Wells Fargo Clearing Services, Llc
- Regulatory AUM
- $671B
- Discretionary
- $479B
- Clients
- 1,324,168
- Avg AUM / client
- $507K
- Accounts
- 1,324,168
- Employees
- 18,895
AUM over time
Annual snapshots from Form ADV filings · as of Jul 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 644,097 | $123B | 18.2% |
| High net worth individuals | 654,519 | $495B | 73.7% |
| Banking or thrift institutions | 10 | $13.9M | 0.0% |
| Pension and profit sharing plans | 9,346 | $8.7B | 1.3% |
| Charitable organizations | 5,564 | $14.7B | 2.18% |
| State or municipal government entities | 64 | $823M | 0.12% |
| Insurance companies | 23 | $393M | 0.06% |
| Corporations and other businesses | 10,435 | $29.1B | 4.34% |
| Other | 110 | $96.3M | 0.01% |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Cfm Foundation EIN 376026254 | Quincy, IL | 12/31/2024 |
| University Of Houston Foundation EIN 746041411 | Houston, TX | 08/31/2024 |
| Barlow Group EIN 953771980 | Los Angeles, CA | 08/31/2024 |
| National Peace Officers & Fire Fighters Benefit Association EIN 926035811 | Jackson, CA | 06/30/2024 |
| Ufcw Local 1776 & Participating Employers Health & Welfare Fund EIN 232949242 | Plymouth Mtng, PA | 04/30/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 513.
People (14,749)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Karanik, Erik Anthony | Board Of Managers | Mar 2017 (9y) | Less than 5% | |
| Barry Sommers | Chief Executive Officer / Board Of Managers | Jul 2020 (6y) | Less than 5% | |
| Cronk, Darrell, Lynn | Head Of Investment Solutions / Wim Chief Investment Officer / Board Of Managers / Control Principal | Jan 2021 (6y) | Less than 5% | |
| Gindi, Sol | President / Head Of Wim Distribution / Board Of Managers / Control Principal | Jan 2021 (6y) | Less than 5% | |
| Michael Liersch | Wim Head Of Advice & Planning / Board Of Managers / Control Principal | Jan 2021 (6y) | Less than 5% | |
| David Ward Saunders | Designated State Principal | Sep 2022 (4y) | Less than 5% | |
| Patel, Rakesh | Chief Financial Officer / Board Of Managers | Dec 2022 (4y) | Less than 5% | |
| Lacey, Paul | Principal Operations Officer / Control Principal | Apr 2023 (3y) | Less than 5% | |
| Someshwar, Prasanna | Head Of Banking, Lending & Trust / Control Principal | Oct 2023 (3y) | Less than 5% | |
| Tsamadias, Christos G | Chief Compliance Officer | Oct 2023 (3y) | Less than 5% | |
| Charles Elder Neuhaus | Registered representative | Sep 1990 (36y) | ||
| Marshall Pease Graham | Registered representative | Sep 1990 (36y) | ||
| Steve John Christensen | Registered representative | Sep 1990 (36y) | ||
| James Grover Kelley | Registered representative | Jan 1991 (36y) | ||
| William Robert Abeles | Registered representative | CFP Chartered Financial Consultant | May 1992 (34y) | |
| Jeffrey John Diel | Registered representative | CFP | Feb 1993 (33y) | |
| Edward Theodore Sickel | Registered representative | Jan 1994 (33y) | ||
| Andrew William Craig | Registered representative | Feb 1994 (32y) | ||
| Anthony Dale Lapia | Registered representative | May 1996 (30y) | ||
| Kristi Marie Velasquez | Registered representative | May 1996 (30y) | ||
| Christelyn Lea Bayerl | Registered representative | Jul 1996 (30y) | ||
| Marcia Carl Simpkins | Registered representative | Dec 1996 (30y) | ||
| Delores Mae Kirkpatrick | Registered representative | Jun 1997 (29y) | ||
| Mary Kay Wright | Registered representative | Sep 1997 (29y) | ||
| Robert Eugene Vingi | Registered representative | Dec 1997 (29y) | ||
| Bryan Tod Baker | Registered representative | Jan 1998 (29y) | ||
| Eileen Patricia Stewart | Registered representative | Jan 1998 (29y) | ||
| John Richard Lehr | Registered representative | Feb 1998 (28y) | ||
| David Allan Loeffler | Registered representative | Feb 1998 (28y) | ||
| John Stephen Hardy | Registered representative | May 1998 (28y) | ||
| Keith Harlow Dunton | Registered representative | May 1998 (28y) | ||
| Virgil Oliver Rosser | Registered representative | May 1998 (28y) | ||
| Ralph Walter Kunzmann | Registered representative | CFP | May 1998 (28y) | |
| Paul Alan Green | Registered representative | Jun 1998 (28y) | ||
| David Ray Fehrle | Registered representative | Aug 1998 (28y) | ||
| Michael Vincent Laloggia | Registered representative | Aug 1998 (28y) | ||
| Jeffrey James Kirkpatrick | Registered representative | Sep 1998 (28y) | ||
| Jerry Wayne Boger | Registered representative | Sep 1998 (28y) | ||
| Gary Lynn Howard | Registered representative | Nov 1998 (28y) | ||
| Michael Joseph Marasco | Registered representative | Dec 1998 (28y) | ||
| David Robert Johnston | Registered representative | Mar 1999 (27y) | ||
| Michael Allen Gays | Registered representative | CFP | Mar 1999 (27y) | |
| Stephen Michael Defeo | Registered representative | Mar 1999 (27y) | ||
| Ralph Thomas Bryan | Registered representative | Apr 1999 (27y) | ||
| Joseph Edwin Zawistowski | Registered representative | CFA | May 1999 (27y) | |
| Danielle Ann Newman | Registered representative | Jul 1999 (27y) | ||
| Robert John Brennan | Registered representative | Aug 1999 (27y) | ||
| Bruce Fuller Light | Registered representative | Oct 1999 (27y) | ||
| David Baker Fields | Registered representative | CFP | Oct 1999 (27y) | |
| Francis Anthony Mclennan | Registered representative | Oct 1999 (27y) | ||
| Gregg W Snow | Registered representative | Oct 1999 (27y) | ||
| Jane Michelle Jenkins | Registered representative | Oct 1999 (27y) | ||
| Jeffrey Allen Hayes | Registered representative | Oct 1999 (27y) | ||
| John Richard Upton | Registered representative | CFP | Oct 1999 (27y) | |
| Joseph William Montgomery | Registered representative | CFP | Oct 1999 (27y) | |
| Kevin Joseph Oconnor | Registered representative | Oct 1999 (27y) | ||
| Mark Duskin Dalton | Registered representative | Oct 1999 (27y) | ||
| Randall Scott Carr | Registered representative | Oct 1999 (27y) | ||
| Richard M Bagley | Registered representative | Oct 1999 (27y) | ||
| Robert Allen Roadarmel | Registered representative | Oct 1999 (27y) | ||
| Robert Blackwell Barnes | Registered representative | Oct 1999 (27y) | ||
| Robert L Blevins | Registered representative | Oct 1999 (27y) | ||
| Ronald Brett Chance | Registered representative | Oct 1999 (27y) | ||
| Roy B Hargrove | Registered representative | CFP | Oct 1999 (27y) | |
| Thomas Edgar Sipe | Registered representative | Oct 1999 (27y) | ||
| Michele Elaine Kief | Registered representative | Oct 1999 (27y) | ||
| Juston Jefferson Dobbs | Registered representative | CFP | Nov 1999 (27y) | |
| William T Armstrong | Registered representative | Nov 1999 (27y) | ||
| Scott Templeton Marshall | Registered representative | Dec 1999 (27y) | ||
| Thomas Ray Baker | Registered representative | Jan 2000 (27y) | ||
| Timothy Edward Poore | Registered representative | Jan 2000 (27y) | ||
| Donald Francis Rodenbaugh | Registered representative | Jan 2000 (27y) | ||
| Raymond Vincent Reedy | Registered representative | Jan 2000 (27y) | ||
| Frederick John Balzarini | Registered representative | Jan 2000 (27y) | ||
| Sarah Elizabeth Curtis | Registered representative | CFP | Jan 2000 (27y) | |
| Fred Crawford Simpkins | Registered representative | CFP | Feb 2000 (26y) | |
| Nancy Dellinger Runion | Registered representative | Feb 2000 (26y) | ||
| William Nachman Orkin | Registered representative | Feb 2000 (26y) | ||
| Robert Dana Krebs | Registered representative | Mar 2000 (26y) | ||
| Richard Brian Stevens | Registered representative | Mar 2000 (26y) | ||
| William John Murphy | Registered representative | Mar 2000 (26y) | ||
| Mckenley Mack Wilson | Registered representative | Mar 2000 (26y) | ||
| Michael Dozier Wills | Registered representative | CFP | Mar 2000 (26y) | |
| Nicholas V Soares | Registered representative | Mar 2000 (26y) | ||
| Joel Edward Tepp | Registered representative | Mar 2000 (26y) | ||
| Arthur Aaron Weisman | Registered representative | CFP | Mar 2000 (26y) | |
| Julia Gloyd Buchanan | Registered representative | Apr 2000 (26y) | ||
| Steven Gerald Grawe | Registered representative | Apr 2000 (26y) | ||
| Hang Zheng | Registered representative | May 2000 (26y) | ||
| Jeffrey Dee Simmons | Registered representative | May 2000 (26y) | ||
| Martin W Hajek | Registered representative | May 2000 (26y) | ||
| William D Cutsinger | Registered representative | Jun 2000 (26y) | ||
| April Lahoma Thompson | Registered representative | Jun 2000 (26y) | ||
| Michael John Campoamor | Registered representative | Jun 2000 (26y) | ||
| Marc Perry Tucci | Registered representative | Jul 2000 (26y) | ||
| James M Phillips | Registered representative | Jul 2000 (26y) | ||
| Raymond Scacchetti | Registered representative | CFP | Jul 2000 (26y) | |
| Emanuel Walter Reiser | Registered representative | Aug 2000 (26y) | ||
| Thomas Dudley Moore | Registered representative | CFP | Aug 2000 (26y) | |
| Bradley Jack Secord | Registered representative | Aug 2000 (26y) | ||
| Aeleen M Lisena | Registered representative | Oct 2000 (26y) | ||
| Ana Maria Almeciga | Registered representative | Oct 2000 (26y) | ||
| Andrew David Britton | Registered representative | Oct 2000 (26y) | ||
| Anne Elizabeth Whelan | Registered representative | Oct 2000 (26y) | ||
| Billy Allen Slater | Registered representative | Oct 2000 (26y) | ||
| Brian James Seits | Registered representative | Oct 2000 (26y) | ||
| Bryan Richard Halstead | Registered representative | Oct 2000 (26y) | ||
| Debbie Alexander | Registered representative | Oct 2000 (26y) | ||
| Debbie Latimer | Registered representative | Oct 2000 (26y) | ||
| Deborah Ann Parrish | Registered representative | Oct 2000 (26y) | ||
| Donna Marie Diston | Registered representative | Oct 2000 (26y) | ||
| Douglas Michael Gerace | Registered representative | Oct 2000 (26y) | ||
| Elaine Ann Seaquist | Registered representative | Oct 2000 (26y) | ||
| Elaine Denise Pavlakovic | Registered representative | Oct 2000 (26y) | ||
| Ernest Arthur Watson | Registered representative | Oct 2000 (26y) | ||
| Gary Grant Mahan | Registered representative | Oct 2000 (26y) | ||
| Hilda Ayo | Registered representative | Oct 2000 (26y) | ||
| Janet Fraed Clements | Registered representative | Oct 2000 (26y) | ||
| John Edward Demoors | Registered representative | Oct 2000 (26y) | ||
| Jonathan Craig Fairey | Registered representative | Oct 2000 (26y) | ||
| Karen Marie Lewis | Registered representative | Oct 2000 (26y) | ||
| Katherine Anne Smith | Registered representative | Oct 2000 (26y) | ||
| Kenneth John Hountz | Registered representative | Oct 2000 (26y) | ||
| Laura A Russell Grigore | Registered representative | Oct 2000 (26y) | ||
| Lesley Wray Green | Registered representative | Oct 2000 (26y) | ||
| Lisa F Thompson | Registered representative | Oct 2000 (26y) | ||
| Marcio R Larsh | Registered representative | Oct 2000 (26y) | ||
| Mark David Ireland | Registered representative | Oct 2000 (26y) | ||
| Matthew Grover Gainey | Registered representative | Oct 2000 (26y) | ||
| Michelle Culpepper Fenaoui | Registered representative | CFP | Oct 2000 (26y) | |
| Mitzi Helms Maxey | Registered representative | Oct 2000 (26y) | ||
| Paul Salvatore Mazziotti | Registered representative | Oct 2000 (26y) | ||
| Ralph Jay Poling | Registered representative | Oct 2000 (26y) | ||
| Randall Dean Andersen | Registered representative | Oct 2000 (26y) | ||
| Randall William White | Registered representative | Oct 2000 (26y) | ||
| Ronald Dane Graft | Registered representative | Oct 2000 (26y) | ||
| Samuel Dickson | Registered representative | Oct 2000 (26y) | ||
| Sandra Lee Exelby | Registered representative | Oct 2000 (26y) | ||
| Scott Andrew Hilton | Registered representative | CFP | Oct 2000 (26y) | |
| Sheryl Renee Massey | Registered representative | Oct 2000 (26y) | ||
| Susan Frances Baiocco | Registered representative | Oct 2000 (26y) | ||
| Susan Renee Holcomb | Registered representative | Oct 2000 (26y) | ||
| Susan Sox Montanez | Registered representative | Oct 2000 (26y) | ||
| Thomas Edward Kealy | Registered representative | Oct 2000 (26y) | ||
| Thomas R Turk | Registered representative | Oct 2000 (26y) | ||
| Todd George Raquet | Registered representative | Oct 2000 (26y) | ||
| Ulrike Ann Lyon | Registered representative | Oct 2000 (26y) | ||
| William Christian Killorn | Registered representative | Oct 2000 (26y) | ||
| William Thomas Orlando | Registered representative | Oct 2000 (26y) | ||
| Roberto Deleon | Registered representative | Oct 2000 (26y) | ||
| Elbert Eugene Burson | Registered representative | Oct 2000 (26y) | ||
| Ernest Vincent Montavon | Registered representative | Nov 2000 (26y) | ||
| John J Denault | Registered representative | Dec 2000 (26y) | ||
| Donald Robert Fox | Registered representative | Jan 2001 (26y) | ||
| William Xenophon Georgiadis | Registered representative | CFP | Jan 2001 (26y) | |
| Keith M Shishido | Registered representative | Jan 2001 (26y) | ||
| Richard Philip Marcus | Registered representative | Jan 2001 (26y) | ||
| Douglas Hammond Freebern | Registered representative | Feb 2001 (26y) | ||
| David Buchanan Bruce | Registered representative | Feb 2001 (25y) | ||
| Ronald Thomas Orie | Registered representative | Feb 2001 (25y) | ||
| Kim David Fox | Registered representative | Feb 2001 (25y) | ||
| Marc Adam Weiss | Registered representative | Mar 2001 (25y) | ||
| David Mark Smith | Registered representative | Mar 2001 (25y) | ||
| Paul Joseph Vannuki | Registered representative | Mar 2001 (25y) | ||
| Joseph Ghodsi | Registered representative | Mar 2001 (25y) | ||
| Osvaldo A Duran | Registered representative | Apr 2001 (25y) | ||
| Scott Vincent Richter | Registered representative | May 2001 (25y) | ||
| Mark Richard Vago | Registered representative | Jun 2001 (25y) | ||
| Stephen Lance Wheeler | Registered representative | Jun 2001 (25y) | ||
| Marc Phillip Ugo | Registered representative | Jun 2001 (25y) | ||
| Stephen Matthew Benotti | Registered representative | CFP | Jul 2001 (25y) | |
| Steven Hyman Golber | Registered representative | Jul 2001 (25y) | ||
| Kenneth Lawrence Logsdon | Registered representative | Jul 2001 (25y) | ||
| Hedy Jane Smith | Registered representative | Jul 2001 (25y) | ||
| Andrea Lee Nicolopoulos | Registered representative | Jul 2001 (25y) | ||
| David Michael Abeles | Registered representative | CFP | Jul 2001 (25y) | |
| Gary Lee Hanson | Registered representative | Jul 2001 (25y) | ||
| Todd Robert Andersen | Registered representative | Jul 2001 (25y) | ||
| Michele T Faulkner | Registered representative | Aug 2001 (25y) | ||
| Casey C Korsak | Registered representative | Sep 2001 (25y) | ||
| Mark Harlan Webster | Registered representative | Sep 2001 (25y) | ||
| Jennifer Mccall Parr | Registered representative | CFP | Sep 2001 (25y) | |
| Heather Mae Helphrey | Registered representative | Sep 2001 (25y) | ||
| Alan Parker Hawkins | Registered representative | Sep 2001 (25y) | ||
| Jonathan Lee Brooks | Registered representative | Oct 2001 (25y) | ||
| Thomas Denny Boys | Registered representative | CFP | Oct 2001 (25y) | |
| Wade Scott Worrell | Registered representative | Nov 2001 (25y) | ||
| Todd Stephen Griffith | Registered representative | Dec 2001 (25y) | ||
| Wesley Bryant Stapp | Registered representative | Dec 2001 (25y) | ||
| Andrew Ian Snett | Registered representative | Dec 2001 (25y) | ||
| William Glenn Paxton | Registered representative | Dec 2001 (25y) | ||
| John Edward Draper | Registered representative | Dec 2001 (25y) | ||
| Angela Tripp Yates | Registered representative | Dec 2001 (25y) | ||
| Brian Paul Hunsberger | Registered representative | Dec 2001 (25y) | ||
| Charles Irving Lucas | Registered representative | Dec 2001 (25y) | ||
| Christopher Alan Vincent | Registered representative | Dec 2001 (25y) | ||
| Donna Leonard Barclay | Registered representative | Dec 2001 (25y) | ||
| Garrett Raymond Stringer | Registered representative | Dec 2001 (25y) | ||
| Jason Paul Stern | Registered representative | Dec 2001 (25y) | ||
| John Felix Schmitt | Registered representative | Dec 2001 (25y) | ||
| Kathleen Engler Malone | Registered representative | Dec 2001 (25y) | ||
| Kyle Whitfield Lambeth | Registered representative | CFP | Dec 2001 (25y) | |
| Laura Fernandez Berra | Registered representative | CFP | Dec 2001 (25y) | |
| Lisa Wilson Ashlin | Registered representative | Dec 2001 (25y) | ||
| Michael Terence Buckner | Registered representative | Dec 2001 (25y) | ||
| Michele Renae Loy | Registered representative | Dec 2001 (25y) | ||
| Thomas Pulliam Alston | Registered representative | Dec 2001 (25y) | ||
| Wendy Gebauer Palladino | Registered representative | CFP | Dec 2001 (25y) | |
| Wesley Matthew Egan | Registered representative | Dec 2001 (25y) | ||
| William Gaither Weeks | Registered representative | Dec 2001 (25y) | ||
| Daryl Raymond Weber | Registered representative | Jan 2002 (25y) | ||
| Nicholas Charles Maffeo | Registered representative | Jan 2002 (25y) | ||
| Ryan James Koester | Registered representative | Jan 2002 (25y) | ||
| Thomas Henry Grim | Registered representative | Jan 2002 (25y) | ||
| Tamara Evangeline Elwell | Registered representative | Feb 2002 (24y) | ||
| Craig Edward Walker | Registered representative | Feb 2002 (24y) | ||
| Michael Gary Minter | Registered representative | Feb 2002 (24y) | ||
| Golam Farhad Chowdhury | Registered representative | Mar 2002 (24y) | ||
| Raymond Leroy Hays | Registered representative | Mar 2002 (24y) | ||
| Bruce Thomas Mcmillin | Registered representative | Mar 2002 (24y) | ||
| Charles Dudley Hardy | Registered representative | Apr 2002 (24y) | ||
| David Allen Prosser | Registered representative | Apr 2002 (24y) | ||
| Beverly Sowell Montgomery | Registered representative | May 2002 (24y) | ||
| John Matthew Szymanski | Registered representative | May 2002 (24y) | ||
| Richard Jon Robbins | Registered representative | May 2002 (24y) | ||
| Timothy Clark Johnson | Registered representative | May 2002 (24y) | ||
| Edward Dennis Lynch | Registered representative | May 2002 (24y) | ||
| Jonathan Tad Corob | Registered representative | May 2002 (24y) | ||
| A Daniel Coates | Registered representative | May 2002 (24y) | ||
| Christopher Sasen Hage | Registered representative | May 2002 (24y) | ||
| William Terrence Eichinger | Registered representative | CFP | May 2002 (24y) | |
| Bobbi Jan Young | Registered representative | May 2002 (24y) | ||
| Lilia Meneses Ramos | Registered representative | Jun 2002 (24y) | ||
| Michael Steven Moen | Registered representative | Jun 2002 (24y) | ||
| Brandon Michael Day | Registered representative | Jun 2002 (24y) | ||
| Marion Lawrence Craine | Registered representative | Jun 2002 (24y) | ||
| Alonzo A Burris | Registered representative | Jun 2002 (24y) | ||
| Brian Campbell Huber | Registered representative | CFP | Jun 2002 (24y) | |
| Edward J Mcmenamin | Registered representative | Jun 2002 (24y) | ||
| Eric Rockland Thornlow | Registered representative | Jun 2002 (24y) | ||
| John Calvin Mckewen | Registered representative | Jun 2002 (24y) | ||
| Kingsland Wadick Bland | Registered representative | Jun 2002 (24y) | ||
| Lloyd Baxter Hahn | Registered representative | Jun 2002 (24y) | ||
| Wilbur B Brown | Registered representative | CFP | Jun 2002 (24y) | |
| John Earle Chase | Registered representative | Jun 2002 (24y) | ||
| Ogden White Timpson | Registered representative | Jun 2002 (24y) | ||
| Susan Jane Gilpatric | Registered representative | Jun 2002 (24y) | ||
| Joy Frances Kenefick | Registered representative | Jun 2002 (24y) | ||
| Chris William Colasanti | Registered representative | Jun 2002 (24y) | ||
| Daniel Glen Fischler | Registered representative | Jun 2002 (24y) | ||
| Diego Hernan Morales | Registered representative | Jun 2002 (24y) | ||
| Gary Michael Thomas | Registered representative | Jun 2002 (24y) | ||
| George Allen Gillespie | Registered representative | Jun 2002 (24y) | ||
| Gregory Alan Warner | Registered representative | Jun 2002 (24y) | ||
| John Scott Harris | Registered representative | Jun 2002 (24y) | ||
| Keith Michael Loughlin | Registered representative | Jun 2002 (24y) | ||
| Marc Cambridge Hines | Registered representative | Jun 2002 (24y) | ||
| O Phil Haydon | Registered representative | Jun 2002 (24y) | ||
| Scott John Azzarelli | Registered representative | Jun 2002 (24y) | ||
| Steven Anthony Firenze | Registered representative | Jun 2002 (24y) | ||
| William Alexander Phifer | Registered representative | Jun 2002 (24y) | ||
| William Donald Haugen | Registered representative | CFP | Jun 2002 (24y) | |
| Charles Leslie Wilfong | Registered representative | Jun 2002 (24y) | ||
| Daryl Eugene Norman | Registered representative | Jun 2002 (24y) | ||
| David Len Best | Registered representative | Jun 2002 (24y) | ||
| James Dewey Wiley | Registered representative | CFP | Jun 2002 (24y) | |
| James Paul Kern | Registered representative | Jun 2002 (24y) | ||
| John Bennett Whatley | Registered representative | Jun 2002 (24y) | ||
| John Claron Mccormick | Registered representative | Jun 2002 (24y) | ||
| John Kenneth Cox | Registered representative | Jun 2002 (24y) | ||
| Marcia Claire Tillotson | Registered representative | Jun 2002 (24y) | ||
| Matthew David Kurz | Registered representative | Jun 2002 (24y) | ||
| Michael David Webber | Registered representative | Jun 2002 (24y) | ||
| Michael William Sowers | Registered representative | Jun 2002 (24y) | ||
| Neil Edward Bohlen | Registered representative | Jun 2002 (24y) | ||
| Scott Allan Settelen | Registered representative | CFP | Jun 2002 (24y) | |
| Stephen Carson Sloan | Registered representative | Jun 2002 (24y) | ||
| Terry Paul Hindle | Registered representative | Jun 2002 (24y) | ||
| Gerald Lee Malchak | Registered representative | Jun 2002 (24y) | ||
| Neil Charles Rebello | Registered representative | Jun 2002 (24y) | ||
| Steven Lleras | Registered representative | Jun 2002 (24y) | ||
| Marsha Toney Carver | Registered representative | Jul 2002 (24y) | ||
| Steven Joseph Menendez | Registered representative | Jul 2002 (24y) | ||
| John Joseph Feeley | Registered representative | CFP | Jul 2002 (24y) | |
| Timothy Paul Callahan | Registered representative | Jul 2002 (24y) | ||
| James Edward Schultz | Registered representative | Jul 2002 (24y) | ||
| John Daniel Lazzaro | Registered representative | Jul 2002 (24y) | ||
| Christopher Joseph Cassidy | Registered representative | Jul 2002 (24y) | ||
| Jeff W Leclair | Registered representative | Jul 2002 (24y) | ||
| Matthew Gordon | Registered representative | Jul 2002 (24y) | ||
| David Ross Corrigan | Registered representative | Aug 2002 (24y) | ||
| Jason Lawrence Fern | Registered representative | Aug 2002 (24y) | ||
| Michael James Stevens | Registered representative | Aug 2002 (24y) | ||
| Tyler Clayton Stude | Registered representative | CFP | Sep 2002 (24y) | |
| Robin Stone Wilcox | Registered representative | Sep 2002 (24y) | ||
| Brian Patrick Szumilas | Registered representative | Sep 2002 (24y) | ||
| John Christian Foery | Registered representative | Sep 2002 (24y) | ||
| Daniel Hatfield Payne | Registered representative | Sep 2002 (24y) | ||
| Edward G Riley | Registered representative | Oct 2002 (24y) | ||
| Robert Scott Baxter | Registered representative | Oct 2002 (24y) | ||
| Timothy Ellsworth Payne | Registered representative | CFP | Oct 2002 (24y) | |
| Michael Martin Higgins | Registered representative | Oct 2002 (24y) | ||
| Michael C Bigger | Registered representative | Oct 2002 (24y) | ||
| Michael Louis Cole | Registered representative | Oct 2002 (24y) | ||
| Benjamin Todd Melone | Registered representative | Nov 2002 (24y) | ||
| Bruce R Marger | Registered representative | Nov 2002 (24y) | ||
| Thomas Andrew Ganun | Registered representative | Nov 2002 (24y) | ||
| Michael Francis Connelly | Registered representative | Nov 2002 (24y) | ||
| Courtney M Custer | Registered representative | CFP | Nov 2002 (24y) | |
| James Michael Hare | Registered representative | CFP | Nov 2002 (24y) | |
| Jason Kenneth Rafalski | Registered representative | Nov 2002 (24y) | ||
| George William Batyko | Registered representative | Nov 2002 (24y) | ||
| James Robert Wiltman | Registered representative | Nov 2002 (24y) | ||
| Scott Richard Edgemont | Registered representative | Nov 2002 (24y) | ||
| Scott Thomas Pomeroy | Registered representative | Nov 2002 (24y) | ||
| Stephen Louis Muzekari | Registered representative | Nov 2002 (24y) | ||
| Brett Christopher Wartluft | Registered representative | Nov 2002 (24y) | ||
| Christopher Perry Shields | Registered representative | Nov 2002 (24y) | ||
| Clifford Butler Murray | Registered representative | Nov 2002 (24y) | ||
| Debra Sue Schneider | Registered representative | CFP | Nov 2002 (24y) | |
| Ellen Kay Bastron | Registered representative | Nov 2002 (24y) | ||
| Matthew Mezmar | Registered representative | Nov 2002 (24y) | ||
| Thomas Michael Nein | Registered representative | Nov 2002 (24y) | ||
| William M Mackay | Registered representative | Nov 2002 (24y) | ||
| Michael George Mccarthy | Registered representative | CFP | Nov 2002 (24y) | |
| John Martin Jetter | Registered representative | Nov 2002 (24y) | ||
| Robin Jay Radoff | Registered representative | Nov 2002 (24y) | ||
| Thomas Patrick Callahan | Registered representative | Nov 2002 (24y) | ||
| Cheryl Ann Schuler | Registered representative | Nov 2002 (24y) | ||
| David Andrew Simon | Registered representative | Nov 2002 (24y) | ||
| Thomas M Hopkins | Registered representative | CFP Chartered Financial Consultant | Nov 2002 (24y) | |
| Derek Michael Sox | Registered representative | CFP | Nov 2002 (24y) | |
| John Gardner Stevenson | Registered representative | Dec 2002 (24y) | ||
| Daniel Alan Bowerman | Registered representative | Jan 2003 (24y) | ||
| Kenan David Yamaner | Registered representative | Jan 2003 (24y) | ||
| Margaret Mary Simmons | Registered representative | Jan 2003 (24y) | ||
| Philip Joseph Hrvatin | Registered representative | Jan 2003 (24y) | ||
| Neill A Jennings | Registered representative | Jan 2003 (24y) | ||
| Barrett Gilbert Benton | Registered representative | Feb 2003 (23y) | ||
| Jason Bradley Ford | Registered representative | Feb 2003 (23y) | ||
| Charles David Lister | Registered representative | Feb 2003 (23y) | ||
| Michael Richard Edelson | Registered representative | Feb 2003 (23y) | ||
| Christopher Todd Beutel | Registered representative | Feb 2003 (23y) | ||
| Thomas Youngblood Plowden | Registered representative | Feb 2003 (23y) | ||
| Michael Steven Kuruzovich | Registered representative | Mar 2003 (23y) | ||
| Ronald Emory Aspinwall | Registered representative | Mar 2003 (23y) | ||
| Daniel Russell Vaughn | Registered representative | Mar 2003 (23y) | ||
| William Thomas Reilly | Registered representative | Mar 2003 (23y) | ||
| Mark A Conway | Registered representative | Mar 2003 (23y) | ||
| Beth Ann Lewis | Registered representative | Mar 2003 (23y) | ||
| Craig Alan Johnson | Registered representative | Mar 2003 (23y) | ||
| Mark Edward Ramsey | Registered representative | Mar 2003 (23y) | ||
| Stephen M. Trammell | Registered representative | Mar 2003 (23y) | ||
