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
Philip Stanley BarnesMariner independent RIANew England Securities Corporation otherOtherJan 31, 2020May 12, 2011
Stephen Michael CunhaMariner independent RIANew England Securities Corporation otherOtherApr 5, 2018Jan 31, 2014
Lee Ann FataloMariner independent RIANew England Securities Corporation otherOtherFeb 1, 2018Jan 31, 2014
Paul Richard JustinMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherMar 25, 2017Oct 30, 2012
John David AshleyMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherMar 25, 2017Aug 15, 2012
Kenneth James RoysterMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherDec 14, 2016Apr 13, 2012
Christopher B SoltisMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherDec 13, 2016Mar 25, 2011
Levi Allen LamfersMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherMar 23, 2016Feb 6, 2014
Gil Daniel CohenMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherApr 7, 2015Nov 9, 2009
Ian Joseph TollefsenMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherAug 1, 2014Sep 19, 2008
James Martin StarnesUBS Financial Services Inc. wirehouseNew England Securities Corporation otherOtherJul 10, 2014Sep 10, 2014 (62 d)
Jeffrey QuinnMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherMay 9, 2014Jul 11, 2012
Christopher WilkinsEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherMar 14, 2014Apr 8, 2014
Daniel Scott LengyelMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherMar 3, 2014Jun 19, 2014 (108 d)
Jerry Paul HurtMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherFeb 19, 2014Oct 22, 2012
Scott Wayne SorensonWaddell & Reed otherNew England Securities Corporation otherOtherJan 9, 2014Jan 23, 2014
Tom Alex GoodmanLPL Financial LLC otherNew England Securities Corporation otherOtherDec 18, 2013Dec 16, 2013
Jeremy Scot MartinsonMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherDec 4, 2013Jun 7, 2013
Reynaldo M Martinez JrMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherOct 8, 2013Oct 8, 2013
Kristopher A KnightMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherOct 3, 2013Jan 2, 2014 (91 d)
Sean David SpellmanWalnut Street Securities, Inc. otherNew England Securities Corporation otherOtherSep 5, 2013Aug 24, 2007
Bob Vladimir MalitskyWells Fargo Advisors wirehouseNew England Securities Corporation otherOtherAug 29, 2013Aug 29, 2013
Robert Arthur KobaPruco Securities, LLC otherNew England Securities Corporation otherOtherAug 27, 2013Sep 19, 2013
Carl KaliszewskiTransamerica Financial Advisors, LLC otherNew England Securities Corporation otherOtherAug 20, 2013Aug 14, 2013
Marc Arlyn GalloMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherAug 13, 2013Aug 22, 2013
Brett G KetvertisNorthwestern Mutual Investment Services,LLC otherNew England Securities Corporation otherOtherJul 15, 2013Jul 15, 2013
Barbara Ridings ExterH. Beck, Inc. otherNew England Securities Corporation otherOtherMay 31, 2013Aug 27, 2013 (88 d)
Steven B CampbellEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherMay 14, 2013May 7, 2013
Benjamin L BroomeEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherMay 14, 2013May 7, 2013
Scott Thomas FarmerMML Investors Services, LLC otherNew England Securities Corporation otherOtherMay 14, 2013Jun 7, 2013
Gary GrigorianMsi Financial Services, Inc. otherNew England Securities Corporation otherOtherMay 1, 2013Aug 2, 2007
Donald Glyn KempPark Avenue Securities LLC otherNew England Securities Corporation otherOtherApr 16, 2013Apr 9, 2013
James Donald HinsonMML Investors Services, LLC otherNew England Securities Corporation otherOtherApr 5, 2013Mar 21, 2013
Brian Thomas McconnellEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherMar 26, 2013Mar 21, 2013
Brian Thomas WilmetBmo Harris Financial Advisors, Inc otherNew England Securities Corporation otherOtherMar 4, 2013Mar 26, 2013
Gary HayWells Fargo Advisors wirehouseNew England Securities Corporation otherOtherFeb 11, 2013Mar 19, 2013 (36 d)
Edward Walter MorrisseyOsaic Fa, Inc. otherNew England Securities Corporation otherOtherJan 25, 2013Jan 24, 2013
Christopher Michael RiffleEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherJan 15, 2013Jan 11, 2013
Patrick Timothy RuschMML Investors Services, LLC otherNew England Securities Corporation otherOtherJan 7, 2013Jan 3, 2013
Colin Hamilton Smith1st Global Advisors Inc otherNew England Securities Corporation otherOtherDec 14, 2012Dec 14, 2012
Joanne Meredith YanogacioNavy Federal Asset Management, LLC otherNew England Securities Corporation otherOtherDec 4, 2012Mar 11, 2013 (97 d)
Kevin William McbarronSii Investments, Inc. otherNew England Securities Corporation otherOtherNov 15, 2012Dec 19, 2012 (34 d)
John Jerold CeaglskeAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherNov 15, 2012Nov 16, 2012
Glenn William Galloway1st Global Advisors Inc otherNew England Securities Corporation otherOtherNov 15, 2012Nov 1, 2012
Scott Frederick GilbertMML Investors Services, LLC otherNew England Securities Corporation otherOtherNov 5, 2012Dec 6, 2012 (31 d)
Jenny LeeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherOct 4, 2012Feb 19, 2013 (138 d)
David J MacdonaldEdward Jones national BDNew England Securities Corporation otherOtherOct 3, 2012Nov 15, 2012 (43 d)
Michael Thomas Meehan1st Global Advisors Inc otherNew England Securities Corporation otherOtherSep 4, 2012Sep 4, 2012
Richard George BassmanAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherAug 10, 2012Aug 13, 2012
Scott Gordon KishbaughEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherAug 2, 2012Aug 23, 2012
James Edward CarlsonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherJul 27, 2012Nov 5, 2012 (101 d)
Jennifer CrisologoPrincipal Securities, Inc. otherNew England Securities Corporation otherOtherJul 24, 2012Jul 31, 2012
Ericka Zettel Schaefer HanleyEdward Jones national BDNew England Securities Corporation otherOtherJul 19, 2012Dec 17, 2012 (151 d)
Troy Allen AarthunSignator Investors, Inc. otherNew England Securities Corporation otherOtherJun 29, 2012Jun 22, 2012
Linden Everett GouldHornor, Townsend & Kent, LLC otherNew England Securities Corporation otherOtherJun 25, 2012Jul 5, 2012
Thomas Francis BennettCetera Investment Services LLC otherNew England Securities Corporation otherOtherJun 25, 2012Aug 8, 2012 (44 d)
Robert L. PooleMorgan Stanley wirehouseNew England Securities Corporation otherOtherJun 22, 2012Mar 26, 2013 (277 d)
Gary Arnold HannahThrivent Investment Management Inc. otherNew England Securities Corporation otherOtherJun 7, 2012Jul 3, 2012
Peter John EmighOneamerica Securities, Inc. otherNew England Securities Corporation otherOtherMay 7, 2012May 2, 2012
Christopher Lee ShockleyOneamerica Securities, Inc. otherNew England Securities Corporation otherOtherMay 7, 2012Apr 27, 2012
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464 moves match.