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
Lori W MeterNew England Securities Corporation otherPark Avenue Securities LLC otherOtherMay 16, 2013Nov 5, 2013 (173 d)
Jeffrey Alan HoehnerNew England Securities Corporation otherWbb Securities, LLC state registeredOtherMay 14, 2013May 17, 2013
Edward Walter MorrisseyNew England Securities Corporation otherPrincipal Securities, Inc. otherOtherMay 13, 2013Sep 6, 2013 (116 d)
Jennifer A. Zaat-WrightNew England Securities Corporation otherCapital Planning Group, LLC unclassifiedOtherMay 9, 2013May 9, 2013
Ralph James RomanoNew England Securities Corporation otherAllstate Financial Advisors, LLC no RAUMOtherMay 9, 2013Jun 28, 2013 (50 d)
Brian Thomas MaherNew England Securities Corporation otherFirstmerit Advisors, Inc. unclassifiedOtherMay 8, 2013May 13, 2013
Adam Michael GoyerNew England Securities Corporation otherPartnervest Advisory Services LLC otherOtherMay 8, 2013Oct 24, 2013 (169 d)
Edick Antonio LucasNew England Securities Corporation otherMariner otherOtherMay 7, 2013Aug 6, 2012
Michael Dean AllenNew England Securities Corporation otherSignator Investors, Inc. otherOtherMay 7, 2013Jul 10, 2013 (64 d)
Eric Harlan BrysonNew England Securities Corporation otherCharles Schwab & Co., Inc. national BDOtherMay 7, 2013Jun 7, 2013 (31 d)
Thomas Francis BennettNew England Securities Corporation otherBancwest Investment Services, Inc. (Bwis) otherOtherMay 1, 2013Jun 11, 2013 (41 d)
Ericka Zettel Schaefer HanleyNew England Securities Corporation otherCri Securities, LLC BD affiliatedOtherApr 29, 2013Nov 14, 2019 (2390 d)
Philip Nathaniel OlsonNew England Securities Corporation otherAmeritas Advisory Services otherOtherApr 25, 2013Feb 18, 2014 (299 d)
Ronald Domenic PiccininiNew England Securities Corporation otherPrincipal Securities, Inc. otherOtherApr 17, 2013May 15, 2013
Ann Lamontagne SwartzNew England Securities Corporation otherOsaic Fa, Inc. otherOtherApr 11, 2013Mar 25, 2014 (348 d)
John Michael MouselNew England Securities Corporation otherMML Investors Services, LLC otherOtherApr 8, 2013Apr 9, 2013
Jason WatsonNew England Securities Corporation otherMcadam LLC otherOtherApr 8, 2013Mar 23, 2017 (1445 d)
Rufus J BaldwinNew England Securities Corporation otherMsi Financial Services, Inc. otherOtherApr 4, 2013Apr 19, 2013
Marc Louis PushkinNew England Securities Corporation otherLPL Financial LLC otherOtherApr 3, 2013Mar 26, 2013
Steve TawadrousNew England Securities Corporation otherJ.P. Morgan Securities LLC wirehouseOtherApr 3, 2013May 28, 2013 (55 d)
James Edward CarlsonNew England Securities Corporation otherMariner otherOtherApr 1, 2013Dec 10, 2012
Randle Glenn SchumacherNew England Securities Corporation otherLPL Financial LLC BD affiliatedOtherMar 27, 2013Nov 12, 2020 (2787 d)
Robert Hall LaneNew England Securities Corporation otherSterne Agee Investment Advisor Services, Inc. otherOtherMar 15, 2013Mar 1, 2013
Linden Everett GouldNew England Securities Corporation otherMariner otherOtherMar 8, 2013Aug 23, 2012
Pamela C WhalenNew England Securities Corporation otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMar 5, 2013Mar 8, 2013
Jack Matthew CayceNew England Securities Corporation otherLPL Financial LLC otherOtherMar 4, 2013Feb 26, 2013
Jay R. RussellNew England Securities Corporation otherStrategic Advisers LLC national BDOtherFeb 25, 2013Sep 11, 2013 (198 d)
Alex Lee DapronNew England Securities Corporation otherJ.P. Morgan Securities LLC wirehouseOtherFeb 21, 2013Mar 4, 2013
Larry Franklin WynnNew England Securities Corporation otherSecurian Financial Services, Inc. otherOtherFeb 12, 2013Feb 14, 2013
Steven Roger CrossNew England Securities Corporation otherResource Horizons Investment Advisory, Inc. otherOtherFeb 7, 2013Feb 6, 2013
