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
Keary Lee Foster	1st Global Advisors Inc other	New England Securities Corporation other	Other	Nov 11, 2005	May 31, 2007 (566 d)
William Arthur Short	Waddell & Reed other	New England Securities Corporation other	Other	Oct 14, 2005	Oct 27, 2005
Rhett Nathan Shockey	UBS Financial Services Inc. wirehouse	New England Securities Corporation other	Other	Oct 6, 2005	Apr 27, 2006 (203 d)
Carla Adele Burns	Wells Fargo Advisors wirehouse	New England Securities Corporation other	Other	Oct 4, 2005	Dec 2, 2005 (59 d)
Gerald Melvin Goz	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Oct 3, 2005	Oct 19, 2005
John Edward Tattersall	MML Investors Services, LLC other	New England Securities Corporation other	Other	Sep 20, 2005	Nov 17, 2005 (58 d)
Grace Yvonne Ottey	First Command Financial Planning, Inc. other	New England Securities Corporation other	Other	Sep 6, 2005	Jan 24, 2007 (505 d)
David James Mannaioni	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Aug 3, 2005	Jul 28, 2006 (359 d)
Gregory Jerrold Allen	Pruco Securities, LLC other	New England Securities Corporation other	Other	Aug 2, 2005	Sep 8, 2005 (37 d)
Michael John Vanhorenbeck	Waddell & Reed other	New England Securities Corporation other	Other	Aug 1, 2005	Sep 12, 2005 (42 d)
Darren Blaine Todd	MML Investors Services, LLC other	New England Securities Corporation other	Other	Jul 25, 2005	Oct 18, 2005 (85 d)
Philip Steven Scott	Metlife Investment Fund Services LLC unclassified	New England Securities Corporation other	Other	Jul 21, 2005	Aug 24, 2005 (34 d)
Henry Matthew Zupko	MML Investors Services, LLC other	New England Securities Corporation other	Other	Jul 15, 2005	Sep 16, 2005 (63 d)
Blake Edward Fellows	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Jul 8, 2005	Nov 21, 2005 (136 d)
Gregory Lambesis	Esi Financial Advisors other	New England Securities Corporation other	Other	Jul 7, 2005	Apr 19, 2006 (286 d)
Christopher Michael Wells	Financial Designs & Systems Co., LLC unclassified	New England Securities Corporation other	Other	Jul 6, 2005	Jun 28, 2005
Stuart Wally Blankenship	Principal Securities, Inc. other	New England Securities Corporation other	Other	Jun 30, 2005	Nov 8, 2007 (861 d)
Edward Thomas Moore	Afs Brokerage, Inc. unclassified	New England Securities Corporation other	Other	Jun 10, 2005	Jul 5, 2005
Richard Wayne Woody	Northwestern Mutual Investment Services,LLC other	New England Securities Corporation other	Other	Jun 6, 2005	Nov 14, 2005 (161 d)
Norman Andre Nadeau	National Planning Corporation ("Npc Of America" In Fl & Ny) other	New England Securities Corporation other	Other	Apr 29, 2005	Jul 22, 2005 (84 d)
Ralph James Romano	LPL Financial LLC other	New England Securities Corporation other	Other	Apr 13, 2005	Oct 7, 2005 (177 d)
Duston Ladieu	1717 Capital Management Company unclassified	New England Securities Corporation other	Other	Mar 21, 2005	Apr 27, 2005 (37 d)
Noah Christopher French	1717 Capital Management Company unclassified	New England Securities Corporation other	Other	Mar 21, 2005	Apr 26, 2005 (36 d)
Roger Stephen Augustyn	Cetera Advisors LLC other	New England Securities Corporation other	Other	Mar 16, 2005	Aug 12, 2005 (149 d)
Curtis Wilcox Lindsay	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Mar 15, 2005	Jul 27, 2009 (1595 d)
Christopher Michael Trainor	UBS Financial Services Inc. wirehouse	New England Securities Corporation other	Other	Mar 11, 2005	Mar 23, 2005
Kelly Pettit Costello	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	New England Securities Corporation other	Other	Mar 7, 2005	Mar 1, 2007 (724 d)
Michael Shea Behner	Citicorp Investment Services unclassified	New England Securities Corporation other	Other	Feb 16, 2005	Mar 2, 2005
Thomas Jason Austell	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Feb 15, 2005	Feb 8, 2006 (358 d)
Miriam Lopez	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Feb 3, 2005	Apr 7, 2005 (63 d)