| Lawrence Alan Brody | Registered representative | Mar 2003 (23y) | ||
| Elliot Laurence Schwartz | Registered representative | Apr 2003 (23y) | ||
| Jack Eubank Parker | Registered representative | Apr 2003 (23y) | ||
| Jason Scott Clukey | Registered representative | Apr 2003 (23y) | ||
| Jeffrey Drummond Gray | Registered representative | CFP | Apr 2003 (23y) | |
| Donna Marie Ridley | Registered representative | Apr 2003 (23y) | ||
| Alan Kenneth Gross | Registered representative | Apr 2003 (23y) | ||
| William Hamilton Schoeffler | Registered representative | Apr 2003 (23y) | ||
| Gregory Alan Wade | Registered representative | Apr 2003 (23y) | ||
| Joseph Thomas Lawlor | Registered representative | Apr 2003 (23y) | ||
| Simone Yvonne Sowell Odom | Registered representative | Apr 2003 (23y) | ||
| Tracey Angela Tynes Horlback | Registered representative | Apr 2003 (23y) | ||
| Scott Douglas Conroy | Registered representative | Apr 2003 (23y) | ||
| Daniel Andrews Owen | Registered representative | Apr 2003 (23y) | ||
| Michael Edison Taylor | Registered representative | Apr 2003 (23y) | ||
| Tony Patrick Vanhille | Registered representative | May 2003 (23y) | ||
| David Myers Deneen | Registered representative | May 2003 (23y) | ||
| Herbert Merritt Harrison | Registered representative | May 2003 (23y) | ||
| John Middleton | Registered representative | May 2003 (23y) | ||
| George Nicholas Venizelos | Registered representative | May 2003 (23y) | ||
| Clifton Mark Langbecker | Registered representative | CFP | May 2003 (23y) | |
| Bryan Joseph Kissling | Registered representative | CFP | May 2003 (23y) | |
| Joseph Louis Cariello | Registered representative | May 2003 (23y) | ||
| Mark Allen Flores | Registered representative | CFP | May 2003 (23y) | |
| Audrey Lynn Brownmiller | Registered representative | Jun 2003 (23y) | ||
| David Lee Boyer | Registered representative | Jun 2003 (23y) | ||
| Brian Thomas D'amico | Registered representative | Jun 2003 (23y) | ||
| Mark Edward Strube | Registered representative | Jun 2003 (23y) | ||
| Severo Zuniga Sales | Registered representative | Jun 2003 (23y) | ||
| James Lawrence Michel | Registered representative | CFP | Jun 2003 (23y) | |
| Steve K Apostolopoulos | Registered representative | Jun 2003 (23y) | ||
| James Luke Copley | Registered representative | Jun 2003 (23y) | ||
| Christopher John Cunningham | Registered representative | Jun 2003 (23y) | ||
| Edward Theodore Sickel | Registered representative | Jun 2003 (23y) | ||
| Jerry Raymond Gunn | Registered representative | Jun 2003 (23y) | ||
| Heather Jantzen Stanley | Registered representative | Jun 2003 (23y) | ||
| Michael Gavin Watt | Registered representative | Jun 2003 (23y) | ||
| Marybeth Snyder | Registered representative | Jun 2003 (23y) | ||
| Terra Elizabeth Cripe | Registered representative | Jun 2003 (23y) | ||
| Brad Alan Harte | Registered representative | Jun 2003 (23y) | ||
| Matthew Alan Gray | Registered representative | Jun 2003 (23y) | ||
| Beatrice Dufort | Registered representative | Jun 2003 (23y) | ||
| Dylan Thomas Spadt | Registered representative | Jun 2003 (23y) | ||
| Edward Matthew Farley | Registered representative | Jun 2003 (23y) | ||
| James Joseph Duffy | Registered representative | Jun 2003 (23y) | ||
| Joseph Walter Gunsiorowski | Registered representative | Jun 2003 (23y) | ||
| Robert Scott Null | Registered representative | Jun 2003 (23y) | ||
| William Joseph Michetti | Registered representative | Jun 2003 (23y) | ||
| Adam Alan Weiss | Registered representative | Jul 2003 (23y) | ||
| Adam Lloyd Bechler | Registered representative | Jul 2003 (23y) | ||
| Adam Thomas Love | Registered representative | Jul 2003 (23y) | ||
| Aimee Ellen Karol | Registered representative | CFP | Jul 2003 (23y) | |
| Alan Charles Hess | Registered representative | Jul 2003 (23y) | ||
| Alan Scott Durlester | Registered representative | Jul 2003 (23y) | ||
| Albert Shihnai Yuan | Registered representative | Jul 2003 (23y) | ||
| Alejandro Fernandez | Registered representative | Jul 2003 (23y) | ||
| Allan L Herzog | Registered representative | Jul 2003 (23y) | ||
| Ann Valerie Wong Kruse | Registered representative | Jul 2003 (23y) | ||
| Anne Lane Davidson | Registered representative | Jul 2003 (23y) | ||
| Arnold T Butkus | Registered representative | Jul 2003 (23y) | ||
| Arthur H Zeitz | Registered representative | Jul 2003 (23y) | ||
| Audrey Sally Gould | Registered representative | Jul 2003 (23y) | ||
| Bahram Behray | Registered representative | Jul 2003 (23y) | ||
| Barbara Mcada Stainton | Registered representative | Jul 2003 (23y) | ||
| Benjamin W Kennon | Registered representative | Jul 2003 (23y) | ||
| Bert B Adams | Registered representative | Jul 2003 (23y) | ||
| Blake Cameron Foster | Registered representative | CFP | Jul 2003 (23y) | |
| Brian Alan Fu | Registered representative | Jul 2003 (23y) | ||
| Brian J Carroll | Registered representative | Jul 2003 (23y) | ||
| Brian Jay Fine | Registered representative | Jul 2003 (23y) | ||
| Brian Keith Wisniewski | Registered representative | Jul 2003 (23y) | ||
| Brian Patrick Rossney | Registered representative | Jul 2003 (23y) | ||
| Bruce David Brown | Registered representative | Jul 2003 (23y) | ||
| Bryan Robert Midura | Registered representative | Jul 2003 (23y) | ||
| Callender Richard Herman | Registered representative | Jul 2003 (23y) | ||
| Carlos Jimenez | Registered representative | Jul 2003 (23y) | ||
| Carlotta H Black | Registered representative | Jul 2003 (23y) | ||
| Carol Jaffe Armstrong | Registered representative | Jul 2003 (23y) | ||
| Carol Jean Schacht | Registered representative | Jul 2003 (23y) | ||
| Caroline Agamata Mccormick | Registered representative | Jul 2003 (23y) | ||
| Charles Marvin Wilson | Registered representative | Jul 2003 (23y) | ||
| Charles Randolph Thomas | Registered representative | Jul 2003 (23y) | ||
| Charles Robert Faig | Registered representative | Jul 2003 (23y) | ||
| Cheryl Cole White | Registered representative | CFP | Jul 2003 (23y) | |
| Cheryl Roberts | Registered representative | Jul 2003 (23y) | ||
| Christine Jeanette Kane | Registered representative | Jul 2003 (23y) | ||
| Christine Marie Esposito | Registered representative | Jul 2003 (23y) | ||
| Christopher Corral Acebal | Registered representative | Jul 2003 (23y) | ||
| Christopher Lee Walker | Registered representative | Jul 2003 (23y) | ||
| Christopher Thomas Kozo | Registered representative | CFP | Jul 2003 (23y) | |
| Clifton Wesley Thomas | Registered representative | CFP | Jul 2003 (23y) | |
| Colette Renee Johnson | Registered representative | Jul 2003 (23y) | ||
| Cory James Synnestvedt | Registered representative | Jul 2003 (23y) | ||
| Craig David Levin | Registered representative | Jul 2003 (23y) | ||
| Craig Edward Sullivan | Registered representative | Jul 2003 (23y) | ||
| Craig Edwin Janeck | Registered representative | Jul 2003 (23y) | ||
| Craig Evan Stern | Registered representative | Jul 2003 (23y) | ||
| Craig Paul Ratick | Registered representative | Jul 2003 (23y) | ||
| Cristen Tara Moore | Registered representative | Jul 2003 (23y) | ||
| Curtis Wade Hermann | Registered representative | CFP | Jul 2003 (23y) | |
| Dana Ellen Turano | Registered representative | Jul 2003 (23y) | ||
| Daniel Arthur Evans | Registered representative | Jul 2003 (23y) | ||
| Daniel Baker Dimick | Registered representative | Jul 2003 (23y) | ||
| Darin Scott Miller | Registered representative | Jul 2003 (23y) | ||
| Darrel Alan Madison | Registered representative | CFP | Jul 2003 (23y) | |
| Darrell Dennis Pitts | Registered representative | Jul 2003 (23y) | ||
| Darrell Richard May | Registered representative | Jul 2003 (23y) | ||
| David Alan Kroner | Registered representative | Jul 2003 (23y) | ||
| David James Schaming | Registered representative | Jul 2003 (23y) | ||
| David Lesley Henson | Registered representative | CFP | Jul 2003 (23y) | |
| David Lynn Payne | Registered representative | Jul 2003 (23y) | ||
| David M Cohen | Registered representative | Jul 2003 (23y) | ||
| David Matthew Altshuler | Registered representative | Jul 2003 (23y) | ||
| David Michael Harrison | Registered representative | CFP | Jul 2003 (23y) | |
| Debra Logan | Registered representative | Jul 2003 (23y) | ||
| Dennis Alex Kotoff | Registered representative | Jul 2003 (23y) | ||
| Dennis Charles Crispin | Registered representative | Jul 2003 (23y) | ||
| Derek Malone Louch | Registered representative | CFP | Jul 2003 (23y) | |
| Dominick Stillo | Registered representative | Jul 2003 (23y) | ||
| Donald Thomas Ruggieri | Registered representative | Jul 2003 (23y) | ||
| Donna Dm Phelan | Registered representative | Jul 2003 (23y) | ||
| Douglas James Vollmer | Registered representative | Jul 2003 (23y) | ||
| Douglas Lee Golden | Registered representative | Jul 2003 (23y) | ||
| Douglas Lee Meyer | Registered representative | CFP | Jul 2003 (23y) | |
| Douglas Matthew Smidt | Registered representative | Jul 2003 (23y) | ||
| Douglas Thomas Peart | Registered representative | Jul 2003 (23y) | ||
| Eddie Zalayet | Registered representative | CFP | Jul 2003 (23y) | |
| Edward A Dudley | Registered representative | Jul 2003 (23y) | ||
| Edwin Joe Harris | Registered representative | Jul 2003 (23y) | ||
| Eleanor L Tennyson | Registered representative | CFP | Jul 2003 (23y) | |
| Elisabeth Maria Niemann | Registered representative | Jul 2003 (23y) | ||
| Elizabeth Freda Fahan | Registered representative | Jul 2003 (23y) | ||
| Ellen Gould Baber | Registered representative | Jul 2003 (23y) | ||
| Elliot Lawrence Pokoik | Registered representative | CFP | Jul 2003 (23y) | |
| Erik Ernest Shifflett | Registered representative | CFP | Jul 2003 (23y) | |
| Eugene Adam Diamont | Registered representative | Jul 2003 (23y) | ||
| Fran Zynis | Registered representative | Jul 2003 (23y) | ||
| Frank Alfons Kallman | Registered representative | Jul 2003 (23y) | ||
| Frank Lawrence Agron | Registered representative | Jul 2003 (23y) | ||
| Frederick Bruce Salus | Registered representative | CFP | Jul 2003 (23y) | |
| Fredric Charles Gesten | Registered representative | Jul 2003 (23y) | ||
| Fulbia A Westfall | Registered representative | Jul 2003 (23y) | ||
| Garret Augustus Alcaraz | Registered representative | Jul 2003 (23y) | ||
| Geoffrey Martin Roberts | Registered representative | Jul 2003 (23y) | ||
| Geoffrey Scott King | Registered representative | CFP Chartered Financial Consultant | Jul 2003 (23y) | |
| George Anthony Snyder | Registered representative | Jul 2003 (23y) | ||
| George Constantin Kakouris | Registered representative | Jul 2003 (23y) | ||
| George John Seitz | Registered representative | Jul 2003 (23y) | ||
| George Randall Baird | Registered representative | CFP Chartered Financial Consultant | Jul 2003 (23y) | |
| Georgeanne Moss | Registered representative | Jul 2003 (23y) | ||
| Geriann Simoldoni | Registered representative | Jul 2003 (23y) | ||
| Gina Husted | Registered representative | Jul 2003 (23y) | ||
| Gregory Eric Beckman | Registered representative | Jul 2003 (23y) | ||
| Gregory Eric Ruff | Registered representative | Jul 2003 (23y) | ||
| Gregory M. Delargy | Registered representative | Jul 2003 (23y) | ||
| Gregory Michael Halligan | Registered representative | Jul 2003 (23y) | ||
| Grier Eugene White | Registered representative | Jul 2003 (23y) | ||
| Herman Suen On Ching | Registered representative | Jul 2003 (23y) | ||
| Howard Adler | Registered representative | Jul 2003 (23y) | ||
| Howard Mark Kobrin | Registered representative | Jul 2003 (23y) | ||
| Howard Seth Schwartz | Registered representative | Jul 2003 (23y) | ||
| Howard Steven Lorch | Registered representative | Jul 2003 (23y) | ||
| Ian Yuen Yee Wong | Registered representative | Jul 2003 (23y) | ||
| Ivan Goldstein | Registered representative | Jul 2003 (23y) | ||
| J Frederick Akers | Registered representative | CFP | Jul 2003 (23y) | |
| Jack Celestino Acebal | Registered representative | Jul 2003 (23y) | ||
| Jacob Wilbur Heuett | Registered representative | Jul 2003 (23y) | ||
| Jaime Ocon | Registered representative | Jul 2003 (23y) | ||
| James Bradley Silver | Registered representative | Jul 2003 (23y) | ||
| James Drake Burns | Registered representative | Jul 2003 (23y) | ||
| James L Dill | Registered representative | Jul 2003 (23y) | ||
| James M Travagline | Registered representative | Jul 2003 (23y) | ||
| James Patrick King | Registered representative | Jul 2003 (23y) | ||
| James Philip Reilly | Registered representative | Jul 2003 (23y) | ||
| James Reilly Palmer | Registered representative | Jul 2003 (23y) | ||
| James Ross Burrows | Registered representative | Jul 2003 (23y) | ||
| James Stephen Breen | Registered representative | Jul 2003 (23y) | ||
| James Wendell Purce | Registered representative | Jul 2003 (23y) | ||
| Jana Fern Barnett | Registered representative | Jul 2003 (23y) | ||
| Janet Dianne Bryant | Registered representative | Jul 2003 (23y) | ||
| Jason Kelley Winemiller | Registered representative | Jul 2003 (23y) | ||
| Jason Peretson | Registered representative | Jul 2003 (23y) | ||
| Jason Rand Mcdonald | Registered representative | CFP | Jul 2003 (23y) | |
| Jay Martin Niebuhr | Registered representative | Jul 2003 (23y) | ||
| Jeffrey Adler Skoll | Registered representative | Jul 2003 (23y) | ||
| Jeffrey Alan Blumenthal | Registered representative | Jul 2003 (23y) | ||
| Jeffrey Alen Stewart | Registered representative | Jul 2003 (23y) | ||
| Jeffrey Allan Armstrong | Registered representative | Jul 2003 (23y) | ||
| Jeffrey Cassel Kroll | Registered representative | Jul 2003 (23y) | ||
| Jeffrey David Silverstone | Registered representative | Jul 2003 (23y) | ||
| Jeffrey Edward Klein | Registered representative | Jul 2003 (23y) | ||
| Jeffrey M Kaltman | Registered representative | Jul 2003 (23y) | ||
| Jeffrey Robert Newman | Registered representative | Jul 2003 (23y) | ||
| Jeffrey Scott Roblyer | Registered representative | Jul 2003 (23y) | ||
| Jennifer Marie Freamon | Registered representative | Jul 2003 (23y) | ||
| Jennifer S. Powel | Registered representative | Jul 2003 (23y) | ||
| Jerry W Sims | Registered representative | Jul 2003 (23y) | ||
| Joann Blache Stewart | Registered representative | Jul 2003 (23y) | ||
| Joanne Patricia Basile | Registered representative | Jul 2003 (23y) | ||
| John Anthony Anella | Registered representative | Jul 2003 (23y) | ||
| John Atwood Mogk | Registered representative | CFP | Jul 2003 (23y) | |
| John B Sloope | Registered representative | Jul 2003 (23y) | ||
| John Beverley Caverhill | Registered representative | Jul 2003 (23y) | ||
| John Calvin Creamer | Registered representative | Jul 2003 (23y) | ||
| John Cornell Sayre | Registered representative | Jul 2003 (23y) | ||
| John Eliot Penn | Registered representative | Jul 2003 (23y) | ||
| John F Adie | Registered representative | Jul 2003 (23y) | ||
| John Gerald Caldwell | Registered representative | Jul 2003 (23y) | ||
| John Henry Hamm | Registered representative | Jul 2003 (23y) | ||
| John Joseph Skittone | Registered representative | Jul 2003 (23y) | ||
| John Michael Ohnemus | Registered representative | Jul 2003 (23y) | ||
| John Michael Scott | Registered representative | Jul 2003 (23y) | ||
| John Patrick Cavanaugh | Registered representative | Jul 2003 (23y) | ||
| John Patrick Cawley | Registered representative | CFP | Jul 2003 (23y) | |
| John Peter Puthenveetil | Registered representative | Jul 2003 (23y) | ||
| John S Armstrong | Registered representative | Jul 2003 (23y) | ||
| John Thomas Piper | Registered representative | Jul 2003 (23y) | ||
| John Wilbur Gilroy | Registered representative | Jul 2003 (23y) | ||
| Jolene Duplain | Registered representative | Jul 2003 (23y) | ||
| Jonathan A Evans | Registered representative | Jul 2003 (23y) | ||
| Joseph Folliard Perdue | Registered representative | Jul 2003 (23y) | ||
| Joseph Karl Huenke | Registered representative | Jul 2003 (23y) | ||
| Joseph Lloyd Fetters | Registered representative | Jul 2003 (23y) | ||
| Joseph Martin King | Registered representative | Jul 2003 (23y) | ||
| Joseph Thomas Travagline | Registered representative | Jul 2003 (23y) | ||
| Joshua Jason Billauer | Registered representative | Jul 2003 (23y) | ||
| Joy Rose Strickland | Registered representative | Jul 2003 (23y) | ||
| Judah Pablo Stoller | Registered representative | Jul 2003 (23y) | ||
| Karen M Semenick | Registered representative | Jul 2003 (23y) | ||
| Keith H Feinberg | Registered representative | Jul 2003 (23y) | ||
| Kelii Jk Kiakona | Registered representative | Jul 2003 (23y) | ||
| Kelly Andrews Bevis | Registered representative | Jul 2003 (23y) | ||
| Kelly Lynn Ann Curro | Registered representative | Jul 2003 (23y) | ||
| Kemilou Pomplun | Registered representative | Jul 2003 (23y) | ||
| Kendall David Higginbotham | Registered representative | Jul 2003 (23y) | ||
| Kenneth Bryan Crowder | Registered representative | Jul 2003 (23y) | ||
| Kenneth Hingwah Chan | Registered representative | Jul 2003 (23y) | ||
| Kenneth W Coan | Registered representative | CFP | Jul 2003 (23y) | |
| Kent Edgar Downing | Registered representative | Jul 2003 (23y) | ||
| Kevin E Deppe | Registered representative | Jul 2003 (23y) | ||
| Kevin Thomas Kitchin | Registered representative | Jul 2003 (23y) | ||
| Kit Edward Vick | Registered representative | Jul 2003 (23y) | ||
| Larry Stephen Saxby | Registered representative | Jul 2003 (23y) | ||
| Lawrence C Olin | Registered representative | CFP | Jul 2003 (23y) | |
| Lawrence Edward Segers | Registered representative | Jul 2003 (23y) | ||
| Lawrence Michael Murphy | Registered representative | Jul 2003 (23y) | ||
| Lawrence Weston Grimmett | Registered representative | Jul 2003 (23y) | ||
| Leland Mccormack Crawford | Registered representative | Jul 2003 (23y) | ||
| Leonilo Cabuena Garces | Registered representative | Jul 2003 (23y) | ||
| Lesa Marie Low | Registered representative | Jul 2003 (23y) | ||
| Leslie Rachel Tyler | Registered representative | Jul 2003 (23y) | ||
| Linda Karen Charvonia | Registered representative | Jul 2003 (23y) | ||
| Linda Lee Sirois | Registered representative | Jul 2003 (23y) | ||
| Lindsey D Barlow | Registered representative | Jul 2003 (23y) | ||
| Lloyd Alan Zitomer | Registered representative | Jul 2003 (23y) | ||
| Lucille Mary Cilento | Registered representative | Jul 2003 (23y) | ||
| Lyman H Bond | Registered representative | Jul 2003 (23y) | ||
| Lynda E Lorimer | Registered representative | Jul 2003 (23y) | ||
| M Craig Polinchock | Registered representative | Jul 2003 (23y) | ||
| Malinda Strehlow Difley | Registered representative | CFP | Jul 2003 (23y) | |
| Marc John Spiegel | Registered representative | Jul 2003 (23y) | ||
| Marcia Roxane Cary | Registered representative | Jul 2003 (23y) | ||
| Maria Louise Holtz | Registered representative | CFP | Jul 2003 (23y) | |
| Mark Alan Kronenfeld | Registered representative | Jul 2003 (23y) | ||
| Mark Joseph Andrus | Registered representative | Jul 2003 (23y) | ||
| Mark Joseph Lippman | Registered representative | Jul 2003 (23y) | ||
| Mark Tasher | Registered representative | Jul 2003 (23y) | ||
| Marshall M Rankowitz | Registered representative | Jul 2003 (23y) | ||
| Mary Gretchen Taylor | Registered representative | Jul 2003 (23y) | ||
| Matthew Patrick Kelly | Registered representative | Jul 2003 (23y) | ||
| Maureen Patricia Damer | Registered representative | Jul 2003 (23y) | ||
| Melissa Taylor Price | Registered representative | Jul 2003 (23y) | ||
| Michael A Pascale | Registered representative | Jul 2003 (23y) | ||
| Michael Aaron Rosen | Registered representative | Jul 2003 (23y) | ||
| Michael Anthony Olmos | Registered representative | CFP | Jul 2003 (23y) | |
| Michael Charles Brown | Registered representative | Jul 2003 (23y) | ||
| Michael Francis Wallensack | Registered representative | Jul 2003 (23y) | ||
| Michael Jay Fuentes | Registered representative | Jul 2003 (23y) | ||
| Michael Jay Weinberg | Registered representative | CFP | Jul 2003 (23y) | |
| Michael John Steinberg | Registered representative | Jul 2003 (23y) | ||
| Michael Patrick Glenn | Registered representative | Jul 2003 (23y) | ||
| Michael Sanford Stern | Registered representative | Jul 2003 (23y) | ||
| Michael Yuri Gage | Registered representative | CFP | Jul 2003 (23y) | |
| Michele Geralyn Mcmahon | Registered representative | CFP | Jul 2003 (23y) | |
| Michelle Leyshon Drawdy | Registered representative | Jul 2003 (23y) | ||
| Mildred Tabor Winkle | Registered representative | Jul 2003 (23y) | ||
| Myron John Hicks | Registered representative | CFP | Jul 2003 (23y) | |
| Nancy Charlene Lipham | Registered representative | CFP | Jul 2003 (23y) | |
| Nathan Edward Smart | Registered representative | CFP | Jul 2003 (23y) | |
| Neal Scott Abravanel | Registered representative | CFP | Jul 2003 (23y) | |
| Neil Reuben Cooper | Registered representative | Jul 2003 (23y) | ||
| Nicole Sutorius | Registered representative | Jul 2003 (23y) | ||
| Nitin Harkisan Parekh | Registered representative | Jul 2003 (23y) | ||
| Noelle Qutub Newman | Registered representative | Jul 2003 (23y) | ||
| Pamela Jacqueline Riet | Registered representative | CFP | Jul 2003 (23y) | |
| Pamela Mae Mathis | Registered representative | Jul 2003 (23y) | ||
| Pantaliao Rebimbas | Registered representative | Jul 2003 (23y) | ||
| Patricia Mcmahon Bonnot | Registered representative | Jul 2003 (23y) | ||
| Patricia S. Windham | Registered representative | Jul 2003 (23y) | ||
| Patrick Edward Healy | Registered representative | Jul 2003 (23y) | ||
| Paul Arthur Bronzo | Registered representative | Jul 2003 (23y) | ||
| Paul B Payne | Registered representative | Jul 2003 (23y) | ||
| Paul Oliver Hughston | Registered representative | Jul 2003 (23y) | ||
| Paul Richard Schmitz | Registered representative | Jul 2003 (23y) | ||
| Peter Donaldson Prentis | Registered representative | CFP | Jul 2003 (23y) | |
| Peter Donlon Snyder | Registered representative | Jul 2003 (23y) | ||
| Peter G Hart | Registered representative | Jul 2003 (23y) | ||
| Peter James Hall | Registered representative | Jul 2003 (23y) | ||
| Peter John Mirabelli | Registered representative | Jul 2003 (23y) | ||
| Peter John Noyes | Registered representative | Jul 2003 (23y) | ||
| Peter Jon Mccormick | Registered representative | Jul 2003 (23y) | ||
| Peter Joseph Krzyzak | Registered representative | Jul 2003 (23y) | ||
| Peter Lewis Horowitz | Registered representative | Jul 2003 (23y) | ||
| Philip Joseph Scenna | Registered representative | Jul 2003 (23y) | ||
| Richard Allen Millner | Registered representative | Jul 2003 (23y) | ||
| Richard G Rousseau | Registered representative | Jul 2003 (23y) | ||
| Richard J Spayde | Registered representative | Jul 2003 (23y) | ||
| Richard Jay Simenhoff | Registered representative | Jul 2003 (23y) | ||
| Richard Keith Jacobs | Registered representative | Jul 2003 (23y) | ||
| Richard Miles Roth | Registered representative | Jul 2003 (23y) | ||
| Richard R Jarman | Registered representative | CFP | Jul 2003 (23y) | |
| Richard Scott Vorhees | Registered representative | Jul 2003 (23y) | ||
| Richard William Jackson | Registered representative | CFP | Jul 2003 (23y) | |
| Rita Catherine Ratcliffe | Registered representative | Jul 2003 (23y) | ||
| Robert Avander Frazier | Registered representative | Jul 2003 (23y) | ||
| Robert C Sayre | Registered representative | Jul 2003 (23y) | ||
| Robert E Barnard | Registered representative | CFP | Jul 2003 (23y) | |
| Robert Harry Sparks | Registered representative | Jul 2003 (23y) | ||
| Robert Joseph Hanlon | Registered representative | Jul 2003 (23y) | ||
| Robert Joseph Knizak | Registered representative | Jul 2003 (23y) | ||
| Robert Lawrence Giampe | Registered representative | Jul 2003 (23y) | ||
| Robert Michael Henrici | Registered representative | Jul 2003 (23y) | ||
| Robert Walton Whiteside | Registered representative | Jul 2003 (23y) | ||
| Roberto Garcia Lowe | Registered representative | CFP | Jul 2003 (23y) | |
| Robin Ann Rush | Registered representative | Jul 2003 (23y) | ||
| Robin Shepley Clark | Registered representative | Jul 2003 (23y) | ||
| Roger Craig Hicks | Registered representative | Jul 2003 (23y) | ||
| Ronald Duane Roesler | Registered representative | Jul 2003 (23y) | ||
| Ronald George See | Registered representative | Jul 2003 (23y) | ||
| Ronald Lyman Carter | Registered representative | CFP | Jul 2003 (23y) | |
| Roy Herbert Browning | Registered representative | Jul 2003 (23y) | ||
| Samuel James Nuche | Registered representative | Jul 2003 (23y) | ||
| Sandra S Collura | Registered representative | Jul 2003 (23y) | ||
| Scott James Krueger | Registered representative | Jul 2003 (23y) | ||
| Scott Jonathan Sinclair | Registered representative | Jul 2003 (23y) | ||
| Scott Kenneth Duncan | Registered representative | Jul 2003 (23y) | ||
| Scott Porter Johnson | Registered representative | Jul 2003 (23y) | ||
| Shannon Stephen Thacker | Registered representative | CFA | Jul 2003 (23y) | |
| Shawn Francis Kowalewski | Registered representative | CFP | Jul 2003 (23y) | |
| Sin Oh Kwoun | Registered representative | Jul 2003 (23y) | ||
| Stacey Leung Crawford | Registered representative | Jul 2003 (23y) | ||
| Stanley Paul Hadam | Registered representative | Jul 2003 (23y) | ||
| Stanton Alfred Specker | Registered representative | CFP | Jul 2003 (23y) | |
| Stephen Douglass Schneider | Registered representative | CFP | Jul 2003 (23y) | |
| Stephen James Donelan | Registered representative | Jul 2003 (23y) | ||
| Stephen Ray Kull | Registered representative | Jul 2003 (23y) | ||
| Steven Anthony Tornicelli | Registered representative | Jul 2003 (23y) | ||
| Steven L Fenton | Registered representative | Jul 2003 (23y) | ||
| Steven Louis Frank | Registered representative | CFP | Jul 2003 (23y) | |
| Steven Michael Cohen | Registered representative | Jul 2003 (23y) | ||
| Stuart James | Registered representative | Jul 2003 (23y) | ||
| Terri Butler Watkins | Registered representative | Jul 2003 (23y) | ||
| Terry James Oleary | Registered representative | Jul 2003 (23y) | ||
| Thomas Gerard Castelli | Registered representative | Jul 2003 (23y) | ||
| Thomas M Quinn | Registered representative | Jul 2003 (23y) | ||
| Thomas Paul Oconnor | Registered representative | Jul 2003 (23y) | ||
| Thomas Tom Ferraro | Registered representative | Jul 2003 (23y) | ||
| Timothy Mark Sheerin | Registered representative | Jul 2003 (23y) | ||
| Timothy Patrick Cusick | Registered representative | Jul 2003 (23y) | ||
| Timothy Watson Richards | Registered representative | Jul 2003 (23y) | ||
| Todd Cornell Swan | Registered representative | Jul 2003 (23y) | ||
| Tovia Joseph Widman | Registered representative | Jul 2003 (23y) | ||
| Tracy Jon Riddle | Registered representative | Jul 2003 (23y) | ||
| Travis L Adcock | Registered representative | Jul 2003 (23y) | ||
| Trina Mary Louise Mitsch | Registered representative | Jul 2003 (23y) | ||
| Tyson Yan Cheung Lai | Registered representative | Jul 2003 (23y) | ||
| Vincent L Russo | Registered representative | Jul 2003 (23y) | ||
