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.

AdvisorFromToTypeLeftRegistered
Andrew Paul CongletonRaymond James Financial Services Advisors, Inc otherNew England Securities Corporation otherOtherDec 20, 2010Mar 1, 2011 (71 d)
Spencer Schreiber MillerNms Capital Asset Management, Inc. otherNew England Securities Corporation otherOtherDec 17, 2010Mar 23, 2011 (96 d)
Scott Peter BarkerBarker Wealth Management, Inc. unclassifiedNew England Securities Corporation otherOtherDec 6, 2010Jun 4, 2013 (911 d)
Hardev Prempuri GoswamiOn Investment Management Co otherNew England Securities Corporation otherOtherDec 3, 2010Jan 12, 2011 (40 d)
David BrawleyWells Fargo Advisors wirehouseNew England Securities Corporation otherOtherNov 19, 2010May 26, 2011 (188 d)
Harris Scott GreenWoodbury Financial Services, Inc. otherNew England Securities Corporation otherOtherNov 18, 2010Oct 29, 2010
Candace Yvette SetoNorthwestern Mutual Investment Services,LLC otherNew England Securities Corporation otherOtherNov 2, 2010Jan 7, 2011 (66 d)
Joshua Charles LiljenquistChase Investment Services Corp. otherNew England Securities Corporation otherOtherNov 1, 2010Dec 6, 2010 (35 d)
James S TrotterNfp Advisor Services, LLC otherNew England Securities Corporation otherOtherOct 18, 2010Oct 14, 2010
Matthew Richard BarbacaneLPL Financial LLC otherNew England Securities Corporation otherOtherOct 18, 2010Nov 5, 2010
Hunter Scott TrotterNfp Advisor Services, LLC otherNew England Securities Corporation otherOtherOct 18, 2010Nov 3, 2010
Trevis Clint RucciWells Fargo Advisors wirehouseNew England Securities Corporation otherOtherOct 8, 2010Nov 9, 2010 (32 d)
Dominick Joseph FioreWorld Advisory Services otherNew England Securities Corporation otherOtherSep 27, 2010Oct 14, 2010
Jeffrey Ryan ThompsonWoodbury Financial Services, Inc. otherNew England Securities Corporation otherOtherSep 16, 2010Sep 24, 2010
Yuk-Kin Monita KuanAddison Avenue Financial Partners, LLC unclassifiedNew England Securities Corporation otherOtherSep 14, 2010Oct 15, 2010 (31 d)
Richard Allen WilliamsMML Investors Services, LLC otherNew England Securities Corporation otherOtherSep 13, 2010Sep 30, 2010
Reginald Fitzgerald TolbertMorgan Stanley wirehouseNew England Securities Corporation otherOtherSep 13, 2010Aug 31, 2010
Mark William AnthoineConcourse Financial Group Advisors otherNew England Securities Corporation otherOtherSep 8, 2010Sep 9, 2010
Marc Normand PaquetteConcourse Financial Group Advisors otherNew England Securities Corporation otherOtherSep 8, 2010Sep 3, 2010
Margareth Rabelo PatinoUvest Financial Services Group, Inc. unclassifiedNew England Securities Corporation otherOtherSep 3, 2010Sep 27, 2010
Diana Georgena PersaudUvest Financial Services Group, Inc. unclassifiedNew England Securities Corporation otherOtherSep 3, 2010Sep 30, 2010
Steven Gerald KarlikMML Investors Services, LLC otherNew England Securities Corporation otherOtherAug 24, 2010Jul 29, 2010
Darin Britton GuthrieEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherAug 17, 2010Aug 13, 2010
Daniel Edward SigmanAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherJul 29, 2010Jul 23, 2010
Cory UnderwoodBancwest Investment Services, Inc. (Bwis) otherNew England Securities Corporation otherOtherJul 20, 2010Aug 17, 2010
Monica Monique GamblinEdward Jones national BDNew England Securities Corporation otherOtherJul 20, 2010Jul 20, 2010
Maxwell Andrew StoweRaymond James Financial Services Advisors, Inc otherNew England Securities Corporation otherOtherJun 24, 2010Jan 29, 2014 (1315 d)
Enoch Carter MorrisEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherJun 22, 2010Aug 25, 2010 (64 d)
Laura Noel WoodsSpc otherNew England Securities Corporation otherOtherJun 4, 2010Jun 22, 2010