Keary Lee FosterNew England Securities Corporation otherAvantax Advisory Services otherOtherFeb 7, 2013Jan 31, 2013
Joshua Reed SteinNew England Securities Corporation otherMid Atlantic Financial Management, Inc. otherOtherFeb 7, 2013Feb 4, 2013
William BolasNew England Securities Corporation otherWells Fargo Advisors wirehouseOtherFeb 5, 2013Feb 1, 2013
Spencer Schreiber MillerNew England Securities Corporation otherWestern International Securities otherOtherFeb 4, 2013Feb 4, 2013
Leslie Seawell GarskeNew England Securities Corporation otherEquitable Advisors, LLC national BDOtherJan 25, 2013Feb 5, 2013
Morton A Allen HartNew England Securities Corporation otherUBS Financial Services Inc. wirehouseOtherJan 24, 2013Jan 31, 2013
Carlos F SuarezNew England Securities Corporation otherSagepoint Financial, Inc. otherOtherJan 22, 2013May 15, 2013 (113 d)
Nimrod G. ThompsonNew England Securities Corporation otherTd Capital Management LLC independent RIAOtherJan 11, 2013Jun 11, 2026 (4899 d)
Michael Joseph RoodNew England Securities Corporation otherAmeritas Advisory Services otherOtherJan 9, 2013Feb 1, 2013
Jace W ChamplinNew England Securities Corporation otherAmeritas Advisory Services otherOtherJan 7, 2013Jan 9, 2013
James Alexander BianchiNew England Securities Corporation otherCadaret Grant & Co Inc otherOtherJan 3, 2013Jan 4, 2013
Mark UlicnyNew England Securities Corporation otherUnited Capital Financial Advisors otherOtherJan 3, 2013Feb 1, 2013
Jonathan Cunningham CobbNew England Securities Corporation otherMML Investors Services, LLC otherOtherJan 3, 2013May 3, 2013 (120 d)
Shawn Richard WillNew England Securities Corporation otherPrincipal Securities, Inc. otherOtherJan 2, 2013Jan 29, 2013
Marc RossNew England Securities Corporation otherSignator Investors, Inc. otherOtherDec 31, 2012Jun 20, 2013 (171 d)
Thomas Phillip BoggessNew England Securities Corporation otherConcourse Financial Group Advisors otherOtherDec 31, 2012Jan 28, 2013
Kira Robinson-KatesNew England Securities Corporation otherMariner otherOtherDec 31, 2012Mar 8, 2011
Shawn Thomas HinesNew England Securities Corporation otherLPL Financial LLC otherOtherDec 20, 2012Dec 19, 2012
Daniel MayerNew England Securities Corporation otherMsi Financial Services, Inc. otherOtherDec 20, 2012Nov 27, 2013 (342 d)
Patrick Curtis ThomasNew England Securities Corporation otherPark Avenue Securities LLC otherOtherDec 19, 2012Jan 25, 2013 (37 d)
Marvin Chad StockettNew England Securities Corporation otherPark Avenue Securities LLC otherOtherDec 19, 2012Jan 25, 2013 (37 d)
Christopher Joseph BraunerNew England Securities Corporation otherBmo Harris Financial Advisors, Inc otherOtherDec 18, 2012Dec 19, 2012
Robert Daniel AndersonNew England Securities Corporation otherPrivate Advisor Group, LLC otherOtherDec 17, 2012Dec 18, 2012
Daniel Pierce DobbinsNew England Securities Corporation otherDobbins Capital Management state registeredOtherDec 14, 2012Nov 19, 2025 (4723 d)
Bradley Joseph KellenNew England Securities Corporation otherCetera Investment Advisers LLC BD affiliatedOtherDec 14, 2012Mar 21, 2024 (4115 d)
Mark R LyonsNew England Securities Corporation otherCetera Investment Advisers LLC BD affiliatedOtherDec 14, 2012Mar 21, 2024 (4115 d)
Dale Connor WroblewskiNew England Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherDec 11, 2012Mar 8, 2013 (87 d)
Ronda Kathleen ZatteraNew England Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherDec 5, 2012Apr 10, 2013 (126 d)
Paul R PrettiNew England Securities Corporation otherPackerland Brokerage Services, Inc. otherOtherDec 4, 2012Dec 3, 2012
Polly Marie StoeckleinNew England Securities Corporation otherIndependent Financial Partners otherOtherNov 26, 2012Nov 26, 2012
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1,041 moves match.