| Virginia Ross Merkel | Registered representative | CFP | Jul 2003 (23y) | |
| Walter Crawford Lambeth | Registered representative | Jul 2003 (23y) | ||
| Westley Nobuo Yamasaki | Registered representative | Jul 2003 (23y) | ||
| William Allen Painter | Registered representative | Jul 2003 (23y) | ||
| William Robert Manch | Registered representative | CFP | Jul 2003 (23y) | |
| William Wade Zeitz | Registered representative | Jul 2003 (23y) | ||
| William Warren Bandel | Registered representative | Jul 2003 (23y) | ||
| Wilson Daniel Bean | Registered representative | Jul 2003 (23y) | ||
| Michael Robert Papa | Registered representative | Jul 2003 (23y) | ||
| Timothy Scott Desantis | Registered representative | Jul 2003 (23y) | ||
| Hugo M Rocha | Registered representative | Jul 2003 (23y) | ||
| Bruce Howard Galpert | Registered representative | Jul 2003 (23y) | ||
| Charles Cleveland Sisson | Registered representative | Jul 2003 (23y) | ||
| Harry Constantine Calivas | Registered representative | CFP | Jul 2003 (23y) | |
| Heidi Wenzel Johnson | Registered representative | Jul 2003 (23y) | ||
| Andrea C Devincenzi | Registered representative | CFP | Aug 2003 (23y) | |
| David Michael Volpe | Registered representative | Aug 2003 (23y) | ||
| Heather Segrest Bentley | Registered representative | Aug 2003 (23y) | ||
| Mark Austin Mcneight | Registered representative | Aug 2003 (23y) | ||
| Didi Diem Hoang | Registered representative | Aug 2003 (23y) | ||
| Charles Lawrence Friedlander | Registered representative | Sep 2003 (23y) | ||
| Roger Barclay Hall | Registered representative | Sep 2003 (23y) | ||
| Charles Joseph Nagy | Registered representative | Sep 2003 (23y) | ||
| Thomas Joseph Olszak | Registered representative | Sep 2003 (23y) | ||
| Todd Jeremy Thornley | Registered representative | Sep 2003 (23y) | ||
| Betty Blake King | Registered representative | CFP | Oct 2003 (23y) | |
| John Carter Chapman | Registered representative | Oct 2003 (23y) | ||
| William Doherty Tafel | Registered representative | Oct 2003 (23y) | ||
| Warren Thorpe Kennett | Registered representative | Oct 2003 (23y) | ||
| Brian Keith Berry | Registered representative | Oct 2003 (23y) | ||
| Kim Marie Cyr | Registered representative | CFP | Oct 2003 (23y) | |
| Michael Anthony Stagliano | Registered representative | Oct 2003 (23y) | ||
| Michael Anthony Vincent | Registered representative | Oct 2003 (23y) | ||
| Rex Alan Marshall | Registered representative | Oct 2003 (23y) | ||
| Robert Albert Hausmann | Registered representative | Oct 2003 (23y) | ||
| Andrew Russell Kevlahan | Registered representative | Oct 2003 (23y) | ||
| Grant Ostrander Slocumb | Registered representative | Nov 2003 (23y) | ||
| Ricardo J Alonso | Registered representative | Nov 2003 (23y) | ||
| David Jonathon Kron | Registered representative | Nov 2003 (23y) | ||
| Brian Richard Reichenberger | Registered representative | CFP | Nov 2003 (23y) | |
| Q Gregory Orlando | Registered representative | Nov 2003 (23y) | ||
| Todd Carter Willihnganz | Registered representative | CFP | Nov 2003 (23y) | |
| William Douglas Bruner | Registered representative | Nov 2003 (23y) | ||
| Thomas David Whelan | Registered representative | CFP | Nov 2003 (23y) | |
| Todd James Cook | Registered representative | Nov 2003 (23y) | ||
| Shawn Derrick Siglinger | Registered representative | Dec 2003 (23y) | ||
| Richard William Ward | Registered representative | Dec 2003 (23y) | ||
| William Ray Muehlhauser | Registered representative | Dec 2003 (23y) | ||
| Mark Isaac Aizenberg | Registered representative | Dec 2003 (23y) | ||
| Gregory Michael Sevlian | Registered representative | Jan 2004 (23y) | ||
| Gregory Andrew Nascimento | Registered representative | Jan 2004 (23y) | ||
| Jeffrey Charles Coble | Registered representative | Jan 2004 (23y) | ||
| Justin Jang Pak | Registered representative | Jan 2004 (23y) | ||
| Michael Gangi | Registered representative | Jan 2004 (23y) | ||
| Michael Samuel Sirianni | Registered representative | Jan 2004 (23y) | ||
| Yvette Lamchek Emnas | Registered representative | Jan 2004 (23y) | ||
| Eric Leslie Kohlmeier | Registered representative | Jan 2004 (23y) | ||
| Hany Elhelw | Registered representative | Jan 2004 (23y) | ||
| Thomas Bernard Goodwin | Registered representative | Jan 2004 (23y) | ||
| Kevin Milton Wilson | Registered representative | Jan 2004 (23y) | ||
| Michael David Sayther | Registered representative | CFP | Jan 2004 (23y) | |
| Conrad Butler Richards | Registered representative | Jan 2004 (23y) | ||
| Darlene Reischman | Registered representative | Jan 2004 (23y) | ||
| Jeffrey Alan Thode | Registered representative | Jan 2004 (23y) | ||
| Robert Edward Staley | Registered representative | Jan 2004 (23y) | ||
| Robert Keith Hobbs | Registered representative | Jan 2004 (23y) | ||
| Andrew Joseph Harmer | Registered representative | Jan 2004 (23y) | ||
| John James Iuliano | Registered representative | Jan 2004 (23y) | ||
| Robert Philip Cautilli | Registered representative | Jan 2004 (23y) | ||
| Thomas Anthony Taggart | Registered representative | Jan 2004 (23y) | ||
| Thomas Clegg Smith | Registered representative | Jan 2004 (23y) | ||
| James Lee Slaska | Registered representative | Jan 2004 (23y) | ||
| Margaret Peters Mclarty | Registered representative | CFP | Jan 2004 (23y) | |
| Joelene Renee Hotze | Registered representative | Jan 2004 (23y) | ||
| Richard Wade Silberg | Registered representative | Jan 2004 (23y) | ||
| Michael Ely Stein | Registered representative | Jan 2004 (23y) | ||
| Jeffrey David Hilwig | Registered representative | Feb 2004 (22y) | ||
| Michael Nicholas Merlo | Registered representative | Feb 2004 (22y) | ||
| Robert Francis Conroy | Registered representative | Feb 2004 (22y) | ||
| Richard Wayne Hobbs | Registered representative | Feb 2004 (22y) | ||
| John Patrick Gartland | Registered representative | Feb 2004 (22y) | ||
| Mahendra Kanwal Bist | Registered representative | CFP | Feb 2004 (22y) | |
| Ryan Bryce Lee | Registered representative | CFA | Feb 2004 (22y) | |
| Benjamin James Manga | Registered representative | Feb 2004 (22y) | ||
| Timothy Stephen Daily | Registered representative | Feb 2004 (22y) | ||
| James Patrick O'brien | Registered representative | Feb 2004 (22y) | ||
| Stephen Robert Gagne | Registered representative | Feb 2004 (22y) | ||
| Peter Frank Valdez | Registered representative | Mar 2004 (22y) | ||
| Louis John Davenio | Registered representative | Mar 2004 (22y) | ||
| Florence M Perry | Registered representative | Mar 2004 (22y) | ||
| Patricia Vera Chabot | Registered representative | Mar 2004 (22y) | ||
| Joseph Richard Rotunda | Registered representative | Mar 2004 (22y) | ||
| Sridhar Yarlagadda | Registered representative | Mar 2004 (22y) | ||
| George Anthony Bellos | Registered representative | Apr 2004 (22y) | ||
| Gregory Dennis Mack | Registered representative | Apr 2004 (22y) | ||
| Kevin M Jusko | Registered representative | Apr 2004 (22y) | ||
| Mark J. Schaaf | Registered representative | Apr 2004 (22y) | ||
| Michael Scott Brown | Registered representative | Apr 2004 (22y) | ||
| Justin Andrew Odell | Registered representative | CFP | Apr 2004 (22y) | |
| Joram Kibugi Manyatta | Registered representative | Apr 2004 (22y) | ||
| Michael Willis Shrauder | Registered representative | May 2004 (22y) | ||
| Martin Jon Kovach | Registered representative | Jun 2004 (22y) | ||
| Daniel Francis Smith | Registered representative | Jun 2004 (22y) | ||
| Colleen Mary Parkhurst | Registered representative | Jul 2004 (22y) | ||
| Brian Patrick Dunphy | Registered representative | Jul 2004 (22y) | ||
| Angela Villanueva | Registered representative | Jul 2004 (22y) | ||
| Ellen Kay Marrs | Registered representative | Jul 2004 (22y) | ||
| James J Ratchford | Registered representative | CFP | Jul 2004 (22y) | |
| Ricky Glen Maultasch | Registered representative | Jul 2004 (22y) | ||
| William D Jenkins | Registered representative | Jul 2004 (22y) | ||
| Christine Carol Mollohan | Registered representative | Aug 2004 (22y) | ||
| Daniel Todd Sperow | Registered representative | CFP | Aug 2004 (22y) | |
| David Jeffrey Nelson | Registered representative | Aug 2004 (22y) | ||
| Tracy Ann Steberger | Registered representative | Aug 2004 (22y) | ||
| Arnold G. Garcia | Registered representative | Aug 2004 (22y) | ||
| Tasos Demetriou Zambas | Registered representative | Aug 2004 (22y) | ||
| Tina Harmier | Registered representative | Aug 2004 (22y) | ||
| Jeffrey Lawrence Kiley | Registered representative | Aug 2004 (22y) | ||
| Thomas C Greaser | Registered representative | CFP | Aug 2004 (22y) | |
| Thomas Gerard Donaghy | Registered representative | Aug 2004 (22y) | ||
| Michael Garnett Wilkerson | Registered representative | Aug 2004 (22y) | ||
| Creston Welby Saunders | Registered representative | Aug 2004 (22y) | ||
| Dal Jeff Youn | Registered representative | Aug 2004 (22y) | ||
| Anne Tunney Gagnon | Registered representative | Aug 2004 (22y) | ||
| Andrew Hewitt Finch | Registered representative | Sep 2004 (22y) | ||
| John David Clements | Registered representative | Sep 2004 (22y) | ||
| William Goodwin | Registered representative | Sep 2004 (22y) | ||
| Kevin Francis Hadawi | Registered representative | Sep 2004 (22y) | ||
| Anna Marie Getzinger | Registered representative | Sep 2004 (22y) | ||
| Robert John Riso | Registered representative | Sep 2004 (22y) | ||
| Dianne G Hill | Registered representative | Sep 2004 (22y) | ||
| Steven Albert Liaty | Registered representative | Sep 2004 (22y) | ||
| Walter Craig Mccurdy | Registered representative | Sep 2004 (22y) | ||
| Matthew Darren Waters | Registered representative | Sep 2004 (22y) | ||
| Robert Lewis Turner | Registered representative | Oct 2004 (22y) | ||
| Benjamin Graham Senn | Registered representative | Oct 2004 (22y) | ||
| Rodney Deacon Riso | Registered representative | Oct 2004 (22y) | ||
| Sally Ann Bucciarelli | Registered representative | Oct 2004 (22y) | ||
| Cynthia T Picha | Registered representative | Oct 2004 (22y) | ||
| Ralph Edward Griffin | Registered representative | Oct 2004 (22y) | ||
| Cathy J Carlone | Registered representative | Oct 2004 (22y) | ||
| Brian Matthew Leeton | Registered representative | Nov 2004 (22y) | ||
| George Raymond Burby | Registered representative | CFP | Nov 2004 (22y) | |
| Stephen S Kroll | Registered representative | Nov 2004 (22y) | ||
| Ian Scott Mcdonald | Registered representative | Nov 2004 (22y) | ||
| Jamie Chie Kakumu Lunge | Registered representative | Nov 2004 (22y) | ||
| Sharmila Luxshmi Padmalingam | Registered representative | Nov 2004 (22y) | ||
| Lisa Michelle Cargill | Registered representative | Dec 2004 (22y) | ||
| James Ullrich | Registered representative | CFP | Dec 2004 (22y) | |
| John William Whelan | Registered representative | CFP | Dec 2004 (22y) | |
| Aaron Lawless Landry | Registered representative | Jan 2005 (22y) | ||
| Michael Joseph Hinkle | Registered representative | Jan 2005 (22y) | ||
| Norman Paul Harres | Registered representative | Jan 2005 (22y) | ||
| Magaly Ladron De Guevara | Registered representative | Jan 2005 (22y) | ||
| Matthew James Kanarick | Registered representative | Jan 2005 (22y) | ||
| Leland Scott Gill | Registered representative | Jan 2005 (22y) | ||
| Rochelle Ann Wacker | Registered representative | Jan 2005 (22y) | ||
| Matthew Ray Gillen | Registered representative | CFP | Jan 2005 (22y) | |
| Mark Charles Griffin | Registered representative | Jan 2005 (22y) | ||
| Sean Michael Henderson | Registered representative | Jan 2005 (22y) | ||
| William Douglas Stroud | Registered representative | Jan 2005 (22y) | ||
| Jean Gaston Cohen | Registered representative | Feb 2005 (21y) | ||
| Jeffry Joseph Cummings | Registered representative | Feb 2005 (21y) | ||
| Kevin Robert Richard | Registered representative | Feb 2005 (21y) | ||
| Richard Scialabba | Registered representative | Feb 2005 (21y) | ||
| Christopher Alan Curran | Registered representative | Feb 2005 (21y) | ||
| Rodney Carl Connell | Registered representative | Feb 2005 (21y) | ||
| Stephen Beaumont Fry | Registered representative | Mar 2005 (21y) | ||
| Christopher Joseph Tuti | Registered representative | Mar 2005 (21y) | ||
| William E Ocallaghan | Registered representative | Mar 2005 (21y) | ||
| George Michael Deegan | Registered representative | Mar 2005 (21y) | ||
| Lisa Ann Duncan | Registered representative | Mar 2005 (21y) | ||
| Richard Perpetuel Trouillot | Registered representative | Mar 2005 (21y) | ||
| Donna Sen Moy Waletzki | Registered representative | Mar 2005 (21y) | ||
| Pamela Rose Whitman | Registered representative | Apr 2005 (21y) | ||
| Teodore John Krawec | Registered representative | Apr 2005 (21y) | ||
| Erik Carsten Burros | Registered representative | Apr 2005 (21y) | ||
| William E Gibboney | Registered representative | Apr 2005 (21y) | ||
| Jennifer Lynn Buehler | Registered representative | Apr 2005 (21y) | ||
| William Lee Mullins | Registered representative | CFA | Apr 2005 (21y) | |
| Jordan Andrew Ellis | Registered representative | Apr 2005 (21y) | ||
| Matthew Aaron Hagans | Registered representative | CFP | Apr 2005 (21y) | |
| Joseph Rizza | Registered representative | May 2005 (21y) | ||
| William Howard Gollihue | Registered representative | May 2005 (21y) | ||
| Ed O. Hoosh | Registered representative | May 2005 (21y) | ||
| Stephen Ward Zeliff | Registered representative | May 2005 (21y) | ||
| John Chaffin Lavalle | Registered representative | May 2005 (21y) | ||
| Eric Clifton Rommell | Registered representative | May 2005 (21y) | ||
| Jeffrey Bradley Izsak | Registered representative | May 2005 (21y) | ||
| Ann Elizabeth Baron | Registered representative | May 2005 (21y) | ||
| Karen Susan Donnelly | Registered representative | May 2005 (21y) | ||
| David Henry Kraft | Registered representative | Jun 2005 (21y) | ||
| Eric Jeffrey Shapiro | Registered representative | Jun 2005 (21y) | ||
| John Mark Copley | Registered representative | Jun 2005 (21y) | ||
| Joseph Julius Miro | Registered representative | Jun 2005 (21y) | ||
| James Maurice Creamer | Registered representative | Jun 2005 (21y) | ||
| William Anthony Bresley | Registered representative | Jun 2005 (21y) | ||
| Daniel Charles Petika | Registered representative | Jun 2005 (21y) | ||
| Daniel Jarrod Peters | Registered representative | CFP | Jul 2005 (21y) | |
| Jason Aaron Dubler | Registered representative | Jul 2005 (21y) | ||
| Steven A Wellins | Registered representative | Jul 2005 (21y) | ||
| J Lemoine Patty | Registered representative | Jul 2005 (21y) | ||
| Jerome Oliver Lynch | Registered representative | Jul 2005 (21y) | ||
| Michael Christopher Brannen | Registered representative | Jul 2005 (21y) | ||
| Ronald Maset | Registered representative | Jul 2005 (21y) | ||
| Gerald Stanley Creem | Registered representative | CFA | Jul 2005 (21y) | |
| John Bradley Cline | Registered representative | Jul 2005 (21y) | ||
| Nathan Charles Goulet | Registered representative | CFP | Jul 2005 (21y) | |
| Antonio Dimaggio | Registered representative | Jul 2005 (21y) | ||
| Bryan Randolph Norfleet | Registered representative | Jul 2005 (21y) | ||
| Frank Peter Yany | Registered representative | Jul 2005 (21y) | ||
| Gregory Joseph Hetzer | Registered representative | Jul 2005 (21y) | ||
| Laura Theresa Jayne | Registered representative | Jul 2005 (21y) | ||
| John Merrill Lebeau | Registered representative | Jul 2005 (21y) | ||
| Barry Lynn Harrison | Registered representative | Aug 2005 (21y) | ||
| Brian Peter Kahn | Registered representative | Aug 2005 (21y) | ||
| Mitchell J Stillman | Registered representative | Aug 2005 (21y) | ||
| Roger Beguiristain | Registered representative | Aug 2005 (21y) | ||
| Karen Olive Burritt Sinovic | Registered representative | Aug 2005 (21y) | ||
| Steven Franklin Sharp | Registered representative | Aug 2005 (21y) | ||
| Philip Eliot Kimmel | Registered representative | Aug 2005 (21y) | ||
| Ronald Murray Millspaugh | Registered representative | Aug 2005 (21y) | ||
| Jonathan Fujiwara Kimmes | Registered representative | Aug 2005 (21y) | ||
| James Andrew Straut | Registered representative | Aug 2005 (21y) | ||
| Jose Angeles Yamat | Registered representative | Aug 2005 (21y) | ||
| Russell Sneed Eaves | Registered representative | Aug 2005 (21y) | ||
| Christopher Todd Nickle | Registered representative | Aug 2005 (21y) | ||
| John Devin Shropshire | Registered representative | Aug 2005 (21y) | ||
| Linda Christine Wilmoth | Registered representative | Aug 2005 (21y) | ||
| Brian Lee Trost | Registered representative | CFP | Sep 2005 (21y) | |
| Carolyn Jean Porter | Registered representative | Sep 2005 (21y) | ||
| William James Baxter | Registered representative | Sep 2005 (21y) | ||
| Katie Gitlin Ward | Registered representative | Sep 2005 (21y) | ||
| Peter William Moehrke | Registered representative | Sep 2005 (21y) | ||
| Jeffrey Robert Percy | Registered representative | Sep 2005 (21y) | ||
| Michael Jason Palmer | Registered representative | Sep 2005 (21y) | ||
| Stephen Marc November | Registered representative | Sep 2005 (21y) | ||
| Jeffrey Charles Rosseter | Registered representative | Oct 2005 (21y) | ||
| Daniel Philip Aiello | Registered representative | CFP | Oct 2005 (21y) | |
| Thomas Joseph Cunningham | Registered representative | Oct 2005 (21y) | ||
| Tod Francis Wilson | Registered representative | Oct 2005 (21y) | ||
| Arvind Prakash Mathur | Registered representative | Oct 2005 (21y) | ||
| Stephen Alan Thornhill | Registered representative | Oct 2005 (21y) | ||
| Daniel Frank Aulizia | Registered representative | Oct 2005 (21y) | ||
| Jeffrey Burton Fournace | Registered representative | Oct 2005 (21y) | ||
| Jonathan Scott Mansfield | Registered representative | Oct 2005 (21y) | ||
| Bryan Joseph Hendricks | Registered representative | Oct 2005 (21y) | ||
| Sharon Lynn Lenzi | Registered representative | Oct 2005 (21y) | ||
| Alesia Kay Patterson | Registered representative | Oct 2005 (21y) | ||
| Michael Thomas Newton | Registered representative | CFP | Oct 2005 (21y) | |
| Robert Lee Mcquillan | Registered representative | Oct 2005 (21y) | ||
| Charles F Jenkins | Registered representative | Nov 2005 (21y) | ||
| C Emmerson Small | Registered representative | CFP | Nov 2005 (21y) | |
| Magnita Kluvitse | Registered representative | CFP | Nov 2005 (21y) | |
| Emily Uy Hughey | Registered representative | Nov 2005 (21y) | ||
| Christopher Kent Herman | Registered representative | Nov 2005 (21y) | ||
| Ryan Patrick Locanto | Registered representative | Nov 2005 (21y) | ||
| Jonathan Stuart Thompson | Registered representative | Nov 2005 (21y) | ||
| Michael Alan Barck | Registered representative | Nov 2005 (21y) | ||
| Paul Stephen Baker | Registered representative | CFP | Nov 2005 (21y) | |
| Amy Constance Robinson | Registered representative | Nov 2005 (21y) | ||
| Lance Withers Slaughter | Registered representative | Nov 2005 (21y) | ||
| Paul Barry Fisch | Registered representative | Nov 2005 (21y) | ||
| Jennifer Dawn Baiocco | Registered representative | Nov 2005 (21y) | ||
| John Sumbera | Registered representative | Dec 2005 (21y) | ||
| Patrick Gregory Gaitens | Registered representative | Dec 2005 (21y) | ||
| Barbara Marie Cardinal Sorge | Registered representative | Dec 2005 (21y) | ||
| Bruce Thomas Gross | Registered representative | Dec 2005 (21y) | ||
| Deborah Marion Pease | Registered representative | Dec 2005 (21y) | ||
| Hugh Dunham Shine | Registered representative | Dec 2005 (21y) | ||
| Katherine Lyne Nelson | Registered representative | Dec 2005 (21y) | ||
| Marie Carney | Registered representative | Dec 2005 (21y) | ||
| Michael L. Parks | Registered representative | Dec 2005 (21y) | ||
| Scott Michael Koruba | Registered representative | Dec 2005 (21y) | ||
| Terza Jo Wheeler | Registered representative | Dec 2005 (21y) | ||
| Andrew Joe Caldwell | Registered representative | Jan 2006 (21y) | ||
| Jill Anne Painter | Registered representative | CFP | Jan 2006 (21y) | |
| James Ilderton Madebach | Registered representative | Jan 2006 (21y) | ||
| Noris B Udiz | Registered representative | Jan 2006 (21y) | ||
| Brett Joseph Giaconia | Registered representative | Jan 2006 (21y) | ||
| Manuel Edgardo Aponte | Registered representative | Jan 2006 (21y) | ||
| Sean Kevin O'hara | Registered representative | Jan 2006 (21y) | ||
| Nicholas John Giaconia | Registered representative | Jan 2006 (21y) | ||
| Harland Ira Jacobs | Registered representative | Jan 2006 (21y) | ||
| Anthony L Mazzeo | Registered representative | Feb 2006 (20y) | ||
| David Arthur Walsh | Registered representative | Feb 2006 (20y) | ||
| John Paul Mckenna | Registered representative | Feb 2006 (20y) | ||
| Jay Edward Alexis | Registered representative | Feb 2006 (20y) | ||
| Joseph Edward Kenna | Registered representative | Feb 2006 (20y) | ||
| Stacey Ann Roman | Registered representative | Feb 2006 (20y) | ||
| Christian Scott W Trent | Registered representative | Feb 2006 (20y) | ||
| Charles Eugene Hallam | Registered representative | Feb 2006 (20y) | ||
| Gregory S Banks | Registered representative | Feb 2006 (20y) | ||
| Larry William Gorrell | Registered representative | Mar 2006 (20y) | ||
| Robert Allen Ottesen | Registered representative | Mar 2006 (20y) | ||
| Tobias C. Bateson | Registered representative | Mar 2006 (20y) | ||
| Robert Phillip Sampson | Registered representative | Mar 2006 (20y) | ||
| James Anthony Waldorf | Registered representative | Mar 2006 (20y) | ||
| James Errington Pitzer | Registered representative | Mar 2006 (20y) | ||
| John Dickens Richards | Registered representative | Mar 2006 (20y) | ||
| John Murnan Richards | Registered representative | CFP | Mar 2006 (20y) | |
| William Andrew Murphy | Registered representative | Mar 2006 (20y) | ||
| Jennifer Catherine Burdette | Registered representative | Mar 2006 (20y) | ||
| Patrick Anthony Russo | Registered representative | Mar 2006 (20y) | ||
| Joseph Mark Juras | Registered representative | Mar 2006 (20y) | ||
| Timothy Lee Holloway | Registered representative | Mar 2006 (20y) | ||
| Brenner Alexander Boyd | Registered representative | CFP | Mar 2006 (20y) | |
| Brian James Singsank | Registered representative | Mar 2006 (20y) | ||
| Samuel Wilton Vossler Harris | Registered representative | Mar 2006 (20y) | ||
| David Frederick Schneeweiss | Registered representative | Apr 2006 (20y) | ||
| Brian James Konish | Registered representative | CFP | Apr 2006 (20y) | |
| Joel Scott Malo | Registered representative | Apr 2006 (20y) | ||
| Bruce Rogovin | Registered representative | CFP | Apr 2006 (20y) | |
| Laurence Philip Rogers | Registered representative | CFP | Apr 2006 (20y) | |
| Michael David Fielding | Registered representative | Apr 2006 (20y) | ||
| Richard Christopher Eckelhofer | Registered representative | Apr 2006 (20y) | ||
| Roger Philip Cogan | Registered representative | CFP | Apr 2006 (20y) | |
| Steven Marc Steiger | Registered representative | Apr 2006 (20y) | ||
| Adam Donald Anderson | Registered representative | CFP | Apr 2006 (20y) | |
| Adam Carl Elgert | Registered representative | CFP | Apr 2006 (20y) | |
| William C Coffey | Registered representative | CFP Chartered Financial Consultant | Apr 2006 (20y) | |
| Frederick Theodore Frederickson | Registered representative | CFP | Apr 2006 (20y) | |
| Robert Melton | Registered representative | Apr 2006 (20y) | ||
| Robert Scott Wall | Registered representative | May 2006 (20y) | ||
| Charles M Tessler | Registered representative | May 2006 (20y) | ||
| Andrew Preston Peed | Registered representative | CFP | May 2006 (20y) | |
| Robert Edward Gilman | Registered representative | May 2006 (20y) | ||
| Craig Edward Buzak | Registered representative | May 2006 (20y) | ||
| James Alan Hungerford | Registered representative | May 2006 (20y) | ||
| Jamie Sue Botts | Registered representative | May 2006 (20y) | ||
| Michael Reyes | Registered representative | May 2006 (20y) | ||
| Patricia Sue Sutton | Registered representative | May 2006 (20y) | ||
| Toni Marie Reese | Registered representative | May 2006 (20y) | ||
| Jason Del Valle | Registered representative | May 2006 (20y) | ||
| Doug Adam Chellevold | Registered representative | May 2006 (20y) | ||
| Robert Morris Freed | Registered representative | May 2006 (20y) | ||
| Steven Ray Townsend | Registered representative | May 2006 (20y) | ||
| Analiza Tan Lopez | Registered representative | Jun 2006 (20y) | ||
| Dominec Yanniello | Registered representative | Jun 2006 (20y) | ||
| Jason Quinn Marshall | Registered representative | Jun 2006 (20y) | ||
| David Michael Haas | Registered representative | Jun 2006 (20y) | ||
| Elizabeth Woods Tyler | Registered representative | Jun 2006 (20y) | ||
| James William Yameen | Registered representative | Jun 2006 (20y) | ||
| William Martin Oliver | Registered representative | Jun 2006 (20y) | ||
| Karen Akel Johns | Registered representative | Jun 2006 (20y) | ||
| Nicholas John Mathiason | Registered representative | Jun 2006 (20y) | ||
| Lydell Lamont Thompson | Registered representative | CFP | Jul 2006 (20y) | |
| Robert Wojciech Sek | Registered representative | Jul 2006 (20y) | ||
| Kien Chi Thai | Registered representative | Jul 2006 (20y) | ||
| Annette M Moore | Registered representative | Jul 2006 (20y) | ||
| Ronald Paul Hunter | Registered representative | Jul 2006 (20y) | ||
| Brice Allen Logan | Registered representative | Jul 2006 (20y) | ||
| Diane Keiko Furubayashi | Registered representative | Jul 2006 (20y) | ||
| Jason Marcus Allen | Registered representative | Jul 2006 (20y) | ||
| Robin Marie Cobas | Registered representative | Jul 2006 (20y) | ||
| Amie Joan Quattrocki | Registered representative | Jul 2006 (20y) | ||
| Edward J King | Registered representative | Jul 2006 (20y) | ||
| Adam A Schwalb | Registered representative | Jul 2006 (20y) | ||
| David Scott Phillips | Registered representative | Jul 2006 (20y) | ||
| Anthony William Ross | Registered representative | CFP | Jul 2006 (20y) | |
| Dennis David Braun | Registered representative | Jul 2006 (20y) | ||
| Will Jenkins | Registered representative | Jul 2006 (20y) | ||
| Jonathan King Wolfe | Registered representative | Aug 2006 (20y) | ||
| Diane Laverne Davis | Registered representative | Aug 2006 (20y) | ||
| Paul Lawrence Sercer | Registered representative | Aug 2006 (20y) | ||
| Michael George Brennan | Registered representative | CFP | Aug 2006 (20y) | |
| Bertrand Canega Ong | Registered representative | Aug 2006 (20y) | ||
| Brian Edward Morales | Registered representative | Aug 2006 (20y) | ||
| Judy Kay Thomas | Registered representative | Aug 2006 (20y) | ||
| Kris Welborn | Registered representative | CFP | Aug 2006 (20y) | |
| Bonnie French Keller | Registered representative | Aug 2006 (20y) | ||
| Christopher John Cobb | Registered representative | Aug 2006 (20y) | ||
| Glenn Craig Dodge | Registered representative | Aug 2006 (20y) | ||
| Yvette Jurado Garcia | Registered representative | Aug 2006 (20y) | ||
| William Peter George | Registered representative | Aug 2006 (20y) | ||
| Alexander M Scoledes | Registered representative | Aug 2006 (20y) | ||