Arin J MacqueenMML Investors Services, LLC otherNew England Securities Corporation otherOtherMay 27, 2010Jun 7, 2010
Adam Charles DebordAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherMay 24, 2010May 28, 2010
Shawn Phillip WalshColumbia Management Investment Advisers, LLC otherNew England Securities Corporation otherOtherMay 20, 2010Jan 30, 2014 (1351 d)
George D LehmannStifel, Nicolaus & Company, Incorporated national BDNew England Securities Corporation otherOtherMay 3, 2010Aug 23, 2011 (477 d)
Joel Robert AlmquistEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherApr 30, 2010May 12, 2010
Marina Alexandra ArmbrusterSecurities America Advisors, Inc. otherNew England Securities Corporation otherOtherApr 27, 2010May 26, 2010
Matthew V PoteeteWaddell & Reed otherNew England Securities Corporation otherOtherApr 16, 2010May 21, 2010 (35 d)
Minerva RodriguezAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherApr 9, 2010Jun 11, 2010 (63 d)
Yannshyr PuuEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherApr 1, 2010Feb 10, 2012 (680 d)
Peter John William Post BrownriggNational Planning Corporation ("Npc Of America" In Fl & Ny) otherNew England Securities Corporation otherOtherMar 23, 2010Apr 30, 2010 (38 d)
Joseph Snell BrocatoEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherMar 22, 2010Apr 6, 2010
Linda Watson BowenWells Fargo Advisors wirehouseNew England Securities Corporation otherOtherMar 18, 2010Aug 25, 2010 (160 d)
Stephen Lee HarrisonEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherMar 17, 2010Mar 26, 2010
Timothy Alan FlickFulcrum Advisory Services, LLC otherNew England Securities Corporation otherOtherMar 16, 2010Mar 15, 2010
Patrick R PannellChase Investment Services Corp. otherNew England Securities Corporation otherOtherMar 12, 2010Mar 16, 2010
Christopher Jay TwiningPnc Wealth Management otherNew England Securities Corporation otherOtherMar 11, 2010Aug 20, 2010 (162 d)
Marcia Lyn WooleyTower Square Securities, Inc. otherNew England Securities Corporation otherOtherFeb 22, 2010Jan 16, 2008
Taina Shylene GudeMML Investors Services, LLC otherNew England Securities Corporation otherOtherFeb 11, 2010Apr 22, 2010 (70 d)
William BolasAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherFeb 4, 2010Jan 21, 2010
Brian William HarroldAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherFeb 4, 2010Feb 11, 2010
Raymond Bradley BrownAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherFeb 4, 2010Jan 21, 2010
Leonard Todd JohnsonAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherJan 22, 2010Jan 29, 2010
Judith Ann GriffinMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherJan 19, 2010Jan 26, 2010
Michael John FeeneyOsaic Fa, Inc. otherNew England Securities Corporation otherOtherJan 13, 2010Feb 9, 2010
Charles Robert ArmstrongWaddell & Reed otherNew England Securities Corporation otherOtherJan 8, 2010Feb 5, 2010
Gregory Bernard Mc ElhenyLPL Financial LLC otherNew England Securities Corporation otherOtherJan 4, 2010May 9, 2011 (490 d)
Daniel Joseph OconnellOn Investment Management Co otherNew England Securities Corporation otherOtherDec 31, 2009Dec 15, 2009
Paul Douglas JetterOsaic Fa, Inc. otherNew England Securities Corporation otherOtherDec 11, 2009Dec 11, 2009
Kenneth Matthew HandyAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherDec 3, 2009Feb 23, 2010 (82 d)
Donald Robert BurnafordOsaic Fa, Inc. otherNew England Securities Corporation otherOtherDec 1, 2009Dec 14, 2009
Jason Lee AldredWells Fargo Advisors wirehouseNew England Securities Corporation otherOtherNov 30, 2009Feb 10, 2010 (72 d)
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464 moves match.