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
Mark Daniel Krupkowski	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Aug 10, 2007	Aug 6, 2007
Robert Clayton Burns	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Aug 10, 2007	Aug 8, 2007
Janet Marie Goulart	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Aug 10, 2007	Aug 3, 2007
Kristin Ann Nordahl	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Aug 3, 2007	Aug 2, 2007
Jonathan Wayne Hiltz	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Aug 3, 2007	Oct 1, 2007 (59 d)
Robert A Holmes	Woodbury Financial Services, Inc. other	New England Securities Corporation other	Other	Jul 31, 2007	Apr 25, 2008 (269 d)
Marlene Espinoza	Pruco Securities, LLC other	New England Securities Corporation other	Other	Jul 16, 2007	Aug 6, 2007
Aline Lenore Fisher	MML Investors Services, LLC other	New England Securities Corporation other	Other	Jul 2, 2007	Aug 10, 2007 (39 d)
Michael Edward Short	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	May 1, 2007	May 16, 2007
Seth Raynor Waltz	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Apr 30, 2007	May 8, 2008 (374 d)
Melissa Kay Fisher	Northwestern Mutual Wealth Management Company unclassified	New England Securities Corporation other	Other	Apr 30, 2007	Oct 25, 2007 (178 d)
Jacqueline B Banister	Morgan Stanley & Co. LLC unclassified	New England Securities Corporation other	Other	Apr 18, 2007	Aug 3, 2007 (107 d)
Tucker Kenyon Bixby	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Apr 3, 2007	May 17, 2007 (44 d)
Philip Joseph Bongiorno	Esi Financial Advisors other	New England Securities Corporation other	Other	Mar 6, 2007	Apr 11, 2007 (36 d)
Michael Mervin Murry	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Mar 5, 2007	Mar 30, 2007
Brett Allen Wood	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Feb 23, 2007	Jan 16, 2009 (693 d)
George Davis Avant	Park Avenue Securities LLC other	New England Securities Corporation other	Other	Feb 9, 2007	Feb 9, 2007
Jeffrey I Ward	Park Avenue Securities LLC other	New England Securities Corporation other	Other	Feb 9, 2007	Feb 20, 2007
Lance Edward Barnhardt	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Feb 5, 2007	Jan 9, 2008 (338 d)
Gregory Scott Pashak	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Jan 31, 2007	Feb 23, 2007
Jeffrey John Bannon	U.S. Financial Advisors other	New England Securities Corporation other	Other	Jan 23, 2007	Mar 26, 2007 (62 d)
Ronald Hunt Purdy	Avantax Advisory Services other	New England Securities Corporation other	Other	Jan 12, 2007	Mar 21, 2007 (68 d)
Matthew David Phillips	LPL Financial LLC other	New England Securities Corporation other	Other	Jan 4, 2007	Jun 27, 2007 (174 d)
William Louis Herford	Northwestern Mutual Wealth Management Company unclassified	New England Securities Corporation other	Other	Dec 31, 2006	Oct 30, 2007 (303 d)
William Peter Steck	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Dec 11, 2006	Feb 2, 2007 (53 d)
Jason Kurt Mickool	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Dec 8, 2006	Nov 12, 2009 (1070 d)
Cherie A Hartmann	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Nov 30, 2006	Mar 13, 2007 (103 d)
Benjamin Mac Burgeson	Ameriprise Advisor Services, Inc. unclassified	New England Securities Corporation other	Other	Nov 27, 2006	Nov 28, 2006
Jeffrey Gaier	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Nov 17, 2006	Aug 29, 2013 (2477 d)
Kerri A Melley	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Nov 14, 2006	Feb 6, 2007 (84 d)
Yaniv Rubina	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Nov 3, 2006	Nov 20, 2006