| Daniel Horacio Giuffrida | Registered representative | Aug 2006 (20y) | ||
| Todd Lee Rust | Registered representative | Aug 2006 (20y) | ||
| Ernest Charles Santeralli | Registered representative | Sep 2006 (20y) | ||
| Kimberly Hinsdale Faucette | Registered representative | Sep 2006 (20y) | ||
| James P Mckeon | Registered representative | Sep 2006 (20y) | ||
| Kelly Howard Cutler | Registered representative | Sep 2006 (20y) | ||
| Rebecca Noblett Roberts | Registered representative | Sep 2006 (20y) | ||
| Mark Douglas Averell | Registered representative | Sep 2006 (20y) | ||
| Jeffrey Scott Sharpe | Registered representative | CFP | Sep 2006 (20y) | |
| Steven Erik Calmas | Registered representative | Sep 2006 (20y) | ||
| James Healy Pepe | Registered representative | Sep 2006 (20y) | ||
| Sanjayraj G Khanna | Registered representative | Sep 2006 (20y) | ||
| David Richard Conroy | Registered representative | Sep 2006 (20y) | ||
| Bradley Paul Wilson | Registered representative | CFP | Oct 2006 (20y) | |
| Grover Lee White | Registered representative | Oct 2006 (20y) | ||
| Christopher Robert Roman | Registered representative | CFP | Oct 2006 (20y) | |
| Ulrike B Aoki | Registered representative | Oct 2006 (20y) | ||
| Barrie Wayne Hewlett | Registered representative | Oct 2006 (20y) | ||
| Kevin Garrett Hildenbrand | Registered representative | Oct 2006 (20y) | ||
| Anthony Vincent Palumbo | Registered representative | Nov 2006 (20y) | ||
| Michael Earl Gorton | Registered representative | Nov 2006 (20y) | ||
| Jill Anne Trupp | Registered representative | Nov 2006 (20y) | ||
| Nathania Walsh | Registered representative | Nov 2006 (20y) | ||
| Roger Morgan Doty | Registered representative | Nov 2006 (20y) | ||
| Terry Earle Sandercock | Registered representative | Nov 2006 (20y) | ||
| Deon Therese Frieri | Registered representative | Nov 2006 (20y) | ||
| Mischelle Shiree Copeland | Registered representative | Nov 2006 (20y) | ||
| Pamela Sue Gothard | Registered representative | Nov 2006 (20y) | ||
| William J Fields | Registered representative | Nov 2006 (20y) | ||
| James Conrad Graham | Registered representative | Nov 2006 (20y) | ||
| Mitra Rafii | Registered representative | Dec 2006 (20y) | ||
| Frank Chou | Registered representative | Dec 2006 (20y) | ||
| Ashley Kelly Pharr | Registered representative | Dec 2006 (20y) | ||
| Daniel Joseph Sadowski | Registered representative | Dec 2006 (20y) | ||
| Jeffrey Rees Harris | Registered representative | Dec 2006 (20y) | ||
| Jeffrey Scott Michetti | Registered representative | Dec 2006 (20y) | ||
| Kinyon Murphy Vinson | Registered representative | Dec 2006 (20y) | ||
| Simon Benjamin Tarvin | Registered representative | Dec 2006 (20y) | ||
| Caroline Acosta | Registered representative | Jan 2007 (20y) | ||
| John Dyer Talbott | Registered representative | Jan 2007 (20y) | ||
| Edward Thomas Mckee | Registered representative | Jan 2007 (20y) | ||
| Gregory Lynn Hall | Registered representative | Jan 2007 (20y) | ||
| Steven Randall Peltz | Registered representative | CFP | Jan 2007 (20y) | |
| Thomas Michael Mcrae | Registered representative | Jan 2007 (20y) | ||
| John Andrew Nelson Henry | Registered representative | Jan 2007 (20y) | ||
| Antonio Rivera | Registered representative | Jan 2007 (20y) | ||
| Kurt John Poling | Registered representative | CFP Chartered Financial Consultant | Jan 2007 (20y) | |
| Azmi Yacoub Fakhoury | Registered representative | Jan 2007 (20y) | ||
| Charles Edward Mackenzie | Registered representative | Jan 2007 (20y) | ||
| Craig Allen Meier | Registered representative | Feb 2007 (20y) | ||
| David Allan Jager | Registered representative | Feb 2007 (20y) | ||
| Helen Wanjiru Irungu | Registered representative | Feb 2007 (20y) | ||
| Hoai Viet Bui | Registered representative | CFP | Feb 2007 (20y) | |
| Jonathan Daniel Magpayo | Registered representative | Feb 2007 (20y) | ||
| Mark Aaron Benton | Registered representative | Feb 2007 (20y) | ||
| Naushaba Rashid | Registered representative | CFP | Feb 2007 (20y) | |
| Robert Corey Dominik | Registered representative | Feb 2007 (20y) | ||
| Sharon Marlene Grimes | Registered representative | Feb 2007 (20y) | ||
| Sherry Lynn Roozrokh | Registered representative | Feb 2007 (20y) | ||
| Dylan Isaac Spinks | Registered representative | Feb 2007 (19y) | ||
| Benjamin James Murray | Registered representative | Feb 2007 (19y) | ||
| Brian Shobert | Registered representative | Feb 2007 (19y) | ||
| Gerald William Zelko | Registered representative | CFP | Feb 2007 (19y) | |
| Anjuna Manel Singh | Registered representative | Feb 2007 (19y) | ||
| Brian Douglas Pauley | Registered representative | Feb 2007 (19y) | ||
| Scott Robert Tansley | Registered representative | CFP | Feb 2007 (19y) | |
| Roberto Rodezno | Registered representative | Feb 2007 (19y) | ||
| Jeffrey Scott Hohl | Registered representative | Mar 2007 (19y) | ||
| Richard Harry Koobatian | Registered representative | Mar 2007 (19y) | ||
| Henry Donnell Bailey | Registered representative | Mar 2007 (19y) | ||
| Jonathan Takeo Tanaka | Registered representative | Mar 2007 (19y) | ||
| Bennett Haskin Hunter | Registered representative | Mar 2007 (19y) | ||
| Paul Arthur Porter | Registered representative | Mar 2007 (19y) | ||
| Scott Alexander Chamberlayne | Registered representative | Mar 2007 (19y) | ||
| Vivian R Schaufler | Registered representative | Mar 2007 (19y) | ||
| Michael Jay Manheim | Registered representative | Mar 2007 (19y) | ||
| Catherine Christine Cronauer | Registered representative | Mar 2007 (19y) | ||
| Mary Xuan Mai | Registered representative | Mar 2007 (19y) | ||
| Samuel A Maltbie | Registered representative | Mar 2007 (19y) | ||
| Michael Joseph Donahue | Registered representative | Mar 2007 (19y) | ||
| Mark Stephen Nussbaum | Registered representative | CFP | Mar 2007 (19y) | |
| Timothy Alexander Minafo | Registered representative | Apr 2007 (19y) | ||
| Eric Clark Anderson | Registered representative | Apr 2007 (19y) | ||
| John S Verano | Registered representative | Apr 2007 (19y) | ||
| James Pagnani | Registered representative | CFP | Apr 2007 (19y) | |
| Lim Leigh | Registered representative | Apr 2007 (19y) | ||
| Sasha Alex Azarmi | Registered representative | Apr 2007 (19y) | ||
| Poonam Rani Maheshwari | Registered representative | CFP | May 2007 (19y) | |
| Leigh Anne Hughes | Registered representative | CFP | May 2007 (19y) | |
| Richard George Petras | Registered representative | May 2007 (19y) | ||
| Jennifer Hope Ivey | Registered representative | May 2007 (19y) | ||
| Richard A Becker | Registered representative | May 2007 (19y) | ||
| Ann Fugate Wall | Registered representative | May 2007 (19y) | ||
| Jeffrey Stuart Jones | Registered representative | May 2007 (19y) | ||
| Nancy Amodt Eckert | Registered representative | May 2007 (19y) | ||
| Troy Robert Linaker | Registered representative | May 2007 (19y) | ||
| Andrew Charles Murden | Registered representative | May 2007 (19y) | ||
| Tondalay N George | Registered representative | May 2007 (19y) | ||
| Charles H. Hutchinson | Registered representative | Jun 2007 (19y) | ||
| James Phillip Zeutzius | Registered representative | Jun 2007 (19y) | ||
| James Edward Jones | Registered representative | Jun 2007 (19y) | ||
| James Lawrence Best | Registered representative | Jun 2007 (19y) | ||
| Tiffany A Adams | Registered representative | Jun 2007 (19y) | ||
| Jonathan Edward Foley | Registered representative | Jun 2007 (19y) | ||
| Jonathan Branch Davis | Registered representative | CFP | Jun 2007 (19y) | |
| Michael John Zehnder | Registered representative | Jun 2007 (19y) | ||
| Irene Guzman Europa | Registered representative | Jun 2007 (19y) | ||
| Christopher Alfred Affenita | Registered representative | Jun 2007 (19y) | ||
| Mark Joseph Denny | Registered representative | Jun 2007 (19y) | ||
| Mark Orton | Registered representative | Jun 2007 (19y) | ||
| John Capron Guggenheimer | Registered representative | Jun 2007 (19y) | ||
| Richard James Devlin | Registered representative | Jul 2007 (19y) | ||
| Jeffrey Ghienjoen Woei | Registered representative | Jul 2007 (19y) | ||
| Thomas James Gatto | Registered representative | Jul 2007 (19y) | ||
| Nyanya Joof | Registered representative | Jul 2007 (19y) | ||
| Jeffrey Alan Eiler | Registered representative | Jul 2007 (19y) | ||
| Joshua David Peterson | Registered representative | CFP | Jul 2007 (19y) | |
| Reid Louis Whitehurst | Registered representative | Jul 2007 (19y) | ||
| James Benjamin Hurt | Registered representative | Jul 2007 (19y) | ||
| Patricia A White | Registered representative | Jul 2007 (19y) | ||
| Christian Gregory Kubista | Registered representative | Jul 2007 (19y) | ||
| Kristi N Whitmire | Registered representative | Jul 2007 (19y) | ||
| Geoffrey Todd Lynch | Registered representative | Jul 2007 (19y) | ||
| Stacey Ilene Rothman | Registered representative | Jul 2007 (19y) | ||
| Lidia Zawada | Registered representative | Aug 2007 (19y) | ||
| David B. Palmer | Registered representative | Aug 2007 (19y) | ||
| Daniel George Foy | Registered representative | Aug 2007 (19y) | ||
| Joseph Ralph Stone | Registered representative | Aug 2007 (19y) | ||
| Nancy Kilpatrick Rose | Registered representative | Aug 2007 (19y) | ||
| Andrew Clayton Smith | Registered representative | Aug 2007 (19y) | ||
| Craig Brent Flowe | Registered representative | Aug 2007 (19y) | ||
| Lori Ann Tomasulo | Registered representative | Aug 2007 (19y) | ||
| Michelle Lynn Hoff | Registered representative | Aug 2007 (19y) | ||
| David Alan Croutch | Registered representative | Aug 2007 (19y) | ||
| Jeffrey Ellis Bruneau | Registered representative | Aug 2007 (19y) | ||
| Jeffrey Robert Welsh | Registered representative | Aug 2007 (19y) | ||
| Lucy Adams Levon | Registered representative | Aug 2007 (19y) | ||
| Mulford B Simons | Registered representative | CFP | Aug 2007 (19y) | |
| Andrew Matthew Polis | Registered representative | Aug 2007 (19y) | ||
| John Philip Hodson | Registered representative | Aug 2007 (19y) | ||
| Vicki Marie Epley | Registered representative | CFP | Aug 2007 (19y) | |
| Eric Leroy Burn | Registered representative | CFP | Sep 2007 (19y) | |
| Michael David Nunno | Registered representative | CFP | Sep 2007 (19y) | |
| Francis L Summers | Registered representative | Sep 2007 (19y) | ||
| William Louis Wolfe | Registered representative | CFP | Sep 2007 (19y) | |
| Gregory Alan Michael | Registered representative | CFP | Sep 2007 (19y) | |
| Samuel David Dalby | Registered representative | Sep 2007 (19y) | ||
| Robert Allen Bowen | Registered representative | Sep 2007 (19y) | ||
| David Robert Weber | Registered representative | Sep 2007 (19y) | ||
| Stephen David Sopko | Registered representative | Sep 2007 (19y) | ||
| Tina Nguyen Pena | Registered representative | Sep 2007 (19y) | ||
| Christie Nguyen | Registered representative | Oct 2007 (19y) | ||
| Mary Elizabeth Stone | Registered representative | Oct 2007 (19y) | ||
| Jacob Andrew Meisch | Registered representative | Oct 2007 (19y) | ||
| Colleen Galloway Galarza | Registered representative | Oct 2007 (19y) | ||
| Neil David Ruda | Registered representative | Oct 2007 (19y) | ||
| Edward Degan Lipski | Registered representative | CFP | Oct 2007 (19y) | |
| Wendy Marie Sydeski | Registered representative | Oct 2007 (19y) | ||
| Michael Lynn Uffelman | Registered representative | Oct 2007 (19y) | ||
| Leonard Perillo | Registered representative | Oct 2007 (19y) | ||
| Ralph David Diaz | Registered representative | Oct 2007 (19y) | ||
| Robert Dean Bresman | Registered representative | Oct 2007 (19y) | ||
| Onoufrios George Megaloudis | Registered representative | Oct 2007 (19y) | ||
| Christopher Michael Wilson | Registered representative | Oct 2007 (19y) | ||
| Eric Allen Tsutomu Ching | Registered representative | Oct 2007 (19y) | ||
| Jason Milton James | Registered representative | Oct 2007 (19y) | ||
| William Benjamin Jones | Registered representative | CFP | Oct 2007 (19y) | |
| Christine M Cullen | Registered representative | Oct 2007 (19y) | ||
| Nedrick S. Nakama | Registered representative | Oct 2007 (19y) | ||
| Karen L Richards | Registered representative | CFP | Nov 2007 (19y) | |
| Andre Keshaun Rivers | Registered representative | Nov 2007 (19y) | ||
| Ronald Jeffrey Rick | Registered representative | Nov 2007 (19y) | ||
| Jean Paul Morrieson Clark | Registered representative | Nov 2007 (19y) | ||
| Ricardo Gustavo Rivers | Registered representative | Nov 2007 (19y) | ||
| Robert Mark Young | Registered representative | Nov 2007 (19y) | ||
| Joseph Trenary Irvin | Registered representative | Nov 2007 (19y) | ||
| Jonathan Justin Sawich | Registered representative | CFP | Nov 2007 (19y) | |
| David Charles Blaisdell | Registered representative | Nov 2007 (19y) | ||
| Matthew Howard Galpert | Registered representative | CFP | Nov 2007 (19y) | |
| Sabrina Renee Anderson | Registered representative | Nov 2007 (19y) | ||
| Ritchy Guy Scoggin | Registered representative | Nov 2007 (19y) | ||
| Mark Belveduto | Registered representative | Nov 2007 (19y) | ||
| Shane Thomas Mclaughlin | Registered representative | Dec 2007 (19y) | ||
| Louis Mitchell Jones | Registered representative | Dec 2007 (19y) | ||
| Shannon Lee Ballenger | Registered representative | Dec 2007 (19y) | ||
| William Dungan | Registered representative | Dec 2007 (19y) | ||
| Lawrence Edward Marin | Registered representative | CFP | Dec 2007 (19y) | |
| Lindsay Versage Podell | Registered representative | Dec 2007 (19y) | ||
| Brian Wayne Cubler | Registered representative | CFP | Dec 2007 (19y) | |
| John Thomas Haddix | Registered representative | Dec 2007 (19y) | ||
| Peter James Ressler | Registered representative | Dec 2007 (19y) | ||
| Rekha Prem Rajani | Registered representative | Dec 2007 (19y) | ||
| Todd Matthew Haines | Registered representative | Dec 2007 (19y) | ||
| Linda Lee Friend | Registered representative | Dec 2007 (19y) | ||
| Richard Alan Palhegyi | Registered representative | Dec 2007 (19y) | ||
| Lacy Jeanine Kleive | Registered representative | Dec 2007 (19y) | ||
| Wende M Easter | Registered representative | Dec 2007 (19y) | ||
| Patrick Coyle O'rourke | Registered representative | Dec 2007 (19y) | ||
| Aaron Matthew Paulsen | Registered representative | Jan 2008 (19y) | ||
| Adam Lee Lewis | Registered representative | CFP | Jan 2008 (19y) | |
| Adam Marcus Shelley | Registered representative | Jan 2008 (19y) | ||
| Alicia Brooke Barry | Registered representative | Jan 2008 (19y) | ||
| Allan Elliot Zendel | Registered representative | CFP | Jan 2008 (19y) | |
| Allen Leung | Registered representative | Jan 2008 (19y) | ||
| Aman Aneja | Registered representative | Jan 2008 (19y) | ||
| Amy Dawn Cady | Registered representative | CFP | Jan 2008 (19y) | |
| Andre James Lambros | Registered representative | CFP | Jan 2008 (19y) | |
| Andre Mirkine | Registered representative | CFP | Jan 2008 (19y) | |
| Andrew Alan Lee | Registered representative | CFP | Jan 2008 (19y) | |
| Andrew Bennett Bonjean | Registered representative | Jan 2008 (19y) | ||
| Andrew T. Lowther | Registered representative | CFP | Jan 2008 (19y) | |
| Anil Kumar Rathi | Registered representative | Jan 2008 (19y) | ||
| Ann P. S. Stickford | Registered representative | CFP | Jan 2008 (19y) | |
| Anthony Aldo Perruso | Registered representative | Jan 2008 (19y) | ||
| Anthony James Gardner | Registered representative | Jan 2008 (19y) | ||
| Anthony Michael Guzzardo | Registered representative | Jan 2008 (19y) | ||
| Anthony Stuart Heinz | Registered representative | Jan 2008 (19y) | ||
| Ari Justin Feldman | Registered representative | Jan 2008 (19y) | ||
| Arthur Kent Shearer | Registered representative | Jan 2008 (19y) | ||
| Barbara Ann Huffman | Registered representative | CFP | Jan 2008 (19y) | |
| Barbara Moran Johnson | Registered representative | CFP | Jan 2008 (19y) | |
| Bart Aaron Martinez | Registered representative | CFP | Jan 2008 (19y) | |
| Bart Alan Timmerman | Registered representative | Jan 2008 (19y) | ||
| Barton L Bussell | Registered representative | Jan 2008 (19y) | ||
| Benjamin Milton Parker | Registered representative | Jan 2008 (19y) | ||
| Bill Steven Franks | Registered representative | Jan 2008 (19y) | ||
| Billy Dale Stigall | Registered representative | CFP | Jan 2008 (19y) | |
| Blaine Neal Spurney | Registered representative | Jan 2008 (19y) | ||
| Breana Michelle King | Registered representative | CFP | Jan 2008 (19y) | |
| Brenda Louise Abele | Registered representative | Jan 2008 (19y) | ||
| Brent Charles Reimers | Registered representative | Jan 2008 (19y) | ||
| Brent William Maurer | Registered representative | Jan 2008 (19y) | ||
| Brian Anthony Bishop | Registered representative | Jan 2008 (19y) | ||
| Brian Lance Carpenter | Registered representative | CFP | Jan 2008 (19y) | |
| Brian Patrick Hennessy | Registered representative | Jan 2008 (19y) | ||
| Brian Robert Allen | Registered representative | Jan 2008 (19y) | ||
| Brian William Kashlak | Registered representative | Jan 2008 (19y) | ||
| Brianna Dee Batien Zobel | Registered representative | Jan 2008 (19y) | ||
| Brooks Edwin Cory | Registered representative | CFP | Jan 2008 (19y) | |
| Bruce Edward Thompson | Registered representative | Jan 2008 (19y) | ||
| Bruce H Vaughn | Registered representative | CFP | Jan 2008 (19y) | |
| Calvin L Heim | Registered representative | Jan 2008 (19y) | ||
| Calvin Lee Hemling | Registered representative | Jan 2008 (19y) | ||
| Calvin Pearson Lewis | Registered representative | Jan 2008 (19y) | ||
| Candy Lynn Soden | Registered representative | Jan 2008 (19y) | ||
| Carlton Andrew Butler | Registered representative | Jan 2008 (19y) | ||
| Carol Vivian Constable | Registered representative | Jan 2008 (19y) | ||
| Catherine Mary Landrith | Registered representative | Jan 2008 (19y) | ||
| Cathy Ann Beffa | Registered representative | Jan 2008 (19y) | ||
| Cecily Febiola Dcruz | Registered representative | Jan 2008 (19y) | ||
| Celeste Beatrice Barham | Registered representative | Jan 2008 (19y) | ||
| Chad Eric Mickelson | Registered representative | CFP | Jan 2008 (19y) | |
| Chad Errol Garr | Registered representative | Jan 2008 (19y) | ||
| Charlene Fiedler | Registered representative | Jan 2008 (19y) | ||
| Charles A Edenbach | Registered representative | Jan 2008 (19y) | ||
| Charles Gregory Guerra | Registered representative | Jan 2008 (19y) | ||
| Charles John Mcafee | Registered representative | Jan 2008 (19y) | ||
| Charles Joseph Quatrocchi | Registered representative | Jan 2008 (19y) | ||
| Chelsea Bodnar Daniel | Registered representative | Jan 2008 (19y) | ||
| Cheryl Beth Christensen | Registered representative | CFP | Jan 2008 (19y) | |
| Christian Choice Matthews | Registered representative | Jan 2008 (19y) | ||
| Christina Butera Minter | Registered representative | Jan 2008 (19y) | ||
| Christina Lynn Savage | Registered representative | Jan 2008 (19y) | ||
| Christine S Baier | Registered representative | Jan 2008 (19y) | ||
| Christopher Connolly | Registered representative | CFP | Jan 2008 (19y) | |
| Christopher H Poate | Registered representative | Jan 2008 (19y) | ||
| Christopher Michael Cole | Registered representative | Jan 2008 (19y) | ||
| Christopher R Freymuller | Registered representative | Jan 2008 (19y) | ||
| Christopher Wilson Black | Registered representative | Jan 2008 (19y) | ||
| Clifton Crosthwait Bennett | Registered representative | Jan 2008 (19y) | ||
| Clint A Markin | Registered representative | CFP | Jan 2008 (19y) | |
| Cooper Buesking Milledge | Registered representative | Jan 2008 (19y) | ||
| Cort Aaron Giffin | Registered representative | Jan 2008 (19y) | ||
| Craig Joseph Moen | Registered representative | Jan 2008 (19y) | ||
| Dale Edward Rochford | Registered representative | Jan 2008 (19y) | ||
| Dan Alan Govier | Registered representative | Jan 2008 (19y) | ||
| Dana Leigh Zimbro | Registered representative | Jan 2008 (19y) | ||
| Daniel Curtis Young | Registered representative | Jan 2008 (19y) | ||
| Daniel Joseph Whitney Jr | Registered representative | Jan 2008 (19y) | ||
| Daniel Keith Waters | Registered representative | Jan 2008 (19y) | ||
| Daniel Owen Clarke | Registered representative | CFP | Jan 2008 (19y) | |
| Darrell Matthew Warner | Registered representative | CFP | Jan 2008 (19y) | |
| Darryl Stanley Witkowski | Registered representative | Jan 2008 (19y) | ||
| Dave L Jones | Registered representative | Jan 2008 (19y) | ||
| David Allan Feller | Registered representative | CFP | Jan 2008 (19y) | |
| David Austin Lemon | Registered representative | CFP | Jan 2008 (19y) | |
| David Caldwell Gardner | Registered representative | Jan 2008 (19y) | ||
| David Forrest Gore | Registered representative | Jan 2008 (19y) | ||
| David John Higgins | Registered representative | Jan 2008 (19y) | ||
| David John Meyer | Registered representative | CFP | Jan 2008 (19y) | |
| David Lane Oberg | Registered representative | CFP | Jan 2008 (19y) | |
| David Paul Walsh | Registered representative | CFP | Jan 2008 (19y) | |
| David Randolph Moore | Registered representative | Jan 2008 (19y) | ||
| David Robert Golson | Registered representative | Jan 2008 (19y) | ||
| Deanna Marie Quintanilla | Registered representative | Jan 2008 (19y) | ||
| Debra Ann Rogers | Registered representative | Jan 2008 (19y) | ||
| Debra Marie Styner | Registered representative | Jan 2008 (19y) | ||
| Debra Sue Lahlou | Registered representative | Jan 2008 (19y) | ||
| Dennis Kristopher Kittrell | Registered representative | Jan 2008 (19y) | ||
| Diane Marie Houghton | Registered representative | Jan 2008 (19y) | ||
| Donald Ness Lincoln | Registered representative | CFP | Jan 2008 (19y) | |
| Donald Wayne Robbins | Registered representative | CFP | Jan 2008 (19y) | |
| Donna Mcdermott Boender | Registered representative | CFP | Jan 2008 (19y) | |
| Dorothy A Hunt | Registered representative | Jan 2008 (19y) | ||
| Douglas Norton Johnson | Registered representative | Jan 2008 (19y) | ||
| Duane Keith Edwards | Registered representative | CFP | Jan 2008 (19y) | |
| Dustin Joseph Addison | Registered representative | CFP | Jan 2008 (19y) | |
| Dustin Wayne Sandlin | Registered representative | CFP | Jan 2008 (19y) | |
| Edward Clark Worrell | Registered representative | CFP | Jan 2008 (19y) | |
| Edward David Wylam | Registered representative | Jan 2008 (19y) | ||
| Edward Taylor Jefferys | Registered representative | Jan 2008 (19y) | ||
| Edwin Jackson Waren | Registered representative | Jan 2008 (19y) | ||
| Elizabeth Ann Thorpe | Registered representative | Jan 2008 (19y) | ||
| Ellen Barbara Neumark | Registered representative | CFP | Jan 2008 (19y) | |
| Ellen Belger Bialek | Registered representative | Jan 2008 (19y) | ||
| Emmet Campbell Yeazell | Registered representative | Jan 2008 (19y) | ||
| Eric Andrew Hopler | Registered representative | Jan 2008 (19y) | ||
| Eric Bradley Gould | Registered representative | Jan 2008 (19y) | ||
| Eric Thomas Magnuson | Registered representative | Jan 2008 (19y) | ||
| Erik Michael Tower | Registered representative | Jan 2008 (19y) | ||
| Fane Werden Opperman | Registered representative | CFP | Jan 2008 (19y) | |
| Frank Anthony Alteri | Registered representative | Jan 2008 (19y) | ||
| Frank Curtis Parker | Registered representative | CFP | Jan 2008 (19y) | |
| Frank Geremia | Registered representative | CFP | Jan 2008 (19y) | |
| Frank L Ramey | Registered representative | Jan 2008 (19y) | ||
| Frank Moore Netherton | Registered representative | Jan 2008 (19y) | ||
| Frank Picarelli | Registered representative | Jan 2008 (19y) | ||
| Frank Seward Anderson | Registered representative | Jan 2008 (19y) | ||
| Frederick Curtice Freihofer | Registered representative | Jan 2008 (19y) | ||
| Frederick Swanson Eller | Registered representative | Jan 2008 (19y) | ||
| Gail Granger Warren | Registered representative | Jan 2008 (19y) | ||
| Gail Wattman Utter | Registered representative | Jan 2008 (19y) | ||
| George George | Registered representative | Jan 2008 (19y) | ||
| George Michael Brammer | Registered representative | Jan 2008 (19y) | ||
| George S Bryan | Registered representative | Jan 2008 (19y) | ||
| Gerard N Luciano | Registered representative | Jan 2008 (19y) | ||
| Grace Adams Cook | Registered representative | Jan 2008 (19y) | ||
| Grant Steven Elpers | Registered representative | CFP | Jan 2008 (19y) | |
| Gregory Beale Milburn | Registered representative | Jan 2008 (19y) | ||
| Gregory James Flynn | Registered representative | Jan 2008 (19y) | ||
| Gregory John Harrison | Registered representative | Jan 2008 (19y) | ||
| Gregory Kevin Thies | Registered representative | Jan 2008 (19y) | ||
| Gregory Logan Wiggins | Registered representative | Jan 2008 (19y) | ||
| Gregory P Brez | Registered representative | CFP | Jan 2008 (19y) | |
| Gregory Paul Otto | Registered representative | Jan 2008 (19y) | ||
| Gregory Thomas Roden | Registered representative | Jan 2008 (19y) | ||
| Hansena Ann Hansen | Registered representative | Jan 2008 (19y) | ||
| Harry Grimshaw Moore | Registered representative | Jan 2008 (19y) | ||
| Harry L Woosley | Registered representative | CFP | Jan 2008 (19y) | |
| Harvey Edward Gates | Registered representative | CFP | Jan 2008 (19y) | |
| Haynes Harrison Huffard | Registered representative | CFP | Jan 2008 (19y) | |
| Henry Carson Norman | Registered representative | Jan 2008 (19y) | ||
| Holley Jane Kenyon | Registered representative | CFP | Jan 2008 (19y) | |
| Hollis Lenoir Jefferies | Registered representative | Jan 2008 (19y) | ||
| Howard Hao Tong | Registered representative | CFP | Jan 2008 (19y) | |
| Inger Lee Oleson | Registered representative | Jan 2008 (19y) | ||
| Ingrid Jennifer Lampe | Registered representative | Jan 2008 (19y) | ||
| Ingrid Kari Nystrom | Registered representative | Jan 2008 (19y) | ||
| Jacqueline Galotta | Registered representative | Jan 2008 (19y) | ||
| Jaime Morgan | Registered representative | Jan 2008 (19y) | ||
| James Barnett Platzer | Registered representative | Jan 2008 (19y) | ||
| James Boone Neligan | Registered representative | Jan 2008 (19y) | ||
| James Bruce Mayorkas | Registered representative | Jan 2008 (19y) | ||
| James Edward Adams | Registered representative | CFP | Jan 2008 (19y) | |
| James Edward Wilson | Registered representative | Jan 2008 (19y) | ||
| James Elbert Hunt | Registered representative | Jan 2008 (19y) | ||
| James Francis English | Registered representative | Jan 2008 (19y) | ||
| James Gerard Malsom | Registered representative | Jan 2008 (19y) | ||
| James Lee Rathje | Registered representative | Jan 2008 (19y) | ||
| James Michael Elsman | Registered representative | Jan 2008 (19y) | ||
| James Michael Mcnamara | Registered representative | Jan 2008 (19y) | ||
| James Robertryan Wheat | Registered representative | Jan 2008 (19y) | ||
| James Roger Turner | Registered representative | Jan 2008 (19y) | ||
| Jamie Blair Petrick | Registered representative | Jan 2008 (19y) | ||
| Jason E. Saikaley | Registered representative | Jan 2008 (19y) | ||
| Jason Floyd Atkinson | Registered representative | Jan 2008 (19y) | ||
| Jason James Hugele | Registered representative | Jan 2008 (19y) | ||
