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
Austin Richard Albert	New England Securities Corporation other	The Patriot Financial Group, LLC no RAUM	Other	Jun 5, 2012	Oct 3, 2014 (850 d)
Aaron G Tachon	New England Securities Corporation other	Harbour Investments, Inc. other	Other	May 31, 2012	May 23, 2012
Daniel Patrick Bierals	New England Securities Corporation other	World Equity Group, Inc. other	Other	May 24, 2012	May 21, 2012
Brian Michael O'Dowd	New England Securities Corporation other	O'Dowd Asset Management LLC state registered	Other	May 24, 2012	Mar 12, 2020 (2849 d)
Joseph John Kovach	New England Securities Corporation other	Cetera Advisors LLC other	Other	May 18, 2012	May 21, 2012
Chaffon D Rankin	New England Securities Corporation other	Huntington Financial Advisors other	Other	May 17, 2012	May 29, 2012
James Vincent Mari	New England Securities Corporation other	Voya Financial Advisors, Inc. other	Other	May 14, 2012	Sep 5, 2013 (479 d)
Neil Alan Knierim	New England Securities Corporation other	Principal Securities, Inc. other	Other	May 4, 2012	Jun 1, 2012
Mark Matsumura	New England Securities Corporation other	Transamerica Financial Advisors, LLC other	Other	May 2, 2012	May 8, 2012
Jason M Platt	New England Securities Corporation other	Mariner other	Other	Apr 17, 2012	Jan 20, 2011
Omar Ahmed Ezz	New England Securities Corporation other	Azzad Asset Management, Inc. other	Other	Apr 16, 2012	Sep 13, 2012 (150 d)
Scott Chapman Hanna	New England Securities Corporation other	Ameritas Advisory Services other	Other	Apr 5, 2012	Jun 25, 2014 (811 d)
William Joel Bell	New England Securities Corporation other	MML Investors Services, LLC other	Other	Apr 5, 2012	Jun 14, 2012 (70 d)
George D Lehmann	New England Securities Corporation other	Park Avenue Securities LLC other	Other	Apr 5, 2012	Jul 17, 2012 (103 d)
Charles Robert Armstrong	New England Securities Corporation other	D2 Capital Management state registered	Other	Apr 4, 2012	Oct 27, 2025 (4954 d)
Kenneth Wayne Jones	New England Securities Corporation other	Cetera Advisors LLC other	Other	Apr 2, 2012	Apr 25, 2012
Rick Anthony Baray	New England Securities Corporation other	Chase Investment Services Corp. other	Other	Apr 2, 2012	Apr 25, 2012
Eric Michael Altenburg	New England Securities Corporation other	The Wealth Consulting Group independent RIA	Other	Mar 29, 2012	Jul 29, 2025 (4870 d)
Luis Chaves	New England Securities Corporation other	Invest Financial Corporation other	Other	Mar 23, 2012	Mar 16, 2012
Cory Reed Walton	New England Securities Corporation other	Invest Financial Corporation other	Other	Mar 23, 2012	Mar 21, 2012
John Lee	New England Securities Corporation other	Strategic Advisers LLC national BD	Other	Mar 21, 2012	Apr 5, 2012
Daniel Edward Sigman	New England Securities Corporation other	Next Financial Group, Inc. other	Other	Mar 14, 2012	Mar 1, 2012
Joshua M Kopec	New England Securities Corporation other	Next Financial Group, Inc. other	Other	Mar 13, 2012	Mar 1, 2012
Alfredo Enrique Michael	New England Securities Corporation other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 28, 2012	Aug 30, 2023 (4201 d)
Timothy Michael Grace	New England Securities Corporation other	Gwn Securities Inc. other	Other	Feb 27, 2012	Mar 20, 2012
Matthew V Poteete	New England Securities Corporation other	Invest Financial Corporation other	Other	Feb 23, 2012	Apr 2, 2012 (39 d)
John B Frahm	New England Securities Corporation other	Vsr Advisory Services other	Other	Feb 22, 2012	Jan 13, 2014 (691 d)
Nicholas Anthony Boeckman	New England Securities Corporation other	Brookstone Capital Management LLC other	Other	Feb 9, 2012	Feb 17, 2012
Enoch Carter Morris	New England Securities Corporation other	Spc other	Other	Feb 1, 2012	Jan 26, 2012
Amber N Morris	New England Securities Corporation other	Valic Financial Advisors, Inc. other	Other	Feb 1, 2012	Jan 31, 2012
