMML Investors Services, LLC otherOtherSep 9, 2013Feb 6, 2014 (150 d)
Nathan Edwin GierkeNew England Securities Corporation otherEquitable Advisors, LLC national BDOtherSep 6, 2013Sep 18, 2013
Janet Marie GoulartNew England Securities Corporation otherMariner otherOtherSep 5, 2013Mar 31, 2010
Philip E LavelleNew England Securities Corporation otherRobovise Dba Robo no RAUMOtherSep 4, 2013Oct 4, 2018 (1856 d)
Edward George VargoNew England Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherSep 4, 2013Aug 30, 2013
Melana Jean CarbaryNew England Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherSep 4, 2013Aug 30, 2013
Christopher Jay TwiningNew England Securities Corporation otherPension Builders And Consultants otherOtherSep 3, 2013Feb 23, 2015 (538 d)
Robert ClementsNew England Securities Corporation otherPrivate Advisor Group, LLC otherOtherAug 30, 2013Aug 26, 2013
Peter William GrassiNew England Securities Corporation otherPrivate Advisor Group, LLC otherOtherAug 29, 2013Aug 26, 2013
Todd Harland BurnafordNew England Securities Corporation otherPersonal Capital Advisors Corporation otherOtherAug 27, 2013May 11, 2017 (1353 d)
Richard Peter DebruinNew England Securities Corporation otherHighpoint Advisor Group, LLC otherOtherAug 22, 2013Aug 21, 2013
Kimberly Ann CarrollNew England Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherAug 21, 2013Sep 9, 2013
Stephen Charles MathewsNew England Securities Corporation otherSagepoint Financial, Inc. otherOtherAug 20, 2013Aug 21, 2013
Lamont A. BrownNew England Securities Corporation otherNewsquare Capital, LLC otherOtherAug 20, 2013Oct 29, 2010
Jason A SnipeNew England Securities Corporation otherNfp Advisor Services, LLC otherOtherAug 20, 2013Aug 15, 2013
Nohemy Yolanda MontesNew England Securities Corporation otherCetera Investment Advisers LLC BD affiliatedOtherAug 16, 2013Mar 21, 2024 (3870 d)
Roy Francis LissarragueNew England Securities Corporation otherOneamerica Securities, Inc. otherOtherJul 29, 2013Jan 4, 2018 (1620 d)
Nikitas Nikolaos KoumoundourosNew England Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherJul 29, 2013Jul 25, 2013
John Lewis BoyerNew England Securities Corporation otherLevel Four Advisory Services otherOtherJul 23, 2013Jul 31, 2013
Nancy Da-Thu DinhNew England Securities Corporation otherValic Financial Advisors, Inc. otherOtherJul 18, 2013Aug 29, 2013 (42 d)
Jack William ButlerNew England Securities Corporation otherWells Fargo Advisors wirehouseOtherJul 18, 2013Jul 17, 2013
Anthony J. RisciliNew England Securities Corporation otherB. Riley Wealth Advisors, Inc. otherOtherJul 9, 2013Nov 15, 2013 (129 d)
Thomas Dennis MartinNew England Securities Corporation otherCetera Investment Services LLC otherOtherJul 1, 2013Jul 8, 2013
David Andrew EbnerNew England Securities Corporation otherIndependent Financial Group, LLC otherOtherJun 26, 2013Jun 20, 2013
Gerald Dennis FaheyNew England Securities Corporation otherHoover Financial Advisors, Inc. otherOtherJun 21, 2013Jun 19, 2013
Mark Anthony HalbyNew England Securities Corporation otherNautilus Advisors LLC otherOtherJun 19, 2013Jun 18, 2013
Tony PengNew England Securities Corporation otherWells Fargo Advisors wirehouseOtherJun 19, 2013Jun 21, 2013
Daniel August CeschinNew England Securities Corporation otherMutual Of Omaha Investor Services, Inc. no RAUMOtherJun 18, 2013Apr 1, 2014 (287 d)
Joseph Leo SheffieckNew England Securities Corporation otherMML Investors Services, LLC otherOtherJun 18, 2013Mar 23, 2015 (643 d)
Joanne Meredith YanogacioNew England Securities Corporation otherMorgan Stanley wirehouseOtherJun 13, 2013Jul 1, 2013
Brian Joseph McgivernNew England Securities Corporation otherCambridge Investment Research Advisors, Inc. otherOtherJun 7, 2013Nov 18, 2013 (164 d)
William Mac CongelioNew England Securities Corporation otherPrincipal Securities, Inc. otherOtherJun 6, 2013Jun 21, 2013
Kenneth Robert NadeauNew England Securities Corporation otherPrincipal Securities, Inc. otherOtherJun 5, 2013Jul 15, 2013 (40 d)
Steven J SchwerNew England Securities Corporation otherWintrust Investments otherOtherMay 31, 2013May 29, 2013
Jason Kurt MickoolNew England Securities Corporation otherVoya Financial Advisors, Inc. otherOtherMay 23, 2013Jul 2, 2013 (40 d)
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1,041 moves match.