| Jason Jeffrey Werner | Registered representative | CFP | Jan 2008 (19y) | |
| Jason Russell Blankenship | Registered representative | CFP | Jan 2008 (19y) | |
| Jeff David Cafiero | Registered representative | Chartered Financial Consultant | Jan 2008 (19y) | |
| Jeff James Warren | Registered representative | CFP | Jan 2008 (19y) | |
| Jeffrey Allen Gustafik | Registered representative | Jan 2008 (19y) | ||
| Jeffrey Caleb Etter | Registered representative | Jan 2008 (19y) | ||
| Jeffrey Charles Gordon | Registered representative | Jan 2008 (19y) | ||
| Jeffrey John Werner | Registered representative | Jan 2008 (19y) | ||
| Jeffrey Laurance Quintero | Registered representative | Jan 2008 (19y) | ||
| Jeffrey Paul Smith | Registered representative | Jan 2008 (19y) | ||
| Jeffrey Vail Dikeman | Registered representative | Jan 2008 (19y) | ||
| Jennifer A Leblanc | Registered representative | Jan 2008 (19y) | ||
| Jennifer Hardee Vanasse | Registered representative | CFP | Jan 2008 (19y) | |
| Jennifer Lynne Thornton Mccullough | Registered representative | Jan 2008 (19y) | ||
| Jeremy Clay Henderson | Registered representative | Jan 2008 (19y) | ||
| Jerrod Leon Giffin | Registered representative | Jan 2008 (19y) | ||
| Jesus Leopoldo Gutierrez | Registered representative | Jan 2008 (19y) | ||
| Jill Marie Kelly | Registered representative | CFP | Jan 2008 (19y) | |
| Joan Marie Coleman | Registered representative | Jan 2008 (19y) | ||
| Joanne M Baker | Registered representative | Jan 2008 (19y) | ||
| Joe Mornhinweg Estes | Registered representative | CFP | Jan 2008 (19y) | |
| Joel William Queck | Registered representative | Jan 2008 (19y) | ||
| John Allen Williams | Registered representative | CFP | Jan 2008 (19y) | |
| John C Hanson | Registered representative | CFP | Jan 2008 (19y) | |
| John Charles Hugele | Registered representative | Jan 2008 (19y) | ||
| John Charles Levy | Registered representative | Jan 2008 (19y) | ||
| John Craig Connolly | Registered representative | Jan 2008 (19y) | ||
| John David Holshouser | Registered representative | Jan 2008 (19y) | ||
| John Derrick Stalvey | Registered representative | Jan 2008 (19y) | ||
| John E Abrams | Registered representative | Chartered Financial Consultant | Jan 2008 (19y) | |
| John Hosmer Howell | Registered representative | Jan 2008 (19y) | ||
| John Joseph Schulte | Registered representative | Jan 2008 (19y) | ||
| John Kennon Martin | Registered representative | CFP | Jan 2008 (19y) | |
| John Kimble Coggins | Registered representative | Jan 2008 (19y) | ||
| John L Jacob | Registered representative | CFP | Jan 2008 (19y) | |
| John Patrick Buechel | Registered representative | Chartered Financial Consultant | Jan 2008 (19y) | |
| John Patrick Mullaney | Registered representative | Jan 2008 (19y) | ||
| John Philip Rohan | Registered representative | CFP | Jan 2008 (19y) | |
| John Rankin Wigington | Registered representative | Jan 2008 (19y) | ||
| John Sterling Marble | Registered representative | Jan 2008 (19y) | ||
| Johnathan Britton Weber | Registered representative | Jan 2008 (19y) | ||
| Jonathan Jay Noel | Registered representative | Jan 2008 (19y) | ||
| Jonathan Matthew Dewoody | Registered representative | CFP | Jan 2008 (19y) | |
| Jonathan William Papp | Registered representative | CFP | Jan 2008 (19y) | |
| Joseph A Mccurley | Registered representative | CFP | Jan 2008 (19y) | |
| Joseph Carl Wood | Registered representative | Jan 2008 (19y) | ||
| Joseph F Flowers | Registered representative | CFP | Jan 2008 (19y) | |
| Joseph Jay Bancheri | Registered representative | Jan 2008 (19y) | ||
| Joseph R Bordoni | Registered representative | Jan 2008 (19y) | ||
| Joseph Robert Jesionowski | Registered representative | Jan 2008 (19y) | ||
| Joseph Robert Tobin | Registered representative | CFP | Jan 2008 (19y) | |
| Joseph Warren Harlan | Registered representative | Jan 2008 (19y) | ||
| Joseph William Delamater | Registered representative | Jan 2008 (19y) | ||
| Joshua Caleb Fortun | Registered representative | Jan 2008 (19y) | ||
| Joshua James Greenfield | Registered representative | CFP | Jan 2008 (19y) | |
| Juergen Hartmut Dietrich | Registered representative | Jan 2008 (19y) | ||
| Justine Girard | Registered representative | Jan 2008 (19y) | ||
| Karen Elizabeth Mcleland | Registered representative | Jan 2008 (19y) | ||
| Karen M Springer | Registered representative | Jan 2008 (19y) | ||
| Kari B Boxleitner | Registered representative | CFP | Jan 2008 (19y) | |
| Katherine Hall Norton | Registered representative | Jan 2008 (19y) | ||
| Kathleen Sue Racette | Registered representative | Jan 2008 (19y) | ||
| Kathleen Theresa Webb | Registered representative | Jan 2008 (19y) | ||
| Kathryn Lynn Anderson | Registered representative | Jan 2008 (19y) | ||
| Kathryn Marie Pancoast | Registered representative | Jan 2008 (19y) | ||
| Kathy Ann Turner | Registered representative | Jan 2008 (19y) | ||
| Kelly Carson Bonner | Registered representative | CFP | Jan 2008 (19y) | |
| Kenneth James Recchia | Registered representative | Jan 2008 (19y) | ||
| Kenneth Valentine Smith | Registered representative | Jan 2008 (19y) | ||
| Kent Alan Giffin | Registered representative | Jan 2008 (19y) | ||
| Kevin Gerard Dedenbach | Registered representative | Jan 2008 (19y) | ||
| Kevin Lamont Anderson | Registered representative | Jan 2008 (19y) | ||
| Kevin Michael Peel | Registered representative | Jan 2008 (19y) | ||
| Kevin Sloane Gerry | Registered representative | Jan 2008 (19y) | ||
| Kimberly Anderson Flynn | Registered representative | Jan 2008 (19y) | ||
| Kimberly Ann Glowacki | Registered representative | Jan 2008 (19y) | ||
| Kory Clifford Altheide | Registered representative | CFP | Jan 2008 (19y) | |
| Laird Forrest Johnson | Registered representative | CFP | Jan 2008 (19y) | |
| Lara Teresa Chulack | Registered representative | Jan 2008 (19y) | ||
| Laraine Churchel Schultz | Registered representative | Jan 2008 (19y) | ||
| Larry Eugene East | Registered representative | CFP | Jan 2008 (19y) | |
| Larry J Gamboa | Registered representative | Jan 2008 (19y) | ||
| Lawrence Henry Smith | Registered representative | Jan 2008 (19y) | ||
| Lawrence Joseph Delano | Registered representative | CFP | Jan 2008 (19y) | |
| Lee Andrew Fields | Registered representative | Jan 2008 (19y) | ||
| Leo Jerome Mclaughlin | Registered representative | CFP Chartered Financial Consultant | Jan 2008 (19y) | |
| Leslie Gordley | Registered representative | Jan 2008 (19y) | ||
| Leslie Scott Durham | Registered representative | Jan 2008 (19y) | ||
| Lester Wayne Saathoff | Registered representative | Jan 2008 (19y) | ||
| Loren Dennis Evans | Registered representative | Jan 2008 (19y) | ||
| Lori Ann Gartner | Registered representative | Jan 2008 (19y) | ||
| Lori Ray Kite | Registered representative | Jan 2008 (19y) | ||
| Lucius Holland Breeden | Registered representative | Jan 2008 (19y) | ||
| Lynn Dickson Macabee | Registered representative | Jan 2008 (19y) | ||
| Lynne Maureen Rowan | Registered representative | Jan 2008 (19y) | ||
| Lynnell M Reese | Registered representative | Jan 2008 (19y) | ||
| Marc Kevin Elim | Registered representative | Jan 2008 (19y) | ||
| Marianne Gannon Depetris | Registered representative | Jan 2008 (19y) | ||
| Mario Antonio Picarelli | Registered representative | Jan 2008 (19y) | ||
| Mark Alfred Owens | Registered representative | Jan 2008 (19y) | ||
| Mark Anthony Rowe | Registered representative | CFP | Jan 2008 (19y) | |
| Mark Arthur Dahlke | Registered representative | CFP | Jan 2008 (19y) | |
| Mark Bryant Thompson | Registered representative | Jan 2008 (19y) | ||
| Mark Christopher Connolly | Registered representative | Jan 2008 (19y) | ||
| Mark Edmund Stotko | Registered representative | Jan 2008 (19y) | ||
| Mark Franklin Roberts | Registered representative | CFP | Jan 2008 (19y) | |
| Mark Gerard Heinen | Registered representative | Jan 2008 (19y) | ||
| Mark Phillip Podber | Registered representative | Jan 2008 (19y) | ||
| Marshall Franklin Kiser | Registered representative | Jan 2008 (19y) | ||
| Marvene Marie Devoy | Registered representative | Jan 2008 (19y) | ||
| Mary Alice Blanton | Registered representative | Jan 2008 (19y) | ||
| Mary Tam Macdonald | Registered representative | Jan 2008 (19y) | ||
| Matthew Hotary | Registered representative | Jan 2008 (19y) | ||
| Matthew James Hand | Registered representative | Jan 2008 (19y) | ||
| Matthew Vincent Siemers | Registered representative | Jan 2008 (19y) | ||
| Michael Alleyn Harris | Registered representative | CFP | Jan 2008 (19y) | |
| Michael Anthony Mele | Registered representative | Jan 2008 (19y) | ||
| Michael David Cooke | Registered representative | Jan 2008 (19y) | ||
| Michael David Stuhr | Registered representative | Jan 2008 (19y) | ||
| Michael Don Portman | Registered representative | Jan 2008 (19y) | ||
| Michael Francis Mcgrath | Registered representative | CFP | Jan 2008 (19y) | |
| Michael James Hogan | Registered representative | Jan 2008 (19y) | ||
| Michael James Pope | Registered representative | CFP | Jan 2008 (19y) | |
| Michael James Vukson | Registered representative | CFP | Jan 2008 (19y) | |
| Michael Jay Burns | Registered representative | CFP | Jan 2008 (19y) | |
| Michael Jerome Levine | Registered representative | CFP | Jan 2008 (19y) | |
| Michael John Tylavsky | Registered representative | Jan 2008 (19y) | ||
| Michael Kurilecz | Registered representative | CFP | Jan 2008 (19y) | |
| Michael Philip Hamilton | Registered representative | Jan 2008 (19y) | ||
| Michael Theodore Taylor | Registered representative | Jan 2008 (19y) | ||
| Michele Ann Cicciari | Registered representative | CFP | Jan 2008 (19y) | |
| Michelle Beth Kolling | Registered representative | Jan 2008 (19y) | ||
| Mimi Lee Patterson | Registered representative | Jan 2008 (19y) | ||
| Mitchell Lin Lockhart | Registered representative | Jan 2008 (19y) | ||
| Monica Cathleen Banducci | Registered representative | Jan 2008 (19y) | ||
| Monte Lee Kuhnert | Registered representative | Jan 2008 (19y) | ||
| Morgan Griffith Keyes | Registered representative | CFP | Jan 2008 (19y) | |
| Muneera Mohamad Dawood | Registered representative | Jan 2008 (19y) | ||
| Nadine Nancy Gordon | Registered representative | Jan 2008 (19y) | ||
| Nancy S Green | Registered representative | CFP | Jan 2008 (19y) | |
| Nathan Feliciano Alvarado | Registered representative | Jan 2008 (19y) | ||
| Nicholas Alan Koehler | Registered representative | Jan 2008 (19y) | ||
| Nicholas Salvatore Iocco | Registered representative | Jan 2008 (19y) | ||
| Nicole Walters | Registered representative | Jan 2008 (19y) | ||
| Nita Grisham | Registered representative | CFP | Jan 2008 (19y) | |
| Nolan Scott Caldwell | Registered representative | Jan 2008 (19y) | ||
| Ollie Baldwin Harris | Registered representative | Jan 2008 (19y) | ||
| Patrick Royal Clark | Registered representative | Jan 2008 (19y) | ||
| Paul Allen Wawrzaszek | Registered representative | Jan 2008 (19y) | ||
| Paul Burdette Reider | Registered representative | CFP | Jan 2008 (19y) | |
| Paul Comer Listerman | Registered representative | Jan 2008 (19y) | ||
| Paul David Stiegelmeier | Registered representative | Jan 2008 (19y) | ||
| Paul Edward Frederick | Registered representative | Jan 2008 (19y) | ||
| Paul Kevin O'brien | Registered representative | CFP | Jan 2008 (19y) | |
| Paul Leo Dietrich | Registered representative | Jan 2008 (19y) | ||
| Paul Michael Dehmer | Registered representative | Jan 2008 (19y) | ||
| Paul Thomas Kacmarik | Registered representative | Jan 2008 (19y) | ||
| Perry Paul Learned | Registered representative | Jan 2008 (19y) | ||
| Peter Benjamin Wint | Registered representative | Jan 2008 (19y) | ||
| Peter Lars Glaser | Registered representative | CFP | Jan 2008 (19y) | |
| Peter Michael Steiwer | Registered representative | Jan 2008 (19y) | ||
| Philip Douglas Gundy | Registered representative | Jan 2008 (19y) | ||
| Philip Nelson Hegg | Registered representative | Jan 2008 (19y) | ||
| Phillip Edward Woronick | Registered representative | Jan 2008 (19y) | ||
| Preston Thomas Gann | Registered representative | CFP | Jan 2008 (19y) | |
| Quentin John Heffron | Registered representative | Jan 2008 (19y) | ||
| Randy Edward Sage | Registered representative | Jan 2008 (19y) | ||
| Randy Scott Levy | Registered representative | Jan 2008 (19y) | ||
| Rani Hathaway Pettis | Registered representative | CFP | Jan 2008 (19y) | |
| Raymond Anthony Defrank | Registered representative | Jan 2008 (19y) | ||
| Raymond F Iozzo | Registered representative | Jan 2008 (19y) | ||
| Rhadi Latif | Registered representative | Jan 2008 (19y) | ||
| Richard Benton Buie | Registered representative | Jan 2008 (19y) | ||
| Richard Bonavito | Registered representative | Jan 2008 (19y) | ||
| Richard Braden Pringle | Registered representative | Jan 2008 (19y) | ||
| Richard Bruce Graue | Registered representative | Jan 2008 (19y) | ||
| Richard Cameron Hutchins | Registered representative | CFP | Jan 2008 (19y) | |
| Richard Daniels Russell | Registered representative | CFP | Jan 2008 (19y) | |
| Richard Joseph Vaughn | Registered representative | Jan 2008 (19y) | ||
| Richard Scott Saunders | Registered representative | Jan 2008 (19y) | ||
| Richard Stephen Ricci | Registered representative | Jan 2008 (19y) | ||
| Richard W Kluge | Registered representative | Jan 2008 (19y) | ||
| Rick Eugene Bosche | Registered representative | Jan 2008 (19y) | ||
| Robert Allen Morgan | Registered representative | CFP | Jan 2008 (19y) | |
| Robert Anthony Coffin | Registered representative | CFP | Jan 2008 (19y) | |
| Robert Anthony Patronete | Registered representative | CFP | Jan 2008 (19y) | |
| Robert Arthur Farris | Registered representative | CFP | Jan 2008 (19y) | |
| Robert David Guthrie | Registered representative | Jan 2008 (19y) | ||
| Robert Fox Farrell | Registered representative | Jan 2008 (19y) | ||
| Robert Frank Cafaro | Registered representative | CFP | Jan 2008 (19y) | |
| Robert Gary Huskins | Registered representative | Jan 2008 (19y) | ||
| Robert Gregory Allcorn | Registered representative | CFP | Jan 2008 (19y) | |
| Robert J Burton | Registered representative | CFP | Jan 2008 (19y) | |
| Robert Joseph Dexel | Registered representative | Jan 2008 (19y) | ||
| Robert Joseph Finder | Registered representative | Jan 2008 (19y) | ||
| Robert Keith Boltax | Registered representative | Jan 2008 (19y) | ||
| Robert Larsen Jones | Registered representative | CFP | Jan 2008 (19y) | |
| Robert Michael Wilder | Registered representative | Jan 2008 (19y) | ||
| Robert N Stull | Registered representative | Jan 2008 (19y) | ||
| Robert Pasquale Tomasulo | Registered representative | Jan 2008 (19y) | ||
| Robert Paul Liphardt | Registered representative | Jan 2008 (19y) | ||
| Robert Scott Hastings | Registered representative | Jan 2008 (19y) | ||
| Robert Thomas Stegemeier | Registered representative | Jan 2008 (19y) | ||
| Robert Ward Byles | Registered representative | Jan 2008 (19y) | ||
| Robin Marie Gray | Registered representative | Jan 2008 (19y) | ||
| Rodolfo Yanier Duran Chavez | Registered representative | Jan 2008 (19y) | ||
| Roger Harold Aiken | Registered representative | CFP | Jan 2008 (19y) | |
| Roger Scott Odom | Registered representative | Jan 2008 (19y) | ||
| Ronald Dean Goodson | Registered representative | Jan 2008 (19y) | ||
| Ronald Eugene Cross | Registered representative | Jan 2008 (19y) | ||
| Ronda A Baty | Registered representative | Jan 2008 (19y) | ||
| Ronny Mac White | Registered representative | Jan 2008 (19y) | ||
| Rosemary H. Haly | Registered representative | Jan 2008 (19y) | ||
| Roslyn Carter | Registered representative | Jan 2008 (19y) | ||
| Ryan James Johnson | Registered representative | CFP | Jan 2008 (19y) | |
| Sally Thomas Burnett | Registered representative | Jan 2008 (19y) | ||
| Sammie D Conger | Registered representative | CFP | Jan 2008 (19y) | |
| Samuel Henry Myhre | Registered representative | CFP | Jan 2008 (19y) | |
| Samuel Joseph Jew | Registered representative | Jan 2008 (19y) | ||
| Samye Ann O'neill | Registered representative | Jan 2008 (19y) | ||
| Sandra Denise Junge | Registered representative | Jan 2008 (19y) | ||
| Satish Chand Markanda | Registered representative | Jan 2008 (19y) | ||
| Scott Andrew Royley | Registered representative | Jan 2008 (19y) | ||
| Scott David Martin | Registered representative | CFP | Jan 2008 (19y) | |
| Scott David Smith | Registered representative | Jan 2008 (19y) | ||
| Scott Edward Price | Registered representative | Jan 2008 (19y) | ||
| Scott Elliott Howell | Registered representative | CFP | Jan 2008 (19y) | |
| Scott Mitchell Nelson | Registered representative | Jan 2008 (19y) | ||
| Shane Tyler Peak | Registered representative | Jan 2008 (19y) | ||
| Shannon E Carlock | Registered representative | Jan 2008 (19y) | ||
| Sharry Hawkins | Registered representative | Jan 2008 (19y) | ||
| Shelley Smyth Turner | Registered representative | Jan 2008 (19y) | ||
| Sherman Howard Norton | Registered representative | Jan 2008 (19y) | ||
| Sherry R Hitch Thomas | Registered representative | Jan 2008 (19y) | ||
| Sonja Gunda Rogers | Registered representative | Chartered Financial Consultant | Jan 2008 (19y) | |
| Stacey Marie Wildberger | Registered representative | Jan 2008 (19y) | ||
| Stanley William Smith | Registered representative | Jan 2008 (19y) | ||
| Stephen Grier Avis | Registered representative | Jan 2008 (19y) | ||
| Stephen Paul Davidson | Registered representative | Jan 2008 (19y) | ||
| Steve Kim | Registered representative | Jan 2008 (19y) | ||
| Steven Anthony Di Palma | Registered representative | Jan 2008 (19y) | ||
| Steven James Dilling | Registered representative | Jan 2008 (19y) | ||
| Steven Kenneth Swanson | Registered representative | Jan 2008 (19y) | ||
| Steven Lawrence Martinez | Registered representative | Jan 2008 (19y) | ||
| Steven Lawrence Nadell | Registered representative | Jan 2008 (19y) | ||
| Steven Michael Conn | Registered representative | Jan 2008 (19y) | ||
| Steven Timothy Currie | Registered representative | Jan 2008 (19y) | ||
| Steven Todd Zeller | Registered representative | Jan 2008 (19y) | ||
| Susan Barrett Orr | Registered representative | Jan 2008 (19y) | ||
| Susan Kramer Atkinson | Registered representative | Jan 2008 (19y) | ||
| Susan Luise Robak | Registered representative | CFP | Jan 2008 (19y) | |
| Susan S Williams | Registered representative | Jan 2008 (19y) | ||
| Suzel Annette Mendieta | Registered representative | Jan 2008 (19y) | ||
| Ted Edward Smola | Registered representative | Jan 2008 (19y) | ||
| Teresa Ann Dyer | Registered representative | Jan 2008 (19y) | ||
| Teresa Lynne Mckinney | Registered representative | Jan 2008 (19y) | ||
| Teresa Mae Herman | Registered representative | Jan 2008 (19y) | ||
| Teri L. Metter | Registered representative | Jan 2008 (19y) | ||
| Terri Lynn Ferguson | Registered representative | Jan 2008 (19y) | ||
| Theresa R Jansen | Registered representative | Jan 2008 (19y) | ||
| Thomas Andrew Seroczynski | Registered representative | Jan 2008 (19y) | ||
| Thomas Andrew Whelan | Registered representative | CFP | Jan 2008 (19y) | |
| Thomas Cornelius Sayre | Registered representative | Jan 2008 (19y) | ||
| Thomas E Dotson | Registered representative | Jan 2008 (19y) | ||
| Thomas George Martine | Registered representative | Jan 2008 (19y) | ||
| Thomas Henry Avant | Registered representative | Jan 2008 (19y) | ||
| Thomas Joseph Rehagen | Registered representative | Jan 2008 (19y) | ||
| Thomas Richard Morhauser | Registered representative | Jan 2008 (19y) | ||
| Thomas Theodore Jaeger | Registered representative | CFP | Jan 2008 (19y) | |
| Timothy Alan Brueggeman | Registered representative | Jan 2008 (19y) | ||
| Timothy John Leonard | Registered representative | Jan 2008 (19y) | ||
| Tina Super | Registered representative | Jan 2008 (19y) | ||
| Todd Andrew Connelly | Registered representative | CFP | Jan 2008 (19y) | |
| Toni Lorraine Taft | Registered representative | CFP | Jan 2008 (19y) | |
| Trevor Dean Johnson | Registered representative | Jan 2008 (19y) | ||
| Vernon L Trexler | Registered representative | CFP | Jan 2008 (19y) | |
| Vicki Lynn Ispas | Registered representative | Jan 2008 (19y) | ||
| Vickie Lynn Kozuck | Registered representative | Jan 2008 (19y) | ||
| Victoria Joy Utecht | Registered representative | Jan 2008 (19y) | ||
| Viola Antigone Yeotes | Registered representative | Jan 2008 (19y) | ||
| Walter James Hopkins | Registered representative | Jan 2008 (19y) | ||
| Walter John Schwenk | Registered representative | Jan 2008 (19y) | ||
| Walter N Flippin | Registered representative | Jan 2008 (19y) | ||
| Wayne Allen Denson | Registered representative | CFP | Jan 2008 (19y) | |
| Wayne Robert Miller | Registered representative | Jan 2008 (19y) | ||
| Wendy Wasilewski | Registered representative | Jan 2008 (19y) | ||
| Whitney Hays Mcdaniel | Registered representative | CFP | Jan 2008 (19y) | |
| William Alexandre Bizot | Registered representative | CFP | Jan 2008 (19y) | |
| William Dwight Byers | Registered representative | Jan 2008 (19y) | ||
| William Eugene Werley | Registered representative | Jan 2008 (19y) | ||
| William Herbert Eskind | Registered representative | Jan 2008 (19y) | ||
| William J Weeks | Registered representative | Jan 2008 (19y) | ||
| William Michael Murphy | Registered representative | Jan 2008 (19y) | ||
| William Price Potter | Registered representative | Jan 2008 (19y) | ||
| William R Giffing | Registered representative | Jan 2008 (19y) | ||
| William Thomas Hustead | Registered representative | CFP | Jan 2008 (19y) | |
| William Trent Hayden | Registered representative | Jan 2008 (19y) | ||
| Yancey F Carter | Registered representative | Jan 2008 (19y) | ||
| Adam George Marr | Registered representative | CFP | Jan 2008 (19y) | |
| Cheryl Hillis Carlon | Registered representative | Jan 2008 (19y) | ||
| Marc Richard Laguardia | Registered representative | Jan 2008 (19y) | ||
| Jeffrey Vincent Paris | Registered representative | Jan 2008 (19y) | ||
| Joanne Marie Maguire | Registered representative | CFP | Jan 2008 (19y) | |
| Tony Marcel Thompson | Registered representative | Jan 2008 (19y) | ||
| Bryan Leon Fleming | Registered representative | Jan 2008 (19y) | ||
| Ashley Brewster Goodell | Registered representative | Jan 2008 (19y) | ||
| Helen Marie Taylor Riley | Registered representative | CFP | Jan 2008 (19y) | |
| Michael L Kramer | Registered representative | Jan 2008 (19y) | ||
| Nathan Lowell Cherniss | Registered representative | Feb 2008 (19y) | ||
| Henry David Jeng | Registered representative | Feb 2008 (18y) | ||
| Thomas Daniel Allegretto | Registered representative | Feb 2008 (18y) | ||
| Teresa Shumaker | Registered representative | Feb 2008 (18y) | ||
| Annette Lavon Patterson | Registered representative | Feb 2008 (18y) | ||
| Robert Chiappetta | Registered representative | Feb 2008 (18y) | ||
| Albert Matthew Belanger | Registered representative | Feb 2008 (18y) | ||
| Bradley John Harmeyer | Registered representative | Feb 2008 (18y) | ||
| Brieane S Kelley | Registered representative | Feb 2008 (18y) | ||
| John Pierre Lambert | Registered representative | Feb 2008 (18y) | ||
| Jason Columbus Dickerman | Registered representative | CFP | Feb 2008 (18y) | |
| Cheri D Hartman | Registered representative | Feb 2008 (18y) | ||
| Christopher Max Nornberg | Registered representative | Feb 2008 (18y) | ||
| Eric Anderson Bembry | Registered representative | Feb 2008 (18y) | ||
| David Burzotta | Registered representative | Feb 2008 (18y) | ||
| Mary Ellen Fitzpatrick | Registered representative | Feb 2008 (18y) | ||
| Peter George Kien | Registered representative | Feb 2008 (18y) | ||
| Sharon Derrah Beesley | Registered representative | Feb 2008 (18y) | ||
| Michael E Neuliep | Registered representative | Feb 2008 (18y) | ||
| Kerri Lynn Bandola | Registered representative | Feb 2008 (18y) | ||
| Thai Thien Nguyen | Registered representative | Feb 2008 (18y) | ||
| Christopher Cort | Registered representative | Feb 2008 (18y) | ||
| Domenick Edward Serafine | Registered representative | Feb 2008 (18y) | ||
| Jennafer Denise Turner | Registered representative | Feb 2008 (18y) | ||
| Terry Lee Phillips | Registered representative | Feb 2008 (18y) | ||
| Kathy Lynn Pierce | Registered representative | Mar 2008 (18y) | ||
| Miguel Lopez | Registered representative | Mar 2008 (18y) | ||
| Marco Antonio Tercero | Registered representative | Mar 2008 (18y) | ||
| Teressa Grosklaus | Registered representative | Mar 2008 (18y) | ||
| Robert Livingston Rogers | Registered representative | Mar 2008 (18y) | ||
| Clarence Samuel Milligan | Registered representative | Mar 2008 (18y) | ||
| Howard Matson | Registered representative | Mar 2008 (18y) | ||
| Mark Chris Alcala | Registered representative | Mar 2008 (18y) | ||
| Mark William Christofferson | Registered representative | Mar 2008 (18y) | ||
| Raed Hassan Jaber | Registered representative | Mar 2008 (18y) | ||
| Susan Elizabeth Baroch | Registered representative | Mar 2008 (18y) | ||
| Deborah Mary Schulz | Registered representative | Mar 2008 (18y) | ||
| Jeremy Neal Pace | Registered representative | Mar 2008 (18y) | ||
| William Edward Collins | Registered representative | Mar 2008 (18y) | ||
| Andrew Michael Burns | Registered representative | Mar 2008 (18y) | ||
| Chung Wei Simon Wang | Registered representative | Mar 2008 (18y) | ||
| David Neal Johnson | Registered representative | Mar 2008 (18y) | ||
| Love K Malhotra | Registered representative | Apr 2008 (18y) | ||
| Nicholas Wayne Simmonds | Registered representative | Apr 2008 (18y) | ||
| Ricardo Gadea Flores | Registered representative | Apr 2008 (18y) | ||
| Sean Daniel Vanhille | Registered representative | Apr 2008 (18y) | ||
| Aidan Kyle Whitehouse | Registered representative | Apr 2008 (18y) | ||
| Anthony Joseph Rich | Registered representative | Apr 2008 (18y) | ||
| Juliana Bushra Najor | Registered representative | Apr 2008 (18y) | ||
| Catherine T Horan Walker | Registered representative | Apr 2008 (18y) | ||
| Daniel Joseph Wilbert | Registered representative | Apr 2008 (18y) | ||
| Kevin Tachine | Registered representative | Apr 2008 (18y) | ||
| James Cabourne Blaszyk | Registered representative | Apr 2008 (18y) | ||
| Deborah Marks Vecchio | Registered representative | Apr 2008 (18y) | ||
| Robert Reid Nottingham | Registered representative | Apr 2008 (18y) | ||
| Christopher Todd Mays | Registered representative | Apr 2008 (18y) | ||
| Stacy Denise Wolbrueck | Registered representative | Apr 2008 (18y) | ||
| Vickie Mcfall Barrow | Registered representative | Apr 2008 (18y) | ||
| Cathleen Gorman Dillon | Registered representative | Apr 2008 (18y) | ||
| Wesley Scott Davis | Registered representative | Apr 2008 (18y) | ||
| Bryan Paul Gruskowski | Registered representative | Apr 2008 (18y) | ||
| Daniel A Chiavaroli | Registered representative | Apr 2008 (18y) | ||
| Hugh Everett Parish | Registered representative | Apr 2008 (18y) | ||
| Amanda Leigh Robinson | Registered representative | May 2008 (18y) | ||