Cory Underwood	New England Securities Corporation other	Cue Financial Group, Inc. other	Other	Jan 31, 2012	Jan 27, 2012
Melissa Sara Gerhardt	New England Securities Corporation other	Securian Financial Services, Inc. other	Other	Jan 25, 2012	Feb 22, 2012
James Wirt Hyndman	New England Securities Corporation other	Packerland Brokerage Services, Inc. other	Other	Jan 20, 2012	Jan 18, 2012
Daniel Mark Mccoy	New England Securities Corporation other	Msi Financial Services, Inc. other	Other	Jan 18, 2012	Mar 31, 2015 (1168 d)
Jeffrey G Hochstetler	New England Securities Corporation other	Morgan Stanley wirehouse	Other	Jan 17, 2012	Feb 29, 2012 (43 d)
Trevis Clint Rucci	New England Securities Corporation other	Raymond James Financial Services Advisors, Inc other	Other	Jan 10, 2012	Mar 5, 2012 (55 d)
Thomas James Trimble	New England Securities Corporation other	Wells Fargo Advisors wirehouse	Other	Jan 4, 2012	Jan 4, 2012
Isaac Ortiz	New England Securities Corporation other	Fsc Securities Corporation other	Other	Dec 23, 2011	Jan 4, 2012
Jason Anthony Mullins	New England Securities Corporation other	Fsc Securities Corporation other	Other	Dec 23, 2011	Jan 3, 2012
Larry Tyrone Jenkins	New England Securities Corporation other	Creativeone Securities, LLC other	Other	Dec 21, 2011	May 17, 2012 (148 d)
Thomas Jefferson Sibley	New England Securities Corporation other	Park Avenue Securities LLC other	Other	Dec 19, 2011	Feb 17, 2012 (60 d)
Kyle Matthew Sweet	New England Securities Corporation other	Cetera Investment Advisers LLC other	Other	Dec 13, 2011	Jan 21, 2014 (770 d)
Mark Curtis Scott	New England Securities Corporation other	Spc other	Other	Nov 28, 2011	Nov 17, 2011
Craig Alan Burtis	New England Securities Corporation other	Lawing Financial Inc other	Other	Nov 22, 2011	Nov 15, 2011
Jeffrey Michael Thompson	New England Securities Corporation other	LPL Financial LLC other	Other	Nov 22, 2011	Nov 18, 2011
Brett David Murch	New England Securities Corporation other	Securities America Advisors, Inc. other	Other	Nov 14, 2011	Nov 9, 2011
Kurt Russell Britnell	New England Securities Corporation other	Concourse Financial Group Advisors other	Other	Nov 8, 2011	Nov 10, 2011
Newlin Ottis Wollaston	New England Securities Corporation other	Chase Investment Services Corp. other	Other	Oct 21, 2011	Jan 19, 2012 (90 d)
Jon P Glink	New England Securities Corporation other	Cetera Advisor Networks LLC other	Other	Oct 20, 2011	Oct 11, 2011
Kyle Abbot	New England Securities Corporation other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 19, 2011	Apr 26, 2013 (555 d)
Jacob Ross Biltz	New England Securities Corporation other	LPL Financial LLC other	Other	Oct 18, 2011	Nov 17, 2011
Theresa Ann Sherman	New England Securities Corporation other	On Investment Management Co other	Other	Oct 12, 2011	Oct 17, 2012 (371 d)
Christopher Brian Damiano	New England Securities Corporation other	Truist Advisory Services, Inc. no RAUM	Other	Oct 3, 2011	Sep 16, 2016 (1810 d)
Grace Yvonne Ottey	New England Securities Corporation other	Eagle Strategies LLC BD affiliated	Other	Sep 29, 2011	Apr 22, 2022 (3858 d)
Andrew R Shuster	New England Securities Corporation other	Mariner other	Other	Sep 27, 2011	Jul 22, 2011
Duane J Haley	New England Securities Corporation other	Wells Fargo Advisors wirehouse	Other	Sep 12, 2011	Sep 9, 2011
Paul Delmas Torres	New England Securities Corporation other	Oneamerica Securities, Inc. other	Other	Sep 9, 2011	Dec 16, 2011 (98 d)
John William Holmes	New England Securities Corporation other	Pnc Managed Account Solutions, Inc. other	Other	Sep 7, 2011	Oct 7, 2013 (761 d)
John Raymond Boyce	New England Securities Corporation other	Hornor, Townsend & Kent, LLC other	Other	Aug 31, 2011	Oct 18, 2011 (48 d)
Michael Vitas Kane	New England Securities Corporation other	Msi Financial Services, Inc. other	Other	Aug 30, 2011	Nov 16, 2011 (78 d)

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1,041 moves match.