Roderick Joseph Clark	Pruco Securities, LLC other	New England Securities Corporation other	Other	Jan 19, 2005	Jun 14, 2006 (511 d)
Gordon L Brookhart	Strategic Advisers LLC national BD	New England Securities Corporation other	Other	Jan 7, 2005	May 10, 2005 (123 d)
Richard Friaglia	Hornor, Townsend & Kent, LLC other	New England Securities Corporation other	Other	Jan 3, 2005	Feb 24, 2006 (417 d)
James F. Barrette	Pruco Securities, LLC other	New England Securities Corporation other	Other	Dec 13, 2004	Jul 1, 2005 (200 d)
Elizabeth True Mckenney	Securian Financial Services, Inc. other	New England Securities Corporation other	Other	Nov 16, 2004	Jun 2, 2005 (198 d)
Paul Joseph Mckenney	Securian Financial Services, Inc. other	New England Securities Corporation other	Other	Nov 16, 2004	Dec 16, 2004
Richard Hunter	Waddell & Reed other	New England Securities Corporation other	Other	Nov 12, 2004	Jul 26, 2005 (256 d)
Jeffrey Richard Secord	Sterling Financial Investment Group, Inc. unclassified	New England Securities Corporation other	Other	Nov 9, 2004	Jan 6, 2005 (58 d)
Nancy Barton Fellinger	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Oct 29, 2004	Oct 8, 2004
Carlos F Suarez	Esi Financial Advisors other	New England Securities Corporation other	Other	Oct 18, 2004	Jun 21, 2005 (246 d)
Lloyd Vincent Naes	Avantax Advisory Services other	New England Securities Corporation other	Other	Sep 22, 2004	Sep 23, 2004
Robert Joseph Davis	Invest Financial Corporation other	New England Securities Corporation other	Other	Sep 8, 2004	Nov 15, 2004 (68 d)
Marc Ross	Voya Retirement Advisors, LLC other	New England Securities Corporation other	Other	Aug 18, 2004	Jul 24, 2007 (1070 d)
Ridgely Hunt	E*Trade Capital Management, LLC other	New England Securities Corporation other	Other	Jul 26, 2004	Oct 20, 2004 (86 d)
James Michael Bonifas	A. G. Edwards & Sons, Inc. unclassified	New England Securities Corporation other	Other	Jul 13, 2004	Sep 30, 2004 (79 d)
Scott William Miller	Equitable Advisors, LLC national BD	New England Securities Corporation other	Other	Jul 13, 2004	Apr 10, 2006 (636 d)
Qayyum A Raheem	Pruco Securities, LLC other	New England Securities Corporation other	Other	Jun 21, 2004	Jan 13, 2009 (1667 d)
Elaine Marie Carvelli	Ws Griffith Securities, Inc. unclassified	New England Securities Corporation other	Other	Jun 1, 2004	Apr 8, 2005 (311 d)
Ronald Cheong Ming Shih	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Feb 27, 2004	Apr 14, 2004 (47 d)
Donald Sakamoto	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Feb 27, 2004	Apr 14, 2004 (47 d)
Sammy Moy	Osaic Fa, Inc. other	New England Securities Corporation other	Other	Feb 27, 2004	Apr 14, 2004 (47 d)
Paul Delmas Torres	Pruco Securities, LLC other	New England Securities Corporation other	Other	Feb 20, 2004	Feb 23, 2004
Charles Andrew Calderwood	Ws Griffith Securities, Inc. unclassified	New England Securities Corporation other	Other	Feb 2, 2004	Feb 3, 2005 (367 d)
Michael Gerard Tate	Park Avenue Securities LLC other	New England Securities Corporation other	Other	Jan 30, 2004	Mar 17, 2004 (47 d)
David Ray Perkins	Raymond James Financial Services, Inc. unclassified	New England Securities Corporation other	Other	Jan 22, 2004	May 9, 2007 (1203 d)
Toni Marie Sams	Raymond James Financial Services, Inc. unclassified	New England Securities Corporation other	Other	Jan 15, 2004	Mar 9, 2005 (419 d)
Nancy Keosathit Guynn	Ameriprise Financial Services, LLC national BD	New England Securities Corporation other	Other	Jan 7, 2004	Nov 5, 2007 (1398 d)
Russell Gary Demarest	Parks - Tuttle Financial Services, Inc. unclassified	New England Securities Corporation other	Other	Dec 31, 2003	Aug 18, 1998
Lynn Seldon Bridges	Principal Securities, Inc. other	New England Securities Corporation other	Other	Dec 31, 2003	Mar 15, 2004 (75 d)
Susan Weidner Cooke	Parks - Tuttle Financial Services, Inc. unclassified	New England Securities Corporation other	Other	Dec 31, 2003	Apr 15, 1998

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464 moves match.