| Peter Andrew Tassinari | Registered representative | May 2008 (18y) | ||
| Gregory Thomas Curran | Registered representative | May 2008 (18y) | ||
| David Richard Wiercinski | Registered representative | May 2008 (18y) | ||
| Ryan Edward Beaudry | Registered representative | May 2008 (18y) | ||
| Amy Lynn Boggs | Registered representative | May 2008 (18y) | ||
| Brian Carl Snyder | Registered representative | CFP | May 2008 (18y) | |
| Christopher Zagurski | Registered representative | May 2008 (18y) | ||
| Milton Nuckols | Registered representative | CFP | May 2008 (18y) | |
| Wally Joseph Luciano | Registered representative | May 2008 (18y) | ||
| Gay Marie Letendre Bone | Registered representative | CFP | May 2008 (18y) | |
| Hui Do Kim | Registered representative | CFP | May 2008 (18y) | |
| Mary Elizabeth Barnett | Registered representative | May 2008 (18y) | ||
| Mitchell Lawrence Frankel | Registered representative | May 2008 (18y) | ||
| Kimberly Marie Osborne Allen | Registered representative | May 2008 (18y) | ||
| Felicite Williamson Pinkston | Registered representative | May 2008 (18y) | ||
| Karon Elizabeth Rathgeber | Registered representative | May 2008 (18y) | ||
| Kara Lynn Reel Spencer | Registered representative | May 2008 (18y) | ||
| Chad Eric Quenneville | Registered representative | CFP | May 2008 (18y) | |
| Melissa Williams Combs | Registered representative | CFP | May 2008 (18y) | |
| Salvatore Alberto F Ponzo | Registered representative | May 2008 (18y) | ||
| Nancy Loskill | Registered representative | May 2008 (18y) | ||
| Melissa Ann Chalkias | Registered representative | May 2008 (18y) | ||
| Timothy Craig Loskill | Registered representative | May 2008 (18y) | ||
| Christopher Michael Langiulli | Registered representative | May 2008 (18y) | ||
| Michael Scott Fahey | Registered representative | Jun 2008 (18y) | ||
| Alan Walter Chais | Registered representative | Jun 2008 (18y) | ||
| Robert T. Wadleigh | Registered representative | Jun 2008 (18y) | ||
| Allison Rs Blake | Registered representative | Jun 2008 (18y) | ||
| John Pierre Carlsen | Registered representative | Jun 2008 (18y) | ||
| Robert Dean Reich | Registered representative | Jun 2008 (18y) | ||
| Sean Michael Fitzpatrick | Registered representative | Jun 2008 (18y) | ||
| Stephen Charles Gribben | Registered representative | Jun 2008 (18y) | ||
| Susan E Arnold | Registered representative | Jun 2008 (18y) | ||
| Rebecca Lynn Bell | Registered representative | Jun 2008 (18y) | ||
| Maureen Marshall Bloodworth | Registered representative | Jun 2008 (18y) | ||
| Ashley Q Nguyen | Registered representative | Jun 2008 (18y) | ||
| Genny Pignatiello | Registered representative | Jun 2008 (18y) | ||
| Paula Anne Heichel | Registered representative | CFP | Jun 2008 (18y) | |
| Tressan Quinn | Registered representative | Jun 2008 (18y) | ||
| Mark Gillespie | Registered representative | CFP | Jun 2008 (18y) | |
| David Mclean | Registered representative | Jul 2008 (18y) | ||
| John Robert Woravka | Registered representative | Jul 2008 (18y) | ||
| Beverly Arrington Guthrie | Registered representative | Jul 2008 (18y) | ||
| Jeffrey Frits Polcar | Registered representative | Jul 2008 (18y) | ||
| Stephen Carl West | Registered representative | Jul 2008 (18y) | ||
| William Churchill Garter | Registered representative | Jul 2008 (18y) | ||
| Steven Alan Sinderbrand | Registered representative | Jul 2008 (18y) | ||
| Jason Allan Kane | Registered representative | Jul 2008 (18y) | ||
| Richard S Glazier | Registered representative | Jul 2008 (18y) | ||
| Kevin Talmage Kaylor | Registered representative | CFP | Jul 2008 (18y) | |
| Larry Sherwood Snyder | Registered representative | Jul 2008 (18y) | ||
| Matt David Rynard | Registered representative | CFP | Jul 2008 (18y) | |
| John Brody Orton | Registered representative | Jul 2008 (18y) | ||
| Kevin Hugh Smith | Registered representative | Jul 2008 (18y) | ||
| Nathan Anderson Burgess | Registered representative | Aug 2008 (18y) | ||
| Daniel Eastwood | Registered representative | Aug 2008 (18y) | ||
| Daniel A Klein | Registered representative | Aug 2008 (18y) | ||
| Gary Joseph Greco | Registered representative | Aug 2008 (18y) | ||
| Ronald Mark Olinsky | Registered representative | Aug 2008 (18y) | ||
| Karen Man Tsang | Registered representative | CFP | Aug 2008 (18y) | |
| Timothy Mark Lee | Registered representative | Aug 2008 (18y) | ||
| James Robert Klingler | Registered representative | Aug 2008 (18y) | ||
| William Alfred Rice | Registered representative | CFP | Aug 2008 (18y) | |
| Christopher David Hoover | Registered representative | Aug 2008 (18y) | ||
| Jay Thomas Bavlish | Registered representative | Aug 2008 (18y) | ||
| Thomas G Chiaravalloti | Registered representative | Aug 2008 (18y) | ||
| Bill Levi Andrae | Registered representative | Aug 2008 (18y) | ||
| John Marshall Cain | Registered representative | Aug 2008 (18y) | ||
| Christopher Earl Dodson | Registered representative | Aug 2008 (18y) | ||
| Nathan William Book | Registered representative | Aug 2008 (18y) | ||
| Stephen Roy Bard | Registered representative | Aug 2008 (18y) | ||
| Jeremy Thomas Ciampo | Registered representative | Aug 2008 (18y) | ||
| Wade Atley Peterson | Registered representative | Aug 2008 (18y) | ||
| Howard Lamar Mcmillan | Registered representative | Sep 2008 (18y) | ||
| Jonathan Edward Mitchell Degenhardt | Registered representative | Sep 2008 (18y) | ||
| Christopher James Phillips | Registered representative | Sep 2008 (18y) | ||
| Michael Dean Woodman | Registered representative | Sep 2008 (18y) | ||
| David Kenneth Mccurdy | Registered representative | Sep 2008 (18y) | ||
| Michael James Corsey | Registered representative | Sep 2008 (18y) | ||
| Ann Young Newsom Justis | Registered representative | Sep 2008 (18y) | ||
| David Nixon Ashe | Registered representative | Sep 2008 (18y) | ||
| Sean Steven Ben Asher | Registered representative | Sep 2008 (18y) | ||
| Emilio Roberto Harris | Registered representative | Sep 2008 (18y) | ||
| Nancy Ann Stickel | Registered representative | Sep 2008 (18y) | ||
| Angela Mercurio Clark | Registered representative | Sep 2008 (18y) | ||
| Cory Fogel Herring | Registered representative | Sep 2008 (18y) | ||
| Richard John Ruffino | Registered representative | Sep 2008 (18y) | ||
| W Phillip Walsh | Registered representative | Sep 2008 (18y) | ||
| Carla Christina | Registered representative | Sep 2008 (18y) | ||
| Gerald Michael Gladnick | Registered representative | Sep 2008 (18y) | ||
| Warren Jay Hartzman | Registered representative | Sep 2008 (18y) | ||
| John Matthew Julander | Registered representative | Sep 2008 (18y) | ||
| Stephanie Fischer Johnson | Registered representative | Sep 2008 (18y) | ||
| Stephen G. Dotson | Registered representative | Sep 2008 (18y) | ||
| Brendan Bernard Houlihan | Registered representative | Oct 2008 (18y) | ||
| Eric Todd Whitman | Registered representative | Oct 2008 (18y) | ||
| Eric Andrew Midili | Registered representative | CFP | Oct 2008 (18y) | |
| Tamara Nafay Forte | Registered representative | Oct 2008 (18y) | ||
| Patricia Ann Madden Renouard | Registered representative | Oct 2008 (18y) | ||
| Anne Quaintance Fomon | Registered representative | Oct 2008 (18y) | ||
| Joseph John Ulloa | Registered representative | Oct 2008 (18y) | ||
| Natalie Marie Tuttle | Registered representative | Oct 2008 (18y) | ||
| Catriona Jane Kyle Rice | Registered representative | CFP | Oct 2008 (18y) | |
| Robert Steven Zickus | Registered representative | Oct 2008 (18y) | ||
| Devangee Shah | Registered representative | Oct 2008 (18y) | ||
| Kimberly Joan Roman | Registered representative | Oct 2008 (18y) | ||
| Donald Robert Sutherland | Registered representative | Oct 2008 (18y) | ||
| David Alexander Mccallum | Registered representative | Oct 2008 (18y) | ||
| Joshua Matteo | Registered representative | Oct 2008 (18y) | ||
| Winthrop Colwell Cobb | Registered representative | Oct 2008 (18y) | ||
| Adam Nels Marcus | Registered representative | CFP | Oct 2008 (18y) | |
| Amy Wells | Registered representative | Oct 2008 (18y) | ||
| Eric Clark Worrell | Registered representative | CFP | Oct 2008 (18y) | |
| Janet Lorraine Roberts | Registered representative | Oct 2008 (18y) | ||
| Patty L Hanna | Registered representative | Oct 2008 (18y) | ||
| James Roy Paige | Registered representative | Oct 2008 (18y) | ||
| Helen Loughan Campbell | Registered representative | Nov 2008 (18y) | ||
| Kerrie Ann Kane | Registered representative | Nov 2008 (18y) | ||
| James Paul Aloisi | Registered representative | Nov 2008 (18y) | ||
| Jill Anderson | Registered representative | Nov 2008 (18y) | ||
| William Frederick Day | Registered representative | Nov 2008 (18y) | ||
| Dawn Marie Darrall | Registered representative | Nov 2008 (18y) | ||
| Gail Deluca | Registered representative | Nov 2008 (18y) | ||
| Joshua Adam Hollar | Registered representative | Nov 2008 (18y) | ||
| Katherine Buckley | Registered representative | Nov 2008 (18y) | ||
| Keri Anne Nishimura | Registered representative | CFP | Nov 2008 (18y) | |
| Nico Cheney Beasley | Registered representative | Nov 2008 (18y) | ||
| Ralph S Flowers | Registered representative | Nov 2008 (18y) | ||
| Rebecca Lyn Rogers | Registered representative | Nov 2008 (18y) | ||
| Susan Brough | Registered representative | Nov 2008 (18y) | ||
| Susan Todd Mallery | Registered representative | Nov 2008 (18y) | ||
| Alana Marie Sanchez | Registered representative | Nov 2008 (18y) | ||
| Bridie E Smith | Registered representative | Nov 2008 (18y) | ||
| Rachel Marie Hamor | Registered representative | Nov 2008 (18y) | ||
| Scott A Smith | Registered representative | Nov 2008 (18y) | ||
| Thomas Karl Schlag | Registered representative | CFP | Nov 2008 (18y) | |
| David Warren Perry | Registered representative | Nov 2008 (18y) | ||
| Mark Thomas Olszak | Registered representative | Nov 2008 (18y) | ||
| Jonathan Hawkes Potter | Registered representative | Nov 2008 (18y) | ||
| Shawn Patrick Kolar | Registered representative | Nov 2008 (18y) | ||
| Christopher Michael Andrew | Registered representative | Nov 2008 (18y) | ||
| John Chadwick Andrew | Registered representative | Nov 2008 (18y) | ||
| Michael Prentis Knuff | Registered representative | CFP | Nov 2008 (18y) | |
| Ralph James Femminella | Registered representative | Nov 2008 (18y) | ||
| Allison C. Ryan | Registered representative | CFP | Nov 2008 (18y) | |
| Jeff Scott Daugherty | Registered representative | Nov 2008 (18y) | ||
| Lance Antony | Registered representative | Nov 2008 (18y) | ||
| Matthew Steven Cass | Registered representative | Dec 2008 (18y) | ||
| Aaron Ulrick Fenn | Registered representative | Dec 2008 (18y) | ||
| Robert Glenn Packin | Registered representative | Dec 2008 (18y) | ||
| Donald E. Flannery | Registered representative | Dec 2008 (18y) | ||
| Jeffrey J Isgrig | Registered representative | Dec 2008 (18y) | ||
| Michelle Dayton Mackie | Registered representative | Dec 2008 (18y) | ||
| William Bradley Parton | Registered representative | Dec 2008 (18y) | ||
| Robert David Simpson | Registered representative | CFP | Dec 2008 (18y) | |
| Todd Whitney Larkin | Registered representative | Dec 2008 (18y) | ||
| David Efren Sosa | Registered representative | Dec 2008 (18y) | ||
| Kerke Alan Johnson | Registered representative | CFP | Dec 2008 (18y) | |
| Ralph Hartwell Saunders | Registered representative | CFP | Dec 2008 (18y) | |
| Robert Francis Hamill | Registered representative | Dec 2008 (18y) | ||
| Carolyn James | Registered representative | Dec 2008 (18y) | ||
| Kevin Scott Power | Registered representative | Dec 2008 (18y) | ||
| Ryan Jay Grashow | Registered representative | Dec 2008 (18y) | ||
| Anna Marie Hathaway | Registered representative | Dec 2008 (18y) | ||
| Benjamin Thomas King | Registered representative | CFP | Dec 2008 (18y) | |
| Jonathan J Luevanos | Registered representative | CFP | Dec 2008 (18y) | |
| Jared Lee Burleson | Registered representative | CFP | Dec 2008 (18y) | |
| Kimberly Hawkins Elliott | Registered representative | Dec 2008 (18y) | ||
| Stephan John Shatynski | Registered representative | Dec 2008 (18y) | ||
| Demetrios Athanasopoulos | Registered representative | Dec 2008 (18y) | ||
| Logan Andres Devicente | Registered representative | CFP | Dec 2008 (18y) | |
| Alan Michael Wozniak | Registered representative | Jan 2009 (18y) | ||
| Erik Josef Mattern | Registered representative | Jan 2009 (18y) | ||
| Fay Sheppard | Registered representative | Jan 2009 (18y) | ||
| Matthew Aaron Hendren | Registered representative | Jan 2009 (18y) | ||
| Scott Albert Oneal | Registered representative | Jan 2009 (18y) | ||
| Stephan F. Diol | Registered representative | Jan 2009 (18y) | ||
| Gregg Andrew Sato | Registered representative | CFP | Jan 2009 (18y) | |
| Krista Picco | Registered representative | Jan 2009 (18y) | ||
| Matthew Francis Brandi | Registered representative | Jan 2009 (18y) | ||
| Parker James Smith | Registered representative | Jan 2009 (18y) | ||
| Rochelle Biggs | Registered representative | Jan 2009 (18y) | ||
| Brandon David Bernstein | Registered representative | Jan 2009 (18y) | ||
| Gregory J Knight | Registered representative | Jan 2009 (18y) | ||
| Katherine Foley | Registered representative | Jan 2009 (18y) | ||
| Lawrence Preston Ruderman | Registered representative | Jan 2009 (18y) | ||
| Thomas Richard Mahowski | Registered representative | Jan 2009 (18y) | ||
| Vicki Ellen Patman | Registered representative | Jan 2009 (18y) | ||
| John Joseph Knight | Registered representative | Jan 2009 (18y) | ||
| Wayne R Mattola | Registered representative | Jan 2009 (18y) | ||
| John Michael Sload | Registered representative | Jan 2009 (18y) | ||
| David Paul Lindstedt | Registered representative | CFP | Jan 2009 (18y) | |
| Amy Lynn Brueggemann | Registered representative | Jan 2009 (18y) | ||
| George Satoshi Hirai | Registered representative | Jan 2009 (18y) | ||
| Kevin Andrew Floyd | Registered representative | Jan 2009 (18y) | ||
| B M Fry | Registered representative | Jan 2009 (18y) | ||
| Don Matthew Webb | Registered representative | Jan 2009 (18y) | ||
| Jeffrey Norris Tadder | Registered representative | CFP | Jan 2009 (18y) | |
| Robert Mark Gilbert | Registered representative | Jan 2009 (18y) | ||
| Janet Schoenberger | Registered representative | Jan 2009 (18y) | ||
| Laura Mcdanel Shelburne | Registered representative | Jan 2009 (18y) | ||
| Gary Charles Saeks | Registered representative | Jan 2009 (18y) | ||
| Thomas Gordon Mcgee | Registered representative | Jan 2009 (18y) | ||
| James Michael Howrey | Registered representative | Jan 2009 (18y) | ||
| Derek J Giaconia | Registered representative | Jan 2009 (18y) | ||
| Rhonda Jean Finby | Registered representative | Jan 2009 (18y) | ||
| Shari Christine Knox | Registered representative | Jan 2009 (18y) | ||
| William Kenneth Williams | Registered representative | Feb 2009 (17y) | ||
| Harold D Joines | Registered representative | Feb 2009 (17y) | ||
| Laura Ann Smith | Registered representative | Feb 2009 (17y) | ||
| Locke Y Carter | Registered representative | Feb 2009 (17y) | ||
| Morgan Elliott Webber | Registered representative | Feb 2009 (17y) | ||
| Richard James Robinett | Registered representative | Feb 2009 (17y) | ||
| Terrance Joseph Blanchard | Registered representative | Feb 2009 (17y) | ||
| Dustin James Ater | Registered representative | Feb 2009 (17y) | ||
| Sandra Elizabeth Mcpeak | Registered representative | Feb 2009 (17y) | ||
| Stephen John Blanchard | Registered representative | Feb 2009 (17y) | ||
| Arthur Masatoshi Saiki | Registered representative | CFP | Feb 2009 (17y) | |
| Kristie Powell Crooms | Registered representative | Feb 2009 (17y) | ||
| Ayman Noureddeen Kahale | Registered representative | Feb 2009 (17y) | ||
| Mark Edward Robbins | Registered representative | Feb 2009 (17y) | ||
| Frederick L Shreves | Registered representative | Feb 2009 (17y) | ||
| Julia Elizabeth Mcintire | Registered representative | Feb 2009 (17y) | ||
| Michael Gevorkian | Registered representative | CFP | Feb 2009 (17y) | |
| Robert Joseph Klein | Registered representative | Feb 2009 (17y) | ||
| Steven Lee Quesnel | Registered representative | CFP | Feb 2009 (17y) | |
| Diane Cobo Manterola | Registered representative | Feb 2009 (17y) | ||
| Matthew Bert Libien | Registered representative | Feb 2009 (17y) | ||
| Renato Mielak Boac | Registered representative | Feb 2009 (17y) | ||
| Tama Lynne Borriello | Registered representative | CFP | Feb 2009 (17y) | |
| Brian Parker Sims | Registered representative | Feb 2009 (17y) | ||
| Christopher Grant Lingle | Registered representative | Feb 2009 (17y) | ||
| Gilbert P Castillo | Registered representative | Feb 2009 (17y) | ||
| Kevin John Kavanagh | Registered representative | Feb 2009 (17y) | ||
| Raymond Edward Murphy | Registered representative | Feb 2009 (17y) | ||
| Timothy Scott Kelbaugh | Registered representative | CFP | Feb 2009 (17y) | |
| William Joseph Hochwalt | Registered representative | Feb 2009 (17y) | ||
| Catharine Milligan Hobbs | Registered representative | Feb 2009 (17y) | ||
| Matthew T Carroccio | Registered representative | Feb 2009 (17y) | ||
| Norman Dix | Registered representative | Feb 2009 (17y) | ||
| Gina Jessee Cereda | Registered representative | Feb 2009 (17y) | ||
| Christopher Michael Schrampf | Registered representative | Feb 2009 (17y) | ||
| George Dircks | Registered representative | Feb 2009 (17y) | ||
| Matthew Francis Healy | Registered representative | Feb 2009 (17y) | ||
| Penny E Huff | Registered representative | Feb 2009 (17y) | ||
| Ramon Castillo Gonzalez | Registered representative | Feb 2009 (17y) | ||
| Robert Lee Rose | Registered representative | Feb 2009 (17y) | ||
| Thomas E Tiner | Registered representative | Feb 2009 (17y) | ||
| Clarence James Bannowsky | Registered representative | Feb 2009 (17y) | ||
| Clarissa Ann Beltran | Registered representative | Feb 2009 (17y) | ||
| Daniel Vincent Christ | Registered representative | CFP | Feb 2009 (17y) | |
| David Gary Halperin | Registered representative | Feb 2009 (17y) | ||
| Susan Griswold Mamer | Registered representative | Feb 2009 (17y) | ||
| Alan Michael Rizzuto | Registered representative | CFP | Feb 2009 (17y) | |
| George Hamilton Martin Fewell | Registered representative | Feb 2009 (17y) | ||
| Jonathan Fred Moskowitz | Registered representative | Feb 2009 (17y) | ||
| Rachel Ann Gomez | Registered representative | Feb 2009 (17y) | ||
| Terri Anne Wheeler | Registered representative | Feb 2009 (17y) | ||
| Mark Allan Luxenburg | Registered representative | Feb 2009 (17y) | ||
| Benjamin Joseph Petrilli | Registered representative | Feb 2009 (17y) | ||
| John Lambros Karkazis | Registered representative | Feb 2009 (17y) | ||
| Mark Hetrick | Registered representative | Feb 2009 (17y) | ||
| Michael Chester Lapinski | Registered representative | CFP | Feb 2009 (17y) | |
| Michael Scott Pett | Registered representative | Feb 2009 (17y) | ||
| Monica Buckwalter | Registered representative | Feb 2009 (17y) | ||
| Nolan William Meeuwsen | Registered representative | CFP | Feb 2009 (17y) | |
| Scott Brian Davidoff | Registered representative | CFA | Feb 2009 (17y) | |
| Thomas Scott Lennartz | Registered representative | Feb 2009 (17y) | ||
| James Russell Moore | Registered representative | Mar 2009 (17y) | ||
| Jennifer Anne Falter | Registered representative | Mar 2009 (17y) | ||
| John W Kelly | Registered representative | Mar 2009 (17y) | ||
| Gregory Gerald Bonanni | Registered representative | Mar 2009 (17y) | ||
| Mark Anthony Martin | Registered representative | CFP | Mar 2009 (17y) | |
| Martin Andrews Livingston | Registered representative | Mar 2009 (17y) | ||
| Timothy John Bragg | Registered representative | CFP | Mar 2009 (17y) | |
| Christopher Thomas Winter | Registered representative | Mar 2009 (17y) | ||
| Lynn Marie Andersen | Registered representative | Mar 2009 (17y) | ||
| Mark Harry Gleckner | Registered representative | CFP | Mar 2009 (17y) | |
| Michael Joseph Allan | Registered representative | Mar 2009 (17y) | ||
| Ramona K Y Ching | Registered representative | Mar 2009 (17y) | ||
| Sharon Chianese Gleckner | Registered representative | Mar 2009 (17y) | ||
| Tony Randal Jackson | Registered representative | Mar 2009 (17y) | ||
| Jonathan Kirk Jay | Registered representative | Mar 2009 (17y) | ||
| Joseph Y Spruill | Registered representative | Mar 2009 (17y) | ||
| Justin Skarbnik | Registered representative | Mar 2009 (17y) | ||
| Michael Troy Rowe | Registered representative | Mar 2009 (17y) | ||
| Timothy Daniel Cusack | Registered representative | CFP | Mar 2009 (17y) | |
| Amy Jean Ellertson | Registered representative | Mar 2009 (17y) | ||
| Clayton Kityin Wong | Registered representative | Mar 2009 (17y) | ||
| Sarah Jane Velasquez | Registered representative | Mar 2009 (17y) | ||
| David G Weissman | Registered representative | Mar 2009 (17y) | ||
| Stephen Benjamin Root | Registered representative | Mar 2009 (17y) | ||
| Gary Roger Plushnick | Registered representative | Mar 2009 (17y) | ||
| Thomas David Peck | Registered representative | Mar 2009 (17y) | ||
| Edward Michael Skarbnik | Registered representative | Mar 2009 (17y) | ||
| John Patrick Churilla | Registered representative | Mar 2009 (17y) | ||
| Paul Cheng Fa Lu | Registered representative | Mar 2009 (17y) | ||
| Robert Earl Graettinger | Registered representative | Mar 2009 (17y) | ||
| Thomas Adamson Wood | Registered representative | Mar 2009 (17y) | ||
| Deborah Mae Newman | Registered representative | Mar 2009 (17y) | ||
| Gregory Frank Harris | Registered representative | Mar 2009 (17y) | ||
| Robert Paul Miller | Registered representative | Mar 2009 (17y) | ||
| Jonathan Paul Boulware | Registered representative | Mar 2009 (17y) | ||
| Charles Gardner Grummon | Registered representative | CFP | Mar 2009 (17y) | |
| Christopher Michael Grode | Registered representative | Mar 2009 (17y) | ||
| Bruce Joseph Ratay | Registered representative | CFP Chartered Financial Consultant | Mar 2009 (17y) | |
| Christopher Tad Jaworski | Registered representative | Mar 2009 (17y) | ||
| Kevin John Hoops | Registered representative | Mar 2009 (17y) | ||
| Paul Thomas Poletti | Registered representative | Mar 2009 (17y) | ||
| Scott David Egermayer | Registered representative | Mar 2009 (17y) | ||
| Steven Richard Schumacher | Registered representative | CFP | Mar 2009 (17y) | |
| David Allan Papale | Registered representative | CFP | Mar 2009 (17y) | |
| Curtis David Whitehouse | Registered representative | Mar 2009 (17y) | ||
| Kenneth Eric Ballenger | Registered representative | Mar 2009 (17y) | ||
| Kimberly Ann Lineberry | Registered representative | Mar 2009 (17y) | ||
| Kimberly Anne Berry | Registered representative | CFP | Mar 2009 (17y) | |
| Raymond Ivory Tucker | Registered representative | Mar 2009 (17y) | ||
| Sean Charles Rogers | Registered representative | Mar 2009 (17y) | ||
| Mark Whitney Tuller | Registered representative | Mar 2009 (17y) | ||
| Tyrone Anthony Johnson | Registered representative | Mar 2009 (17y) | ||
| Gregory Winston Owen | Registered representative | CFP | Mar 2009 (17y) | |
| Gytis Kavaliauskas | Registered representative | Mar 2009 (17y) | ||
| John Peter Berger | Registered representative | CFP | Mar 2009 (17y) | |
| Samuel Johnston Sugg | Registered representative | CFP | Mar 2009 (17y) | |
| Stuart Jeffrey Strickland | Registered representative | CFP | Mar 2009 (17y) | |
| Chris Adam Wilczynski | Registered representative | Apr 2009 (17y) | ||
| Michael Taft Gantt | Registered representative | Apr 2009 (17y) | ||
| Dianna Jones | Registered representative | CFP | Apr 2009 (17y) | |
| Haider Munther Ajina | Registered representative | Apr 2009 (17y) | ||
| Kevin Andrew Jaggie | Registered representative | CFP | Apr 2009 (17y) | |
| Anthony George Priore | Registered representative | Apr 2009 (17y) | ||
| Christopher Peter Yalanis | Registered representative | CFP | Apr 2009 (17y) | |
| David William Borenstein | Registered representative | Apr 2009 (17y) | ||
| Kenneth Andrew Sprague | Registered representative | Apr 2009 (17y) | ||
| Melissa Lee Tomasic | Registered representative | Apr 2009 (17y) | ||
| Christopher Todd Maxwell | Registered representative | Apr 2009 (17y) | ||
| Thomas Mifflin Hidell | Registered representative | Apr 2009 (17y) | ||
| Franklin Christopher Scudder | Registered representative | Apr 2009 (17y) | ||
| John Wallace Madden | Registered representative | Apr 2009 (17y) | ||
| Kathleen Vivian Coleman | Registered representative | Apr 2009 (17y) | ||
| Kevin Michael Bryson | Registered representative | CFP | Apr 2009 (17y) | |
| Nancy Brooks Young | Registered representative | Apr 2009 (17y) | ||
| Michael Fitzgerald Lupton | Registered representative | Apr 2009 (17y) | ||
| Yedidah Raskas | Registered representative | Apr 2009 (17y) | ||
| Ivette Marie Sanchez | Registered representative | Apr 2009 (17y) | ||
| Philip Michael Burke | Registered representative | Apr 2009 (17y) | ||
| Allen Gregory Sleeman | Registered representative | CFP | Apr 2009 (17y) | |
| Anthony John Anthony | Registered representative | Apr 2009 (17y) | ||
| Paul Cameron Sankovich | Registered representative | Apr 2009 (17y) | ||
| Peter Frederick Bauer | Registered representative | CFA | Apr 2009 (17y) | |
| Wallace Jeannine Fry | Registered representative | CFP | Apr 2009 (17y) | |
| Richard Fredric Stolar | Registered representative | Apr 2009 (17y) | ||
| Alicia Marie Whearty | Registered representative | Apr 2009 (17y) | ||
| Ana Backa | Registered representative | Apr 2009 (17y) | ||
| Dawn Michelle Colburn | Registered representative | Apr 2009 (17y) | ||
| Edna L Cetina | Registered representative | Apr 2009 (17y) | ||
| Elizabeth Ann Brown | Registered representative | Apr 2009 (17y) | ||
| Gregory Miller | Registered representative | Apr 2009 (17y) | ||
| Jacqueline Marie Thiele | Registered representative | Apr 2009 (17y) | ||
| James W Mcghee | Registered representative | CFP | Apr 2009 (17y) | |
| Nancy Jane Rockoff | Registered representative | Apr 2009 (17y) | ||
| Nicole Leann Pieri | Registered representative | Apr 2009 (17y) | ||
| Stephanie R Hays | Registered representative | Apr 2009 (17y) | ||
| Steven Fleisher | Registered representative | Apr 2009 (17y) | ||
| Tammy Jean Korpiperkins | Registered representative | Apr 2009 (17y) | ||
| Timothy Joseph Casey | Registered representative | Apr 2009 (17y) | ||
| Brian Franklin Barlow | Registered representative | Apr 2009 (17y) | ||
| Lynn Annette Campbell | Registered representative | Apr 2009 (17y) | ||
| Peter Henry Orzel | Registered representative | Apr 2009 (17y) | ||
| Randolph Kevin Brock | Registered representative | Apr 2009 (17y) | ||
| David Suk Ko | Registered representative | CFP | Apr 2009 (17y) | |
| James Edward Cuccaro | Registered representative | May 2009 (17y) | ||
| Nathan C Krank | Registered representative | May 2009 (17y) | ||
| Ramin Saeedian | Registered representative | May 2009 (17y) | ||
| Steven Mark Sklover | Registered representative | May 2009 (17y) | ||
| Charles Belding Oldfield | Registered representative | May 2009 (17y) | ||