Charles Anthony Truhlar	Country Trust Bank unclassified	New England Securities Corporation other	Other	Oct 13, 2006	Mar 11, 2008 (515 d)
Michael Raymond Knuffke	Msi Financial Services, Inc. other	New England Securities Corporation other	Other	Oct 4, 2006	Oct 24, 2006
Joseph Zachary	Trend Trader, LLC unclassified	New England Securities Corporation other	Other	Sep 30, 2006	Mar 31, 2008 (548 d)
Michael Andre Aguado	Waddell & Reed other	New England Securities Corporation other	Other	Sep 27, 2006	Oct 10, 2006
Jessica Rhae Gerdes	Hornor, Townsend & Kent, LLC other	New England Securities Corporation other	Other	Sep 5, 2006	Jul 3, 2007 (301 d)
Melia Breeze Krumm	Norton Capital Management, Inc. other	New England Securities Corporation other	Other	Aug 31, 2006	Jan 14, 2008 (501 d)
Laurence Seiden	Walnut Street Securities, Inc. other	New England Securities Corporation other	Other	Aug 18, 2006	Jun 21, 2005
Mark Matsumura	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Aug 10, 2006	Oct 26, 2006 (77 d)
Dana Harris Wiltsey Stallings	Thrivent Investment Management Inc. other	New England Securities Corporation other	Other	Aug 1, 2006	Jul 3, 2007 (336 d)
Andrew Frederick Walter	Securian Financial Services, Inc. other	New England Securities Corporation other	Other	Jul 31, 2006	Aug 21, 2006
Patrick Richard Vondohlen	Eagle Strategies LLC other	New England Securities Corporation other	Other	Jul 31, 2006	Aug 23, 2006
Lisa Ann Aschenbeck	Thrivent Investment Management Inc. other	New England Securities Corporation other	Other	Jul 6, 2006	Aug 21, 2006 (46 d)
Robert Kaltman Descherer	Hornor, Townsend & Kent, LLC other	New England Securities Corporation other	Other	Jun 20, 2006	Jul 17, 2006
Kimberly Ann Carroll	Bofa Advisors, LLC other	New England Securities Corporation other	Other	Jun 15, 2006	Dec 16, 2011 (2010 d)
Paul Michael Rotell	Putnam Investment Management, LLC other	New England Securities Corporation other	Other	Jun 7, 2006	May 4, 2009 (1062 d)
Rodolfo Ernesto Rodriguez	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	May 5, 2006	Apr 2, 2014 (2889 d)
Marion Sommer	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	May 3, 2006	May 15, 2006
Keith A. Ninesling	Commonwealth Financial Network national BD	New England Securities Corporation other	Other	May 2, 2006	Aug 31, 2007 (486 d)
Flint T Schuller	First Command Financial Planning, Inc. other	New England Securities Corporation other	Other	Apr 27, 2006	Sep 28, 2006 (154 d)
John Lewis Boyer	Waddell & Reed other	New England Securities Corporation other	Other	Apr 25, 2006	May 18, 2006
Paul Joseph Jacobs	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Apr 13, 2006	Jul 17, 2006 (95 d)
Cody R Maschmeier	LPL Financial LLC other	New England Securities Corporation other	Other	Apr 6, 2006	May 12, 2006 (36 d)
Michael Ray Mcpeek	Ameritas Advisory Services other	New England Securities Corporation other	Other	Mar 13, 2006	Mar 15, 2006
Daniel David Duren	MML Investors Services, LLC other	New England Securities Corporation other	Other	Feb 28, 2006	Apr 6, 2006 (37 d)
Kenneth Robert Nadeau	Pruco Securities, LLC other	New England Securities Corporation other	Other	Feb 21, 2006	May 4, 2006 (72 d)
James Adrian Hartman	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Jan 31, 2006	Feb 15, 2006
John Raymond Boyce	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Jan 4, 2006	Feb 5, 2008 (762 d)
Daniel James Prentice	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Dec 14, 2005	Dec 4, 2007 (720 d)
Clinton Troy Newman	Citizens Securities, Inc. other	New England Securities Corporation other	Other	Nov 28, 2005	Jan 5, 2006 (38 d)

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464 moves match.