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

Arrivals at 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
Lori W Meter	Waddell & Reed other	New England Securities Corporation other	Other	May 4, 2012	May 22, 2012
Jeffrey L Goff	Eagle Strategies LLC other	New England Securities Corporation other	Other	Apr 19, 2012	May 14, 2012
Jeffrey Alan Hoehner	Morgan Stanley wirehouse	New England Securities Corporation other	Other	Apr 10, 2012	Mar 30, 2012
Bradley Vaughn Harrold	Valeo Financial Advisors, LLC other	New England Securities Corporation other	Other	Apr 9, 2012	Jun 5, 2012 (57 d)
Gerald Dennis Fahey	LPL Financial LLC other	New England Securities Corporation other	Other	Mar 8, 2012	Mar 13, 2012
Jerry Chia-Jui Bien	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Mar 6, 2012	Jun 6, 2012 (92 d)
Tab Barry Mak	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Mar 2, 2012	Mar 27, 2012
Alexander Kane Assaf	Waddell & Reed other	New England Securities Corporation other	Other	Mar 1, 2012	Mar 20, 2012
Eric Brian Shepard	Waddell & Reed other	New England Securities Corporation other	Other	Feb 28, 2012	Jan 29, 2014 (701 d)
Robert Hamilton Ellsworth	Waddell & Reed other	New England Securities Corporation other	Other	Feb 9, 2012	Aug 19, 2013 (557 d)
Anthony Michael Aulffo	Securian Financial Services, Inc. other	New England Securities Corporation other	Other	Feb 8, 2012	Mar 20, 2013 (406 d)
Brian Thomas Maher	U.S. Bancorp Investments, Inc. other	New England Securities Corporation other	Other	Feb 3, 2012	Mar 28, 2012 (54 d)
Brad Lee Martin	Esi Financial Advisors other	New England Securities Corporation other	Other	Feb 2, 2012	Feb 7, 2012
Marcos Antonio Madril	Wells Fargo Advisors wirehouse	New England Securities Corporation other	Other	Jan 6, 2012	Feb 7, 2012 (32 d)
Julie Lynn Russell	Nfsg Corporation other	New England Securities Corporation other	Other	Jan 3, 2012	Jan 25, 2012
Donna Turcotte Caccia	Trustee Empowerment & Protection, Inc. other	New England Securities Corporation other	Other	Dec 31, 2011	Jan 9, 2012
Eric David Hatfield	MML Investors Services, LLC other	New England Securities Corporation other	Other	Dec 23, 2011	Dec 21, 2011
Scott Joseph Barnas	Morgan Stanley wirehouse	New England Securities Corporation other	Other	Dec 21, 2011	May 1, 2012 (132 d)
Pawel Eryck Szott	Wedbush Securities Inc. other	New England Securities Corporation other	Other	Dec 20, 2011	Dec 21, 2011
Sean Lewis Dobranich	Wells Fargo Advisors wirehouse	New England Securities Corporation other	Other	Dec 19, 2011	Dec 21, 2011
Dustin William Scobey	Edward Jones national BD	New England Securities Corporation other	Other	Dec 9, 2011	Mar 29, 2012 (111 d)
Geoffrey Rampola Bernal	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Dec 8, 2011	Jan 6, 2012
Larry Wan Mah	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Dec 8, 2011	Jan 27, 2012 (50 d)
Daniel Morales	Nfsg Corporation other	New England Securities Corporation other	Other	Nov 29, 2011	Jan 26, 2012 (58 d)
Jack Matthew Cayce	MML Investors Services, LLC other	New England Securities Corporation other	Other	Nov 17, 2011	Dec 2, 2011
Michael Stephan Mare	Key Investment Services LLC other	New England Securities Corporation other	Other	Nov 17, 2011	Jan 25, 2012 (69 d)
William Ryan	Avantax Advisory Services other	New England Securities Corporation other	Other	Nov 1, 2011	Oct 27, 2011
Francis Bernard Miller	Tower Square Securities, Inc. other	New England Securities Corporation other	Other	Oct 5, 2011	Apr 23, 2008
Steven Thomas Dean	Commonwealth Financial Network national BD	New England Securities Corporation other	Other	Sep 26, 2011	Nov 2, 2012 (403 d)
Randy S Hyliard	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	New England Securities Corporation other	Other	Sep 20, 2011	Feb 2, 2012 (135 d)