| Jeremy Snedegar | Registered representative | May 2009 (17y) | ||
| Lorraine Miranda Salinas | Registered representative | May 2009 (17y) | ||
| Christopher Frederick Hunter | Registered representative | Chartered Financial Consultant | May 2009 (17y) | |
| Michael Scott Gibson | Registered representative | CFP | May 2009 (17y) | |
| Christopher James Golini | Registered representative | CFP | May 2009 (17y) | |
| Brian Steinbach | Registered representative | May 2009 (17y) | ||
| Farhood Malek | Registered representative | May 2009 (17y) | ||
| Neal Evan Leschel | Registered representative | May 2009 (17y) | ||
| Traci Foster | Registered representative | May 2009 (17y) | ||
| Edwin Everts Andrews | Registered representative | CFP | May 2009 (17y) | |
| Mitchell Steven Work | Registered representative | May 2009 (17y) | ||
| Ronald Harry Rakoover | Registered representative | May 2009 (17y) | ||
| Craig Geisendorff | Registered representative | May 2009 (17y) | ||
| James Francis Mcdavitt | Registered representative | May 2009 (17y) | ||
| Judson Pate Joplin | Registered representative | May 2009 (17y) | ||
| Kathleen Belden Schoff | Registered representative | May 2009 (17y) | ||
| Larry Gorden Ray | Registered representative | May 2009 (17y) | ||
| Ben Edward Thomas | Registered representative | May 2009 (17y) | ||
| Janelle Marie Koester | Registered representative | May 2009 (17y) | ||
| Samuel John Cannon | Registered representative | May 2009 (17y) | ||
| Willem Daniel Marx | Registered representative | May 2009 (17y) | ||
| Charles William Dudley | Registered representative | May 2009 (17y) | ||
| Marshall Allan Ney | Registered representative | May 2009 (17y) | ||
| Sean Gerard Davis | Registered representative | May 2009 (17y) | ||
| Steven Scott Lewis | Registered representative | May 2009 (17y) | ||
| David Brett Andrews | Registered representative | May 2009 (17y) | ||
| David Samuel Sheusi | Registered representative | May 2009 (17y) | ||
| Glenn Stevens Woolschlager | Registered representative | May 2009 (17y) | ||
| Mark Robert Hurwitz | Registered representative | May 2009 (17y) | ||
| Sylvia N Guinan | Registered representative | May 2009 (17y) | ||
| Donald Edson Johnson | Registered representative | Jun 2009 (17y) | ||
| Mike Chinwoo Kim | Registered representative | Jun 2009 (17y) | ||
| Ryan Paul Tidwell | Registered representative | CFP | Jun 2009 (17y) | |
| Paul Bernard Grundhoefer | Registered representative | Jun 2009 (17y) | ||
| Joseph Michael Grappone | Registered representative | Jun 2009 (17y) | ||
| Regina L Mullins | Registered representative | Jun 2009 (17y) | ||
| Lori Ann Bagley | Registered representative | Jun 2009 (17y) | ||
| Angela Bertorelli Casullo | Registered representative | Jun 2009 (17y) | ||
| Cynthia Faye Wilson | Registered representative | Jun 2009 (17y) | ||
| Ray Ernest Ryan | Registered representative | Jun 2009 (17y) | ||
| Blanche E Zelko | Registered representative | Jun 2009 (17y) | ||
| Michael Eric Ryan | Registered representative | CFP | Jun 2009 (17y) | |
| Devin O'neil | Registered representative | Jun 2009 (17y) | ||
| Ross Allen Stein | Registered representative | Jun 2009 (17y) | ||
| Herschel Owen Ryan | Registered representative | Jun 2009 (17y) | ||
| James Firth Dowley | Registered representative | Jun 2009 (17y) | ||
| Jennifer Rochelle Bruce | Registered representative | Jun 2009 (17y) | ||
| Jerald Wade Rolen | Registered representative | Jun 2009 (17y) | ||
| Robert Francis Conway | Registered representative | Jun 2009 (17y) | ||
| Danilo Gutierrez Liwanag | Registered representative | Jun 2009 (17y) | ||
| Philip James Farese | Registered representative | Jun 2009 (17y) | ||
| Robert Wade Sanders | Registered representative | Jun 2009 (17y) | ||
| Harold Seth Freeman Barnes | Registered representative | Jun 2009 (17y) | ||
| Christopher Andrew Foy | Registered representative | CFP | Jun 2009 (17y) | |
| E Scott Miller | Registered representative | Jun 2009 (17y) | ||
| Gail A Lee | Registered representative | Jun 2009 (17y) | ||
| Christopher David Fontana | Registered representative | Jun 2009 (17y) | ||
| Jeff Kent Boswell | Registered representative | Jun 2009 (17y) | ||
| Vernon Gang | Registered representative | CFP | Jun 2009 (17y) | |
| Douglas Edward Guziec | Registered representative | Jul 2009 (17y) | ||
| Gary Earl Mills | Registered representative | CFP | Jul 2009 (17y) | |
| Chad Conner | Registered representative | Jul 2009 (17y) | ||
| Robert Alan Rosenblum | Registered representative | Jul 2009 (17y) | ||
| Vergil Haven Rorer | Registered representative | Jul 2009 (17y) | ||
| Philip Kirby Jefferson | Registered representative | Jul 2009 (17y) | ||
| Sharilynn Gates | Registered representative | Jul 2009 (17y) | ||
| Keith Russel Goldstein | Registered representative | Jul 2009 (17y) | ||
| Matthew Thorne Newman | Registered representative | Jul 2009 (17y) | ||
| Chad Edward Weeks | Registered representative | Aug 2009 (17y) | ||
| Stephanie Hwei Min Nyce | Registered representative | CFP | Aug 2009 (17y) | |
| Charles Dale Gersbeck | Registered representative | Aug 2009 (17y) | ||
| Christopher Wilkes Harper | Registered representative | CFP Chartered Financial Consultant | Aug 2009 (17y) | |
| Daniel Harmon Maddox | Registered representative | Aug 2009 (17y) | ||
| Jack Habif | Registered representative | Aug 2009 (17y) | ||
| Neiesha Ivy Samuel | Registered representative | Aug 2009 (17y) | ||
| Paul Kim | Registered representative | Aug 2009 (17y) | ||
| Prateek Amar | Registered representative | Aug 2009 (17y) | ||
| Elizabeth Yefimov Minard | Registered representative | Aug 2009 (17y) | ||
| Neil Scheinbart | Registered representative | Aug 2009 (17y) | ||
| Thomas Dwight Miller | Registered representative | Aug 2009 (17y) | ||
| Patrick Ronald Kearns | Registered representative | Aug 2009 (17y) | ||
| Michael William Abrecht Beaumont | Registered representative | CFP | Aug 2009 (17y) | |
| William Mcclentic Cobb | Registered representative | Sep 2009 (17y) | ||
| James Steven Limoncelli | Registered representative | Sep 2009 (17y) | ||
| Richard Allen Gallos | Registered representative | Sep 2009 (17y) | ||
| L Dennis Brokaw | Registered representative | Sep 2009 (17y) | ||
| Jennifer Elise Lewis | Registered representative | Sep 2009 (17y) | ||
| Patrick Carey Owens | Registered representative | Sep 2009 (17y) | ||
| Jennifer Lynn Lee | Registered representative | Sep 2009 (17y) | ||
| William Joseph Molfetto | Registered representative | Sep 2009 (17y) | ||
| Jeffrey Alan Bucci | Registered representative | Sep 2009 (17y) | ||
| Melvin Taylor | Registered representative | Sep 2009 (17y) | ||
| Ryan Andrew Fromm | Registered representative | CFP | Sep 2009 (17y) | |
| Julie M Jones | Registered representative | Sep 2009 (17y) | ||
| Joseph Paul Crispino | Registered representative | Sep 2009 (17y) | ||
| Jared C Slansky | Registered representative | Sep 2009 (17y) | ||
| Tina Tinau Louie | Registered representative | Sep 2009 (17y) | ||
| Todd Christopher Bertrand | Registered representative | Sep 2009 (17y) | ||
| Joseph Francis Bruno | Registered representative | Oct 2009 (17y) | ||
| Patrick William Sherrill | Registered representative | Oct 2009 (17y) | ||
| Kimberly Marie Verini | Registered representative | Oct 2009 (17y) | ||
| Chad Alfred Besegai | Registered representative | CFP | Oct 2009 (17y) | |
| Elizabeth Dutcher Scott | Registered representative | Oct 2009 (17y) | ||
| Thomas M Mohr | Registered representative | Oct 2009 (17y) | ||
| Marc Howard Verner | Registered representative | Oct 2009 (17y) | ||
| Michael Newark | Registered representative | Oct 2009 (17y) | ||
| Amardeep Paul | Registered representative | Oct 2009 (17y) | ||
| Kristopher M Kardos | Registered representative | Oct 2009 (17y) | ||
| Michael Hendricks Urner | Registered representative | Oct 2009 (17y) | ||
| Gerti Beta | Registered representative | Oct 2009 (17y) | ||
| Andrew Thomas Armstrong | Registered representative | Oct 2009 (17y) | ||
| Chad Anthony Falkenstein | Registered representative | Oct 2009 (17y) | ||
| Dirk Leonard Robichaud | Registered representative | Oct 2009 (17y) | ||
| Nathan Dale Metcalf | Registered representative | CFP | Oct 2009 (17y) | |
| Nicole Bonin Meunier | Registered representative | Nov 2009 (17y) | ||
| Tonya Veronica Headrick | Registered representative | Nov 2009 (17y) | ||
| Lesley L Sartin | Registered representative | Nov 2009 (17y) | ||
| Christian Norbert Pfeiffer | Registered representative | CFP | Nov 2009 (17y) | |
| Christopher Robert Reynolds | Registered representative | Nov 2009 (17y) | ||
| James Townsend Tanner | Registered representative | CFP | Nov 2009 (17y) | |
| David B Lando | Registered representative | Nov 2009 (17y) | ||
| Thomas Griffith Wheeler | Registered representative | CFP | Nov 2009 (17y) | |
| Carol Margery Tomensky | Registered representative | Nov 2009 (17y) | ||
| Liza Beth Weldon | Registered representative | Nov 2009 (17y) | ||
| Susan Patti Wiener | Registered representative | CFP | Nov 2009 (17y) | |
| Derek E Jett | Registered representative | CFP | Dec 2009 (17y) | |
| Gregory L Gutierrez | Registered representative | Dec 2009 (17y) | ||
| Babak Seyedain | Registered representative | CFP | Dec 2009 (17y) | |
| Brian Dale | Registered representative | Dec 2009 (17y) | ||
| Jeremy Markowitz | Registered representative | Dec 2009 (17y) | ||
| Joanna Helene Ferguson | Registered representative | Dec 2009 (17y) | ||
| Natalie Kneller | Registered representative | Dec 2009 (17y) | ||
| Ronald Orf | Registered representative | Dec 2009 (17y) | ||
| Sandra Louise Smith | Registered representative | Dec 2009 (17y) | ||
| Sean Grant Morrissey | Registered representative | Dec 2009 (17y) | ||
| Sergio Javier Tello | Registered representative | Dec 2009 (17y) | ||
| Theresa Ann Gartner | Registered representative | Dec 2009 (17y) | ||
| Brian Raymond Nelson | Registered representative | Dec 2009 (17y) | ||
| Thomas Cleary Poindexter | Registered representative | Dec 2009 (17y) | ||
| Peter Joseph Longo | Registered representative | Dec 2009 (17y) | ||
| Connie Martin Pritchard | Registered representative | Dec 2009 (17y) | ||
| Eric Baker Schott | Registered representative | Dec 2009 (17y) | ||
| John Joseph Colcolough | Registered representative | Dec 2009 (17y) | ||
| Nicholas Raymond Champney | Registered representative | Jan 2010 (17y) | ||
| Deborah Sue Kober | Registered representative | Jan 2010 (17y) | ||
| Kenneth Mark Harb | Registered representative | Jan 2010 (17y) | ||
| Michael Joseph C Despres | Registered representative | Jan 2010 (17y) | ||
| Megan Marie Rodriguez | Registered representative | Jan 2010 (17y) | ||
| William Lowe | Registered representative | Jan 2010 (17y) | ||
| Charles Duer Anderson | Registered representative | Jan 2010 (17y) | ||
| Craig Alan Lazar | Registered representative | Jan 2010 (17y) | ||
| Dawn Marie Lee | Registered representative | Jan 2010 (17y) | ||
| Frank David Griffo | Registered representative | Jan 2010 (17y) | ||
| Jason Thomas Bockrath | Registered representative | Jan 2010 (17y) | ||
| Jeffrey Paul Arnott | Registered representative | Jan 2010 (17y) | ||
| Karin Jeanne Lacker Deline | Registered representative | CFP | Jan 2010 (17y) | |
| Laurence David Golden | Registered representative | Jan 2010 (17y) | ||
| Margaret Marie Moore | Registered representative | CFP | Jan 2010 (17y) | |
| Michael E Sherman | Registered representative | CFP | Jan 2010 (17y) | |
| Michele R Simons | Registered representative | Jan 2010 (17y) | ||
| Richard Frank Noethen | Registered representative | Jan 2010 (17y) | ||
| Ross David Poll | Registered representative | CFP | Jan 2010 (17y) | |
| Sherwyn Joel Labovitz | Registered representative | Jan 2010 (17y) | ||
| Susan Poyer Babb | Registered representative | Jan 2010 (17y) | ||
| Tamara S Ciesinski | Registered representative | Jan 2010 (17y) | ||
| Benjamin Douglas Papinaw | Registered representative | Jan 2010 (17y) | ||
| Heather Hunt Ruddy | Registered representative | Jan 2010 (17y) | ||
| James Lewis Rinella | Registered representative | Jan 2010 (17y) | ||
| James Robert Smith | Registered representative | Jan 2010 (17y) | ||
| Jeffrey Blake Sovern | Registered representative | Jan 2010 (17y) | ||
| Kevin Jon Zions | Registered representative | Jan 2010 (17y) | ||
| Mark Daniel Stutzmann | Registered representative | Jan 2010 (17y) | ||
| Mark Thomas Rowley | Registered representative | Jan 2010 (17y) | ||
| David A Long | Registered representative | Jan 2010 (17y) | ||
| David Allen Foster | Registered representative | Jan 2010 (17y) | ||
| David Reza Mehram | Registered representative | Jan 2010 (17y) | ||
| John Charles Dykstra | Registered representative | Jan 2010 (17y) | ||
| Kimberly Stafford Peterson | Registered representative | CFP | Jan 2010 (17y) | |
| Melissa Ellen Watkins | Registered representative | Jan 2010 (17y) | ||
| Olivia M Martin | Registered representative | Jan 2010 (17y) | ||
| Robert H Bishop | Registered representative | Jan 2010 (17y) | ||
| Neil S. Nakamura | Registered representative | Jan 2010 (17y) | ||
| Christopher P Frohn | Registered representative | CFP | Jan 2010 (17y) | |
| Ronald Edward Schroeter | Registered representative | Jan 2010 (17y) | ||
| Heather Gage Brower | Registered representative | Jan 2010 (17y) | ||
| John Warren Martin | Registered representative | Jan 2010 (17y) | ||
| Tracy Ann Henderson | Registered representative | Jan 2010 (17y) | ||
| Karen Carter | Registered representative | Feb 2010 (16y) | ||
| William Earl Etson | Registered representative | Feb 2010 (16y) | ||
| Eric Dean Esau | Registered representative | Feb 2010 (16y) | ||
| Allen Mark Olender | Registered representative | Feb 2010 (16y) | ||
| Elizabeth Jane Baker | Registered representative | Feb 2010 (16y) | ||
| Chelsea Dawn Wells | Registered representative | Feb 2010 (16y) | ||
| Daniel Steven Willey | Registered representative | Feb 2010 (16y) | ||
| William Hunter Brennan | Registered representative | Feb 2010 (16y) | ||
| William K Johnson | Registered representative | Feb 2010 (16y) | ||
| M David Pearlman | Registered representative | Feb 2010 (16y) | ||
| Andrew William Rifkin | Registered representative | Feb 2010 (16y) | ||
| Terry Georgiana Barber | Registered representative | Feb 2010 (16y) | ||
| Kristen L. Haag | Registered representative | Feb 2010 (16y) | ||
| Kathleen Cantley Johnson | Registered representative | Feb 2010 (16y) | ||
| Marc Anthony Fusco | Registered representative | Feb 2010 (16y) | ||
| Michael Carl Moore | Registered representative | Feb 2010 (16y) | ||
| Brenda Lee King | Registered representative | Feb 2010 (16y) | ||
| David Morgan Caudill | Registered representative | Feb 2010 (16y) | ||
| William John Magette | Registered representative | Feb 2010 (16y) | ||
| Andrew Lyon Lees | Registered representative | Mar 2010 (16y) | ||
| Honnie Payne Arnold | Registered representative | CFP | Mar 2010 (16y) | |
| Malphus Timothy Gaines | Registered representative | Mar 2010 (16y) | ||
| Stacy Ferguson Stringer | Registered representative | Mar 2010 (16y) | ||
| Gary L Huddleston | Registered representative | Mar 2010 (16y) | ||
| Robert Henry Rosenberg | Registered representative | Mar 2010 (16y) | ||
| Carlos G Martinez | Registered representative | Mar 2010 (16y) | ||
| Jason Lee Turkin | Registered representative | Mar 2010 (16y) | ||
| Giulio Leone | Registered representative | Mar 2010 (16y) | ||
| Daniel Joseph Schisler | Registered representative | Mar 2010 (16y) | ||
| Andrea Jean Perrone | Registered representative | Mar 2010 (16y) | ||
| Daryl Rene Quarles | Registered representative | Mar 2010 (16y) | ||
| Therese Miller | Registered representative | Mar 2010 (16y) | ||
| Craig Robert Crawley | Registered representative | Mar 2010 (16y) | ||
| Jerrold Arthur Beyer | Registered representative | Mar 2010 (16y) | ||
| Judd Brian Frank | Registered representative | Mar 2010 (16y) | ||
| Peter Vincent Smith | Registered representative | Mar 2010 (16y) | ||
| Robert Laegeler | Registered representative | Mar 2010 (16y) | ||
| Timothy Wayne Barnes | Registered representative | Mar 2010 (16y) | ||
| Christine M Miller | Registered representative | Mar 2010 (16y) | ||
| Joseph D Eubanks | Registered representative | Mar 2010 (16y) | ||
| Mary Colleen Muskewitz | Registered representative | CFP | Mar 2010 (16y) | |
| Matthew Byron Dann | Registered representative | Mar 2010 (16y) | ||
| Rafael A Villavicencio | Registered representative | Mar 2010 (16y) | ||
| Susan Fritsch | Registered representative | Mar 2010 (16y) | ||
| Bryan Roper | Registered representative | Mar 2010 (16y) | ||
| Grant Michael Dircks | Registered representative | Mar 2010 (16y) | ||
| Lara Elizabeth Kien | Registered representative | Mar 2010 (16y) | ||
| Robert Gordon Katz | Registered representative | Mar 2010 (16y) | ||
| Thomas Moore Mccormick | Registered representative | CFP | Mar 2010 (16y) | |
| Andrew Michael Kleine | Registered representative | CFP | Mar 2010 (16y) | |
| Donna Santangelo Cleveland | Registered representative | Mar 2010 (16y) | ||
| Gray Keneston Daus | Registered representative | Mar 2010 (16y) | ||
| Joanne Karen Windas | Registered representative | Mar 2010 (16y) | ||
| Ryan Christopher Wyatt | Registered representative | Mar 2010 (16y) | ||
| Zachary H Tasher | Registered representative | Mar 2010 (16y) | ||
| Roy Daniel Mansberg | Registered representative | Apr 2010 (16y) | ||
| Charles Franklin Thomas | Registered representative | Apr 2010 (16y) | ||
| Thomas Earl Dunaway | Registered representative | Apr 2010 (16y) | ||
| Anthoney Dominic Lograsso | Registered representative | Apr 2010 (16y) | ||
| James Edmond Church | Registered representative | Apr 2010 (16y) | ||
| Mark Michael Caputo | Registered representative | Apr 2010 (16y) | ||
| John Michael Rutski | Registered representative | Apr 2010 (16y) | ||
| Hanane Lemlih | Registered representative | Apr 2010 (16y) | ||
| Lucas William Plese | Registered representative | Apr 2010 (16y) | ||
| Bodo Knochenhauer Jr. | Registered representative | Apr 2010 (16y) | ||
| Drew Robert Conelly | Registered representative | Apr 2010 (16y) | ||
| Joseph Albert Moseley | Registered representative | Apr 2010 (16y) | ||
| Edward Michael Bell | Registered representative | Apr 2010 (16y) | ||
| Greg A Farah | Registered representative | Apr 2010 (16y) | ||
| Michael James Herget | Registered representative | Apr 2010 (16y) | ||
| Mary Elizabeth Collins | Registered representative | Apr 2010 (16y) | ||
| Roy Alan Lamar | Registered representative | Apr 2010 (16y) | ||
| Jahie Earleduard Moore Johnson | Registered representative | Apr 2010 (16y) | ||
| Christopher Michael Carlin | Registered representative | Apr 2010 (16y) | ||
| Edward Leonard Hughes | Registered representative | CFP | Apr 2010 (16y) | |
| Jennifer Bikyu Ng | Registered representative | Apr 2010 (16y) | ||
| Eric Kenneth Schweighart | Registered representative | Apr 2010 (16y) | ||
| Michael August Kroenke | Registered representative | May 2010 (16y) | ||
| Michael Andrew Dowell | Registered representative | May 2010 (16y) | ||
| Danielle Marie Bouharoun | Registered representative | May 2010 (16y) | ||
| James Derek Page | Registered representative | May 2010 (16y) | ||
| Jason Lee Buenger | Registered representative | May 2010 (16y) | ||
| Laura Ann Smith | Registered representative | CFP | May 2010 (16y) | |
| Michael Charles Rothenberg | Registered representative | May 2010 (16y) | ||
| Brian Lee Levinson | Registered representative | May 2010 (16y) | ||
| Brian Eric Schrag | Registered representative | CFP | May 2010 (16y) | |
| Jay Andrew Jensen | Registered representative | May 2010 (16y) | ||
| Wayne Thomas Olivier | Registered representative | May 2010 (16y) | ||
| Carolyn Bowers Crews | Registered representative | May 2010 (16y) | ||
| Lisa Marie Elbert | Registered representative | May 2010 (16y) | ||
| Mark Elias Morales | Registered representative | May 2010 (16y) | ||
| Tanshe Lavern Caldwell | Registered representative | May 2010 (16y) | ||
| Catherine Finegan Hitesman | Registered representative | May 2010 (16y) | ||
| John Robinson Baker | Registered representative | May 2010 (16y) | ||
| Mitchell Eric Mccann | Registered representative | CFP | May 2010 (16y) | |
| William Patrick Cooley | Registered representative | May 2010 (16y) | ||
| Randy Macdonald | Registered representative | Jun 2010 (16y) | ||
| David Jerry Leigh | Registered representative | Jun 2010 (16y) | ||
| Janet Sue Berardino | Registered representative | Jun 2010 (16y) | ||
| Peter John Wollesen | Registered representative | Jun 2010 (16y) | ||
| David Ray Hester | Registered representative | Jun 2010 (16y) | ||
| Mark Mikolajczak | Registered representative | Jun 2010 (16y) | ||
| Matthew Lowe | Registered representative | CFP | Jun 2010 (16y) | |
| Annie Johnson | Registered representative | Jun 2010 (16y) | ||
| Tyler G Jaques | Registered representative | Jun 2010 (16y) | ||
| Brian Garcia | Registered representative | Jun 2010 (16y) | ||
| Jonathan Paul Levin | Registered representative | CFP | Jun 2010 (16y) | |
| Kevin Richard Dailey | Registered representative | Jun 2010 (16y) | ||
| Milton Aponte | Registered representative | Jun 2010 (16y) | ||
| Randy R Swartz | Registered representative | Jun 2010 (16y) | ||
| Jeremiah Francis Mc Namara | Registered representative | Jun 2010 (16y) | ||
| Abraham A Goldberg | Registered representative | Jun 2010 (16y) | ||
| Andrea Marlene Horowitz | Registered representative | Jun 2010 (16y) | ||
| Mitchell Ross Pindus | Registered representative | Jun 2010 (16y) | ||
| Toby Duane Ferner | Registered representative | Jun 2010 (16y) | ||
| Belkis Jemela Knudsvig | Registered representative | Jun 2010 (16y) | ||
| Andrew Leigh Smith | Registered representative | Jun 2010 (16y) | ||
| Matthew John Purrazzella | Registered representative | Jun 2010 (16y) | ||
| Colleen Mary Sparrow | Registered representative | CFP | Jun 2010 (16y) | |
| Stuart Franklin Sakosits | Registered representative | Jul 2010 (16y) | ||
| Kathryn Hallam | Registered representative | CFP | Jul 2010 (16y) | |
| Derrick Brandon Alderman | Registered representative | CFP | Jul 2010 (16y) | |
| Jordan Brooks Faircloth | Registered representative | CFP | Jul 2010 (16y) | |
| Marc Francis Rogers | Registered representative | Jul 2010 (16y) | ||
| Russell Gene Miller | Registered representative | Jul 2010 (16y) | ||
| Colin Guy Fajardo | Registered representative | Jul 2010 (16y) | ||
| Peter Michael Jansen | Registered representative | Jul 2010 (16y) | ||
| Jennifer Aites Guadiz | Registered representative | Jul 2010 (16y) | ||
| Jeremy Alan Blum | Registered representative | Jul 2010 (16y) | ||
| Thomas William Pickett | Registered representative | Jul 2010 (16y) | ||
| Aaron Lee Medema | Registered representative | Jul 2010 (16y) | ||
| Jaime K Mccauley | Registered representative | Jul 2010 (16y) | ||
| Kelley Cierra Lee | Registered representative | Jul 2010 (16y) | ||
| Arthur James Buys | Registered representative | Jul 2010 (16y) | ||
| Jennifer Roberts Harrington | Registered representative | Jul 2010 (16y) | ||
| Lori Ann Elizabeth Argent | Registered representative | Jul 2010 (16y) | ||
| Andrew Bitterlin | Registered representative | Jul 2010 (16y) | ||
| Barbara Kay Winters | Registered representative | Jul 2010 (16y) | ||
| Brian Chandler Deal | Registered representative | Jul 2010 (16y) | ||
| Brian M Beattie | Registered representative | CFP | Aug 2010 (16y) | |
| Cynthia Jean Plackemeier | Registered representative | Aug 2010 (16y) | ||
| George James Mundy | Registered representative | CFP | Aug 2010 (16y) | |
| Jason Russell Voss | Registered representative | Aug 2010 (16y) | ||
| Ryan Alvey | Registered representative | Aug 2010 (16y) | ||
| James K Mcatee | Registered representative | Aug 2010 (16y) | ||
| Jorge Alberto Ordonez | Registered representative | Aug 2010 (16y) | ||
| Josh Barrett | Registered representative | Aug 2010 (16y) | ||
| Kristen Crews Luikens | Registered representative | Aug 2010 (16y) | ||
| Charles Joseph Carroll | Registered representative | Aug 2010 (16y) | ||
| Krista Lauren Goryl | Registered representative | Aug 2010 (16y) | ||
| Reginald W Pineda | Registered representative | Aug 2010 (16y) | ||
| Sascha Boris Milligan | Registered representative | Aug 2010 (16y) | ||
| Vickie Peele Teachey | Registered representative | Aug 2010 (16y) | ||
| Brent Allen Melrath | Registered representative | Aug 2010 (16y) | ||
| Deborah Mandara Kendrick | Registered representative | Aug 2010 (16y) | ||
| Maximilian Lamphier Burton | Registered representative | Aug 2010 (16y) | ||
| Jonathan Robert Goldman | Registered representative | Aug 2010 (16y) | ||
| Jamie Lee Seim | Registered representative | CFP | Aug 2010 (16y) | |
| Michael Francis Mackey | Registered representative | Aug 2010 (16y) | ||
| Thomas Paul Delrosso | Registered representative | CFP | Aug 2010 (16y) | |
| David Lee Kistner | Registered representative | Aug 2010 (16y) | ||
| Deborah Kathleen Viccone Simon | Registered representative | CFP | Aug 2010 (16y) | |
| Larry Richard Copeland | Registered representative | CFP | Aug 2010 (16y) | |
| Leslee Lin Armstrong | Registered representative | Aug 2010 (16y) | ||
| Patrick Michael Healey | Registered representative | CFP | Aug 2010 (16y) | |
| Francene Lynelle Cole | Registered representative | Aug 2010 (16y) | ||
| Christopher Michael Malay | Registered representative | Sep 2010 (16y) | ||
| John Charles Jackle | Registered representative | CFP | Sep 2010 (16y) | |
| Walter Michael Fisher | Registered representative | Sep 2010 (16y) | ||
| Roger Seikwan Toguchi | Registered representative | Sep 2010 (16y) | ||
| Daniel W Smith | Registered representative | Sep 2010 (16y) | ||
| Mark Jesse Bukowski | Registered representative | CFP | Sep 2010 (16y) | |
| Scott Shepherd Richardson | Registered representative | Sep 2010 (16y) | ||
| Stephen G Douglas | Registered representative | Sep 2010 (16y) | ||
| Gregory Paul Cleary | Registered representative | CFP Chartered Financial Consultant | Sep 2010 (16y) | |
| Joseph Michael Mericka | Registered representative | Sep 2010 (16y) | ||
| William Marshall Saunderson | Registered representative | Sep 2010 (16y) | ||
| Brownie Polly | Registered representative | CFP | Sep 2010 (16y) | |
| Roderick Alexander Arias | Registered representative | Sep 2010 (16y) | ||
| Shalene Elise Caldwell | Registered representative | CFP | Sep 2010 (16y) | |
| Robert Morrissey | Registered representative | Sep 2010 (16y) | ||
| Andrea Mary Boerger | Registered representative | Sep 2010 (16y) | ||
| Cristina A Triantos | Registered representative | Sep 2010 (16y) | ||
| Joseph A Carter | Registered representative | Sep 2010 (16y) | ||
| Samuel Lynn Pratt | Registered representative | Sep 2010 (16y) | ||
| Suzanne Louise Lichtman | Registered representative | Sep 2010 (16y) | ||
| Terry Allen George | Registered representative | Sep 2010 (16y) | ||
| Jerice Devon Walker | Registered representative | Sep 2010 (16y) | ||
| Douglas Robert Kahl | Registered representative | Sep 2010 (16y) | ||
| Mark Brownell Thomas | Registered representative | Sep 2010 (16y) | ||
