# NEW ENGLAND SECURITIES CORPORATION

NEW ENGLAND SECURITIES CORPORATION of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 615
- Type: SEC-registered investment adviser
- SEC file number: 801-47061
- Location: 1095 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036
- Phone: 212.578.0594
- Latest filing: 2014-12-23
- Regulatory AUM: $5.3B
- Discretionary AUM: $846.7M
- Non-discretionary AUM: $4.5B
- Clients: 2,514
- Accounts: 35,099

## Officers, owners & control persons (58)

_Showing 25 of 58 people._

| Name | Role | Location |
| --- | --- | --- |
| Miller Joseph | PRESIDENT AND CEO | Juniper, FL |
| BAKAL LEONARD MARK | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING OFFICER | — |
| TOPPETA WILLIAM JOHN | DIRECTOR; MEMBER OF THE BOARD AND DIRECTOR | — |
| VIETRI MICHAEL JOSEPH | EXECUTIVE VICE PRESIDENT, INDIVIDUAL DISTRIBUTION AND DIRECTOR | — |
| FORGET ELIZABETH MARY | DIRECTOR; DIRECTOR AND CHAIRMAN; PRESIDENT AND CHAIRMAN | — |
| FARRELL MICHAEL KEVIN | DIRECTOR; DIRECTOR AND CHAIRMAN OF THE BOARD; MEMBER OF THE BOARD AND DIRECTOR (+2 more) | — |
| HALPERIN JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER; CHIEF COMPLIANCE OFFICER, BROKER-DEALER | — |
| HOLTZER DAVID MICHAEL | CHIEF COMPLIANCE OFFICER, BROKER DEALER | — |
| WILLIAMSON ANTHONY JAMES | TREASURER | — |
| MARKHAM CRAIG WILLIAM | CHIEF OPERATING OFFICER; PRESIDENT; PRESIDENT AND DIRECTOR (+1 more) | — |
| CARR GWENN | SECRETARY | — |
| CELLUPICA PAUL G | CHIEF LEGAL OFFICER | — |
| CARRIER ANDRE THEODORE | CHIEF OPERATIONS OFFICER; SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | — |
| BEGUN ROBERT | CHIEF OPERATIONS OFFICER; CO-CHIEF OPERATIONS OFFICER | — |
| COHN MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | — |
| MARTINEZ JOHN GREGORY | CHIEF FINANCIAL OFFICER; VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL; VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | — |
| FLYNN WILLIAM JOSEPH | DIRECTOR, FINANCIAL PLANNING SERVICES | — |
| TOLAND MICHAEL EDWARD | VICE PRESIDENT, CCO, AND TREASURER; VICE PRESIDENT, CFO, CCO, AND TREASURER | — |
| HIPWORTH PAUL DAVID | CFO; CHIEF FINANCIAL OFFICER | — |
| SKANDALIS BETTE | VICE PRESIDENT, FINANCIAL PLANNING SERVIES | — |
| AQUINO VIRGELAN ERNESTO | CO-CHIEF OPERATIONS OFFICER; DIRECTOR OF OPERATIONS; VP OPERATIONS | — |
| REGARD PAUL ETIENNE | DIRECTOR OF ADVISORY PRODUCTS | — |
| RICCIARDI NANCY LOUISE | OPTIONS PRINCIPAL; SENIOR REGISTERED OPTIONS PRINCIPAL | — |
| BRETT JOHN JOSEPH | CHAIRMAN OF THE BOARD; PRESIDENT AND CHAIRMAN | — |
| LACEK MICHAEL J | CHIEF LEGAL OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/615/brochure
- Similar advisers: https://search.stillhousedata.com/firm/615/similar
- Related entities: https://search.stillhousedata.com/firm/615/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/615

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.