Joshua Reed Stein	Pruco Securities, LLC other	New England Securities Corporation other	Other	Sep 9, 2011	Oct 12, 2011 (33 d)
John B Frahm	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Aug 31, 2011	Sep 28, 2011
Neil Alan Knierim	Edward Jones national BD	New England Securities Corporation other	Other	Aug 30, 2011	Apr 2, 2012 (216 d)
Eric Harlan Bryson	Calibourne Capital Management, LLC unclassified	New England Securities Corporation other	Other	Aug 18, 2011	Sep 30, 2011 (43 d)
Ernest Dale Anderson	Signator Investors, Inc. other	New England Securities Corporation other	Other	Aug 5, 2011	Oct 18, 2011 (74 d)
Alice Anheuser Mach	Oneamerica Securities, Inc. other	New England Securities Corporation other	Other	Aug 4, 2011	Jan 31, 2012 (180 d)
Thomas Dennis Martin	Pruco Securities, LLC other	New England Securities Corporation other	Other	Jul 28, 2011	Dec 17, 2011 (142 d)
Janet Santa Sherry	Jm Egan Wealth Advisors, LLC other	New England Securities Corporation other	Other	Jul 26, 2011	Dec 13, 2011 (140 d)
Michael I Guertin	Morgan Stanley wirehouse	New England Securities Corporation other	Other	Jul 7, 2011	Aug 8, 2011 (32 d)
Edick Antonio Lucas	Hornor, Townsend & Kent, LLC other	New England Securities Corporation other	Other	Jun 30, 2011	Jul 3, 2012 (369 d)
Catherine Elise Bock	Voya Financial Advisors, Inc. other	New England Securities Corporation other	Other	Jun 9, 2011	Oct 20, 2011 (133 d)
Gregory Dale Stein	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Jun 6, 2011	Jun 13, 2011
Shawn Michael Edelen	Waddell & Reed other	New England Securities Corporation other	Other	May 26, 2011	Jun 24, 2011
David Andrew Ebner	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	May 10, 2011	Jun 24, 2011 (45 d)
Karla Elizabeth Vlasaty	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	New England Securities Corporation other	Other	May 3, 2011	May 5, 2011
Marcel Richard Morin	Mariner other	New England Securities Corporation other	Other	Apr 19, 2011	Jan 21, 2011
Kent P Von Der Vellen	Pnc Wealth Management other	New England Securities Corporation other	Other	Apr 4, 2011	Apr 11, 2011
Stephen Edward Napier	Usi Securities, Inc. no RAUM	New England Securities Corporation other	Other	Mar 28, 2011	Mar 23, 2011
Noah Hunter Reichert	LPL Financial LLC other	New England Securities Corporation other	Other	Mar 18, 2011	Feb 25, 2011
Max B Kaplan	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Mar 7, 2011	Mar 4, 2011
Jennifer A. Zaat-Wright	Chase Investment Services Corp. other	New England Securities Corporation other	Other	Mar 1, 2011	Jul 20, 2011 (141 d)
Christopher Lee Bishop	Arete Wealth Advisors, LLC other	New England Securities Corporation other	Other	Feb 22, 2011	Jun 27, 2011 (125 d)
Jonathan Michael Constant	Esi Financial Advisors other	New England Securities Corporation other	Other	Feb 4, 2011	Feb 9, 2011
Michael Angelo Rosero	Walnut Street Securities, Inc. other	New England Securities Corporation other	Other	Jan 31, 2011	Jan 13, 2006
Louis Alonso Romero	Waddell & Reed other	New England Securities Corporation other	Other	Jan 27, 2011	Aug 3, 2011 (188 d)
John Michael Mousel	Signator Investors, Inc. other	New England Securities Corporation other	Other	Jan 10, 2011	Jan 20, 2011
Alfredo Enrique Michael	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	New England Securities Corporation other	Other	Jan 5, 2011	Jan 7, 2011
Sagen Richard Augustin	Hbw Advisory Services LLC other	New England Securities Corporation other	Other	Dec 31, 2010	Mar 4, 2011 (63 d)
Victor Louis Mullins	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Dec 23, 2010	Feb 23, 2011 (62 d)
Christopher Todd Rand	Msi Financial Services, Inc. other	New England Securities Corporation other	Other	Dec 22, 2010	Dec 20, 2010

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464 moves match.