| Michael Jerry Healey | Registered representative | Sep 2010 (16y) | ||
| Rodger Anthony Bastien | Registered representative | Sep 2010 (16y) | ||
| Julie Lynn Wyttenbach | Registered representative | Sep 2010 (16y) | ||
| James Edward Marosi | Registered representative | Sep 2010 (16y) | ||
| Samuel Robert Tapia | Registered representative | Sep 2010 (16y) | ||
| Keith William Van Vreede | Registered representative | Sep 2010 (16y) | ||
| Kevin Michael Vanhaaster | Registered representative | Sep 2010 (16y) | ||
| Anthony George Showich | Registered representative | Sep 2010 (16y) | ||
| Michael Scott Stolowitz | Registered representative | Sep 2010 (16y) | ||
| Michelle Gwen Anderson | Registered representative | Sep 2010 (16y) | ||
| Thomas John Fitchett | Registered representative | Sep 2010 (16y) | ||
| Ann Marie Long | Registered representative | Oct 2010 (16y) | ||
| David Roy Jarman | Registered representative | Oct 2010 (16y) | ||
| Brandon David Blazer | Registered representative | Oct 2010 (16y) | ||
| Lucien Emanuel Philippe | Registered representative | Oct 2010 (16y) | ||
| Mark Patrick Talbott | Registered representative | CFP | Oct 2010 (16y) | |
| Michael Eugene Blunt | Registered representative | Oct 2010 (16y) | ||
| Theresa Anyanwu Ojewuyi | Registered representative | Oct 2010 (16y) | ||
| Matthew Scott Crowder | Registered representative | Oct 2010 (16y) | ||
| John Larhue Mitchell | Registered representative | Oct 2010 (16y) | ||
| Douglas John Stob | Registered representative | Oct 2010 (16y) | ||
| James Kevin Guest | Registered representative | Oct 2010 (16y) | ||
| James Richard Julian | Registered representative | Oct 2010 (16y) | ||
| Joseph Michael Hamo | Registered representative | Oct 2010 (16y) | ||
| Julie Marie Russ | Registered representative | Oct 2010 (16y) | ||
| Melony J Parker | Registered representative | Oct 2010 (16y) | ||
| Michele Ann Strauss | Registered representative | Oct 2010 (16y) | ||
| William Edward Blakeman | Registered representative | Oct 2010 (16y) | ||
| Daniel Paul Kroll | Registered representative | Oct 2010 (16y) | ||
| David Stuart Westphal | Registered representative | CFP | Oct 2010 (16y) | |
| Joann Cheryl Weingartz | Registered representative | Oct 2010 (16y) | ||
| Nicholas Carl Vosovic | Registered representative | Oct 2010 (16y) | ||
| Matthew Todd Michalak | Registered representative | Oct 2010 (16y) | ||
| Michelle Leanne Juri | Registered representative | Oct 2010 (16y) | ||
| Christine Ann Kaminski | Registered representative | Oct 2010 (16y) | ||
| Tony Lee Kinnaird | Registered representative | CFP | Oct 2010 (16y) | |
| Casey Michael Ventrillo | Registered representative | Oct 2010 (16y) | ||
| Kenneth David Marker | Registered representative | Oct 2010 (16y) | ||
| Kimberly Modenbach | Registered representative | Oct 2010 (16y) | ||
| Manuel Epifanio Martinez | Registered representative | Oct 2010 (16y) | ||
| Jonathan Raymond Scalea | Registered representative | Oct 2010 (16y) | ||
| Amy Michelle Birnbaum | Registered representative | Oct 2010 (16y) | ||
| Elizabeth Sullivan Cutshall | Registered representative | Oct 2010 (16y) | ||
| Gregory George Busdicker | Registered representative | Oct 2010 (16y) | ||
| Nathan Douglas Golz | Registered representative | Oct 2010 (16y) | ||
| Alan Dale Kinney | Registered representative | Nov 2010 (16y) | ||
| Jeffrey Kane | Registered representative | CFP | Nov 2010 (16y) | |
| Shawn Arthur Welch | Registered representative | Nov 2010 (16y) | ||
| Gregory D. Velho | Registered representative | Nov 2010 (16y) | ||
| Nicholas Frederick Cicci | Registered representative | Nov 2010 (16y) | ||
| Gary Timothy Bezilla | Registered representative | Nov 2010 (16y) | ||
| Katherine Cuppia Phifer | Registered representative | CFP | Nov 2010 (16y) | |
| John Emery Preston | Registered representative | Nov 2010 (16y) | ||
| Frank I Min Wu | Registered representative | Nov 2010 (16y) | ||
| Gregory Joseph Lee | Registered representative | Nov 2010 (16y) | ||
| Jennifer Marie Owen | Registered representative | Nov 2010 (16y) | ||
| Jeffrey Steven Froshman | Registered representative | CFP | Nov 2010 (16y) | |
| Scott Francis Marshall | Registered representative | Nov 2010 (16y) | ||
| Elizabeth Mary Wolf | Registered representative | CFP | Nov 2010 (16y) | |
| Igor Kipnis | Registered representative | CFP | Nov 2010 (16y) | |
| Jerry Alexander Pinilla | Registered representative | Nov 2010 (16y) | ||
| Charles Nathaniel Goffin | Registered representative | Nov 2010 (16y) | ||
| John Peyton Snead | Registered representative | Nov 2010 (16y) | ||
| Steven Manuel Dines | Registered representative | Nov 2010 (16y) | ||
| Chantell Ballesteros Amezcua | Registered representative | Nov 2010 (16y) | ||
| Patricia Pollock Imbo | Registered representative | Nov 2010 (16y) | ||
| Scott Edward Caldwell | Registered representative | Nov 2010 (16y) | ||
| Gerald Lee Pera | Registered representative | Nov 2010 (16y) | ||
| Nicole Shiree Horton | Registered representative | CFP | Nov 2010 (16y) | |
| Brandon Potter | Registered representative | Nov 2010 (16y) | ||
| Mark Richard Avitabile | Registered representative | Nov 2010 (16y) | ||
| Harry Arthur Huntley | Registered representative | Nov 2010 (16y) | ||
| Jane Williamson Smith | Registered representative | Nov 2010 (16y) | ||
| John Paul Robinson | Registered representative | Nov 2010 (16y) | ||
| Laurie Anne Edwards | Registered representative | Nov 2010 (16y) | ||
| George Henry Andrews | Registered representative | Nov 2010 (16y) | ||
| Stephanie Renee Hoffman | Registered representative | Nov 2010 (16y) | ||
| Lee Albert Hernquist | Registered representative | Dec 2010 (16y) | ||
| Evan Herring | Registered representative | Dec 2010 (16y) | ||
| Mark Nunez Garcia | Registered representative | Dec 2010 (16y) | ||
| Terry Lee Knott | Registered representative | Dec 2010 (16y) | ||
| Patrick Thomas Lopker | Registered representative | Dec 2010 (16y) | ||
| Stacey Elizabeth Polito | Registered representative | Dec 2010 (16y) | ||
| Jane Hacskaylo Donner | Registered representative | Dec 2010 (16y) | ||
| Justin H Schappe | Registered representative | Dec 2010 (16y) | ||
| Mark Patrick Hines | Registered representative | Dec 2010 (16y) | ||
| Laureen Kehrli Nichols | Registered representative | Dec 2010 (16y) | ||
| Justin David Dicken | Registered representative | Dec 2010 (16y) | ||
| Karen S Warde | Registered representative | Dec 2010 (16y) | ||
| Michelle Lynne Reynolds | Registered representative | Dec 2010 (16y) | ||
| Karen Leslie Wagner | Registered representative | Dec 2010 (16y) | ||
| Kurt Simeon Eftikides | Registered representative | Dec 2010 (16y) | ||
| Melody Diane Bourne Jackson | Registered representative | Dec 2010 (16y) | ||
| Michelle Lynn Harris | Registered representative | Dec 2010 (16y) | ||
| Scott M Lauritzen | Registered representative | Dec 2010 (16y) | ||
| Gwendolyn Rachelle Flees | Registered representative | Dec 2010 (16y) | ||
| Jenny Joy Budzeak | Registered representative | Dec 2010 (16y) | ||
| Robert Allen Mednick | Registered representative | Dec 2010 (16y) | ||
| Miguel Angel Zayas | Registered representative | Dec 2010 (16y) | ||
| Irmina Borre | Registered representative | Jan 2011 (16y) | ||
| John Reginald Roxas | Registered representative | Jan 2011 (16y) | ||
| Aaron Joseph Massey | Registered representative | Jan 2011 (16y) | ||
| Aaron Michael Lindeman | Registered representative | Jan 2011 (16y) | ||
| Aaron Scott Thatcher | Registered representative | Jan 2011 (16y) | ||
| Aaron Shawn Dykstra | Registered representative | Jan 2011 (16y) | ||
| Abbey Lauren Borbon | Registered representative | Jan 2011 (16y) | ||
| Adam Ira Dveris | Registered representative | Jan 2011 (16y) | ||
| Adam Scott Hosfield | Registered representative | Jan 2011 (16y) | ||
| Ai Leng Goh | Registered representative | Jan 2011 (16y) | ||
| Aimee J Mckone | Registered representative | Jan 2011 (16y) | ||
| Albert S Barcia | Registered representative | Jan 2011 (16y) | ||
| Aleisha F. Lucas | Registered representative | Jan 2011 (16y) | ||
| Alejandro Calvillo Vargas | Registered representative | Jan 2011 (16y) | ||
| Alex Ganapolsky | Registered representative | Jan 2011 (16y) | ||
| Alexander G Joannides | Registered representative | Jan 2011 (16y) | ||
| Alexis Aylor | Registered representative | Jan 2011 (16y) | ||
| Alfonso Garcia | Registered representative | Jan 2011 (16y) | ||
| Alison Macneish Almazan | Registered representative | Jan 2011 (16y) | ||
| Alissa A. Lee | Registered representative | Jan 2011 (16y) | ||
| Allen Cheng Tsai | Registered representative | Jan 2011 (16y) | ||
| Amanda Lynn Carney | Registered representative | Jan 2011 (16y) | ||
| Amber R Bell | Registered representative | Jan 2011 (16y) | ||
| Amy Elizabeth Marth | Registered representative | Jan 2011 (16y) | ||
| Amy Michelle Thompson | Registered representative | Jan 2011 (16y) | ||
| Andrea Michelle James | Registered representative | CFP | Jan 2011 (16y) | |
| Andreas J Kuehle | Registered representative | Jan 2011 (16y) | ||
| Andrew Dexter Peterson | Registered representative | Jan 2011 (16y) | ||
| Andrew Joel Lundeen | Registered representative | Jan 2011 (16y) | ||
| Andrew Michael Podolske | Registered representative | Jan 2011 (16y) | ||
| Andrew Morse Beebe | Registered representative | Jan 2011 (16y) | ||
| Andrew Walter Orr | Registered representative | Jan 2011 (16y) | ||
| Andrey Vladimirovich Shchegolev | Registered representative | CFA | Jan 2011 (16y) | |
| Angela Michelle Bohn | Registered representative | Jan 2011 (16y) | ||
| Angela Pietra Tarara | Registered representative | Jan 2011 (16y) | ||
| Angus Elder Dillon | Registered representative | Jan 2011 (16y) | ||
| Anita Rafie | Registered representative | Jan 2011 (16y) | ||
| Ann Louise Barrus | Registered representative | Jan 2011 (16y) | ||
| Anna Anh Tu | Registered representative | Jan 2011 (16y) | ||
| Annalisa Yip Chan | Registered representative | Jan 2011 (16y) | ||
| Anthony Allen Payne | Registered representative | Jan 2011 (16y) | ||
| Anthony James Burgard | Registered representative | CFP | Jan 2011 (16y) | |
| Anthony Robert Nakata | Registered representative | Jan 2011 (16y) | ||
| Anthony Sean Morris | Registered representative | Jan 2011 (16y) | ||
| Arifa Forbes | Registered representative | Jan 2011 (16y) | ||
| Barbara Ann Erickson | Registered representative | Jan 2011 (16y) | ||
| Bart Gilbert Smith | Registered representative | Jan 2011 (16y) | ||
| Benjamin Callahan | Registered representative | Jan 2011 (16y) | ||
| Benjamin Duane Eickhoff | Registered representative | Jan 2011 (16y) | ||
| Benjamin Kyu Won Lee | Registered representative | Jan 2011 (16y) | ||
| Beth Christine Williams | Registered representative | Jan 2011 (16y) | ||
| Betsy Jane Rhone | Registered representative | Jan 2011 (16y) | ||
| Bobbi Colvin Duffle | Registered representative | Jan 2011 (16y) | ||
| Bradley Gene Bell | Registered representative | Jan 2011 (16y) | ||
| Bradley Guy Grayson | Registered representative | Jan 2011 (16y) | ||
| Brandi Mishelle Reynolds | Registered representative | Jan 2011 (16y) | ||
| Brandon Bernard Karasek | Registered representative | Jan 2011 (16y) | ||
| Brandon David Minovitz | Registered representative | Jan 2011 (16y) | ||
| Brandon Jay Sargent | Registered representative | Jan 2011 (16y) | ||
| Brandon Victor Kling | Registered representative | Jan 2011 (16y) | ||
| Brandy Lynn Bailey | Registered representative | Jan 2011 (16y) | ||
| Brenda G Cazares | Registered representative | Jan 2011 (16y) | ||
| Brenda Tanedo Osborne | Registered representative | Jan 2011 (16y) | ||
| Brett Averit Bellcase | Registered representative | Jan 2011 (16y) | ||
| Brett Lee Piper | Registered representative | Jan 2011 (16y) | ||
| Brett Robert Fenske | Registered representative | Jan 2011 (16y) | ||
| Brett Roger Klang | Registered representative | Jan 2011 (16y) | ||
| Brian Bernard Davis | Registered representative | Jan 2011 (16y) | ||
| Brian David Thompson | Registered representative | Jan 2011 (16y) | ||
| Brian J Jameson | Registered representative | Jan 2011 (16y) | ||
| Brian James Stock | Registered representative | Jan 2011 (16y) | ||
| Brian Jens Firring | Registered representative | Jan 2011 (16y) | ||
| Brian Patrick Carey | Registered representative | Jan 2011 (16y) | ||
| Brian Todd Richardson | Registered representative | Jan 2011 (16y) | ||
| Bruce Alfred D'agostini | Registered representative | Jan 2011 (16y) | ||
| Bruce Rawle Ringkob | Registered representative | Jan 2011 (16y) | ||
| Bryan Karl Raymond | Registered representative | Jan 2011 (16y) | ||
| Caleb Edward Williams | Registered representative | Jan 2011 (16y) | ||
| Carl Lloyd Hartson | Registered representative | Jan 2011 (16y) | ||
| Carla Maria Barron | Registered representative | Jan 2011 (16y) | ||
| Carol Craddock Jordan | Registered representative | Jan 2011 (16y) | ||
| Carol Jean Breeser | Registered representative | Jan 2011 (16y) | ||
| Carol M Lewis | Registered representative | Jan 2011 (16y) | ||
| Carrie J O'neill | Registered representative | Jan 2011 (16y) | ||
| Catherine Marie Floss | Registered representative | Jan 2011 (16y) | ||
| Catherine Tang | Registered representative | Jan 2011 (16y) | ||
| Cecilia I Ward | Registered representative | Jan 2011 (16y) | ||
| Chad Lamont Glessman | Registered representative | Jan 2011 (16y) | ||
| Charles Jerry Lewis | Registered representative | CFP | Jan 2011 (16y) | |
| Cheri Anne Davis | Registered representative | Jan 2011 (16y) | ||
| Christie E Jones Popour | Registered representative | CFP | Jan 2011 (16y) | |
| Christin Ann Aldridge | Registered representative | Jan 2011 (16y) | ||
| Christina Elizabeth Diercks | Registered representative | Jan 2011 (16y) | ||
| Christina Maria Crawford | Registered representative | Jan 2011 (16y) | ||
| Christine K Aronoff | Registered representative | Jan 2011 (16y) | ||
| Christine Lukman Hermosillo | Registered representative | Jan 2011 (16y) | ||
| Christopher Erik Hall | Registered representative | Jan 2011 (16y) | ||
| Christopher Eugene Ferre | Registered representative | Jan 2011 (16y) | ||
| Christopher John Lewis | Registered representative | Jan 2011 (16y) | ||
| Christopher John Ohnstad | Registered representative | CFP | Jan 2011 (16y) | |
| Christopher Layne Miles | Registered representative | Jan 2011 (16y) | ||
| Christopher Lorenzen Jackson | Registered representative | Jan 2011 (16y) | ||
| Christopher Michael Kovarik | Registered representative | Jan 2011 (16y) | ||
| Christopher Robert Hager | Registered representative | Chartered Financial Consultant | Jan 2011 (16y) | |
| Chu Yi Hsu | Registered representative | Jan 2011 (16y) | ||
| Cindy Diep Tang | Registered representative | Jan 2011 (16y) | ||
| Cindy L Meyer | Registered representative | Jan 2011 (16y) | ||
| Cindy Louise Gray | Registered representative | Jan 2011 (16y) | ||
| Claire Elizabeth Oshima | Registered representative | Jan 2011 (16y) | ||
| Claire Malia Horton | Registered representative | Jan 2011 (16y) | ||
| Clark Burton Bishop | Registered representative | Jan 2011 (16y) | ||
| Cody Richard Dial | Registered representative | Jan 2011 (16y) | ||
| Coiece Cornelius Pyle | Registered representative | Jan 2011 (16y) | ||
| Colleen Mary Orourke | Registered representative | Jan 2011 (16y) | ||
| Connie Jean Gambatese | Registered representative | Jan 2011 (16y) | ||
| Constance Sugimoto | Registered representative | Jan 2011 (16y) | ||
| Cory Michael Bruce | Registered representative | Jan 2011 (16y) | ||
| Craig Alan Johnson | Registered representative | Jan 2011 (16y) | ||
| Craig Allen Luchinetti | Registered representative | Jan 2011 (16y) | ||
| Craig Angus Mccrindle | Registered representative | Jan 2011 (16y) | ||
| Craig Edward Hunter | Registered representative | Jan 2011 (16y) | ||
| Craig M Schmidt | Registered representative | Jan 2011 (16y) | ||
| Craig Michael Solenzio | Registered representative | Jan 2011 (16y) | ||
| Craig Robert Lang | Registered representative | Jan 2011 (16y) | ||
| Cuong T Oum | Registered representative | Jan 2011 (16y) | ||
| Curtis A. Ko | Registered representative | Jan 2011 (16y) | ||
| Curtis Andrew Roberts | Registered representative | Jan 2011 (16y) | ||
| Curtis Forrest Johns | Registered representative | Jan 2011 (16y) | ||
| Cynthia Ann Timmons | Registered representative | Jan 2011 (16y) | ||
| Cynthia Edna Mchenry | Registered representative | Jan 2011 (16y) | ||
| Dale Keith Lawrence | Registered representative | Jan 2011 (16y) | ||
| Dana Ashley Stewart | Registered representative | Jan 2011 (16y) | ||
| Dana Marie Duke Williams | Registered representative | Jan 2011 (16y) | ||
| Daniel Aaron Hackman | Registered representative | CFP | Jan 2011 (16y) | |
| Daniel Brian Vetter | Registered representative | CFP | Jan 2011 (16y) | |
| Daniel Dustin La Page | Registered representative | Jan 2011 (16y) | ||
| Daniel J Roark | Registered representative | Jan 2011 (16y) | ||
| Daniel John Davis | Registered representative | Jan 2011 (16y) | ||
| Daniel Joseph Ayala | Registered representative | Jan 2011 (16y) | ||
| Daniel Joseph Bigaouette | Registered representative | Jan 2011 (16y) | ||
| Daniel Joseph Luddy | Registered representative | Jan 2011 (16y) | ||
| Daniel Lee Grampp | Registered representative | CFP | Jan 2011 (16y) | |
| Daniel Michael Hannan | Registered representative | Chartered Financial Consultant | Jan 2011 (16y) | |
| Daniel Robert Golik | Registered representative | Jan 2011 (16y) | ||
| Daniel Roy Owens | Registered representative | Jan 2011 (16y) | ||
| Danielle Maree Thompson | Registered representative | Jan 2011 (16y) | ||
| Darin Shane Dewsnup | Registered representative | Jan 2011 (16y) | ||
| Darrell Brian Hesford | Registered representative | Jan 2011 (16y) | ||
| Darwin Dale Wisener | Registered representative | Jan 2011 (16y) | ||
| Daryl Kenneth Cisson | Registered representative | Jan 2011 (16y) | ||
| David Alan Borenstein | Registered representative | Jan 2011 (16y) | ||
| David Alan Horvath | Registered representative | Jan 2011 (16y) | ||
| David Alan Stevens | Registered representative | Jan 2011 (16y) | ||
| David Alvarez | Registered representative | Jan 2011 (16y) | ||
| David Anthony Cherbak | Registered representative | Jan 2011 (16y) | ||
| David Anthony Galluccio | Registered representative | Jan 2011 (16y) | ||
| David Anthony Gonzalez | Registered representative | Jan 2011 (16y) | ||
| David Christopher Sipe | Registered representative | CFP | Jan 2011 (16y) | |
| David Craig Chatham | Registered representative | Jan 2011 (16y) | ||
| David Eugene Nesbit | Registered representative | Jan 2011 (16y) | ||
| David Hugh Fisher | Registered representative | Jan 2011 (16y) | ||
| David James Bogart | Registered representative | Jan 2011 (16y) | ||
| David Joseph Viger | Registered representative | CFA | Jan 2011 (16y) | |
| David Ken Kakuda | Registered representative | Jan 2011 (16y) | ||
| David Kirk Larkin | Registered representative | Jan 2011 (16y) | ||
| David Paul Mills | Registered representative | Jan 2011 (16y) | ||
| David Stuart Reed | Registered representative | Jan 2011 (16y) | ||
| Dean Scott Adelman | Registered representative | Jan 2011 (16y) | ||
| Deborah Marie Rowell | Registered representative | Jan 2011 (16y) | ||
| Debra Irene Alberto | Registered representative | CFP | Jan 2011 (16y) | |
| Debra Joan Bruce | Registered representative | Jan 2011 (16y) | ||
| Debra Lindsey Jones | Registered representative | Jan 2011 (16y) | ||
| Delsin Dai Ling Ho | Registered representative | Jan 2011 (16y) | ||
| Denice Mary Achen | Registered representative | Jan 2011 (16y) | ||
| Denis Alier Valle | Registered representative | Jan 2011 (16y) | ||
| Denise Elizabeth Arrington | Registered representative | Jan 2011 (16y) | ||
| Denise Joye Johnson | Registered representative | Jan 2011 (16y) | ||
| Derrick Dale Young | Registered representative | CFP | Jan 2011 (16y) | |
| Desiree Dawn Bunch | Registered representative | Jan 2011 (16y) | ||
| Diann Rebecca Robinson | Registered representative | Jan 2011 (16y) | ||
| Dirk Allen Taylor | Registered representative | Jan 2011 (16y) | ||
| Donald Joey Ravens Miraglia | Registered representative | Jan 2011 (16y) | ||
| Donald Joseph Turk | Registered representative | Jan 2011 (16y) | ||
| Donna Teruko Saiki | Registered representative | Jan 2011 (16y) | ||
| Douglas Neubrand | Registered representative | Jan 2011 (16y) | ||
| Douglas Scott Janzig | Registered representative | Jan 2011 (16y) | ||
| Duane Scott Bogie | Registered representative | Jan 2011 (16y) | ||
| Dusti Leigh Audsley | Registered representative | Jan 2011 (16y) | ||
| Dustin Elo | Registered representative | CFP | Jan 2011 (16y) | |
| Dustin Nhu Dang | Registered representative | Jan 2011 (16y) | ||
| Edward Andrew Drake | Registered representative | Jan 2011 (16y) | ||
| Edward Joseph Brezenski | Registered representative | CFP | Jan 2011 (16y) | |
| Eileen Marie Reed | Registered representative | Jan 2011 (16y) | ||
| Elizabeth Karen Geesin | Registered representative | Jan 2011 (16y) | ||
| Elizabeth Rene Sandoval | Registered representative | Jan 2011 (16y) | ||
| Elliot Hsiao Chang | Registered representative | Jan 2011 (16y) | ||
| Eric Laurence Sandvall | Registered representative | Jan 2011 (16y) | ||
| Eric Lee Lindquist | Registered representative | Jan 2011 (16y) | ||
| Eric M Stuart | Registered representative | Jan 2011 (16y) | ||
| Eric Netjes | Registered representative | Jan 2011 (16y) | ||
| Eric W Lord | Registered representative | Jan 2011 (16y) | ||
| Eric William Bickenbach | Registered representative | CFP | Jan 2011 (16y) | |
| Farnaz Sharifian | Registered representative | Jan 2011 (16y) | ||
| Francis Albert Reinhard | Registered representative | Jan 2011 (16y) | ||
| Frederick Joseph Stewart | Registered representative | Jan 2011 (16y) | ||
| Gabriel Ross Andrews | Registered representative | Jan 2011 (16y) | ||
| Gary Songhaw Chiang | Registered representative | Jan 2011 (16y) | ||
| Gaylord Ilaban Gomez | Registered representative | Jan 2011 (16y) | ||
| Geoffrey Ralph Mizrahi | Registered representative | CFP | Jan 2011 (16y) | |
| George Michael Rooker | Registered representative | Jan 2011 (16y) | ||
| George Noel Perez | Registered representative | Jan 2011 (16y) | ||
| Gerald Michael Boyle | Registered representative | Jan 2011 (16y) | ||
| Gonzalo Ochoa | Registered representative | Jan 2011 (16y) | ||
| Gordon Stuart Brazington | Registered representative | CFP | Jan 2011 (16y) | |
| Gracelyn Dino Root | Registered representative | Jan 2011 (16y) | ||
| Gregory Clyde Rudd | Registered representative | Jan 2011 (16y) | ||
| Gregory Gary Mccormac | Registered representative | Jan 2011 (16y) | ||
| Gregory Joseph Anderson | Registered representative | Jan 2011 (16y) | ||
| Gregory Lee Anthis | Registered representative | Jan 2011 (16y) | ||
| Gregory William Zanolli | Registered representative | Jan 2011 (16y) | ||
| Gretchen Lynn Mcdowell | Registered representative | Jan 2011 (16y) | ||
| Guy Albert Thaller | Registered representative | Jan 2011 (16y) | ||
| Han N. Kim | Registered representative | Jan 2011 (16y) | ||
| Hans Paul Hummel | Registered representative | Jan 2011 (16y) | ||
| Hao Van Hoang | Registered representative | Jan 2011 (16y) | ||
| Harley David Bohrman | Registered representative | Jan 2011 (16y) | ||
| Harold John Hendricks | Registered representative | CFP | Jan 2011 (16y) | |
| Hassan Hadjilou | Registered representative | Jan 2011 (16y) | ||
| Heath R Rylance | Registered representative | Jan 2011 (16y) | ||
| Heather Cecilia Gordon | Registered representative | Jan 2011 (16y) | ||
| Heather Hill Mootz | Registered representative | Jan 2011 (16y) | ||
| Heidi Anne Blyton | Registered representative | Jan 2011 (16y) | ||
| Heriberto Rodriguez Rojo | Registered representative | Jan 2011 (16y) | ||
| Hilda Naghashian | Registered representative | Jan 2011 (16y) | ||
| Holden Ritter | Registered representative | Jan 2011 (16y) | ||
| Hong Leang Taing | Registered representative | Jan 2011 (16y) | ||
| Hong Ying Chan | Registered representative | Jan 2011 (16y) | ||
| Hoor K Bhavnani | Registered representative | Jan 2011 (16y) | ||
| Horacio Angel Choi | Registered representative | CFP | Jan 2011 (16y) | |
| I Chen Le | Registered representative | CFP | Jan 2011 (16y) | |
| Ian Vaughn Scheerer | Registered representative | Jan 2011 (16y) | ||
| Ian Willard Goertz | Registered representative | Jan 2011 (16y) | ||
| Ibrahim Issa Abboud | Registered representative | Jan 2011 (16y) | ||
| Irina Bykova | Registered representative | Jan 2011 (16y) | ||
| Isabel G Gonzalez | Registered representative | Jan 2011 (16y) | ||
| Issac Fernando Orozco | Registered representative | Jan 2011 (16y) | ||
| Ivan Sommadosi Wilton | Registered representative | Jan 2011 (16y) | ||
| Ivy H. Luu | Registered representative | Jan 2011 (16y) | ||
| Jacob Anthony Rios | Registered representative | Jan 2011 (16y) | ||
| Jacob Jeremiah Johnson | Registered representative | Jan 2011 (16y) | ||
| Jacqueline Vaughn Mjolhus | Registered representative | Jan 2011 (16y) | ||
| Jacquelyn Jacobs Gallo | Registered representative | Jan 2011 (16y) | ||
| James Anton Mcgarry | Registered representative | Jan 2011 (16y) | ||
| James Bradford Benke | Registered representative | Jan 2011 (16y) | ||
| James Dale Mccabe | Registered representative | Jan 2011 (16y) | ||
| James Francis Dwyer | Registered representative | CFP | Jan 2011 (16y) | |
| James Martin Kemp | Registered representative | Jan 2011 (16y) | ||
| James Robert Lauer | Registered representative | Jan 2011 (16y) | ||
| James Rollen Monroe | Registered representative | Jan 2011 (16y) | ||
| James Thomas Griffin | Registered representative | CFP | Jan 2011 (16y) | |
| James Tracy Richards | Registered representative | Jan 2011 (16y) | ||
| Janell Daquilante Akers | Registered representative | Jan 2011 (16y) | ||
| Janelle Lorenz | Registered representative | Jan 2011 (16y) | ||
| Janet L Wiesen | Registered representative | Jan 2011 (16y) | ||
| Janice K. Tymesen | Registered representative | CFP | Jan 2011 (16y) | |
| Jarrid Shane Hicks | Registered representative | Jan 2011 (16y) | ||
| Jason Alan Sinning | Registered representative | CFP | Jan 2011 (16y) | |
| Jason Anthony Exley | Registered representative | Jan 2011 (16y) | ||
| Jason Bruce Thompson | Registered representative | Jan 2011 (16y) | ||
| Jason C. Thai | Registered representative | Jan 2011 (16y) | ||
| Jason John Minor | Registered representative | CFP | Jan 2011 (16y) | |
| Jason Lee Rice | Registered representative | CFP | Jan 2011 (16y) | |
| Jason Mclean Hurley | Registered representative | Jan 2011 (16y) | ||
| Jason Michael Fredrickson | Registered representative | Jan 2011 (16y) | ||
| Jason Michael Pickett | Registered representative | Jan 2011 (16y) | ||
| Jason Thomas Ogle | Registered representative | Jan 2011 (16y) | ||
| Jason William Price | Registered representative | Jan 2011 (16y) | ||
| Jay Edward Haley | Registered representative | CFP | Jan 2011 (16y) | |
| Jean Elizabeth Adams | Registered representative | CFP | Jan 2011 (16y) | |
| Jean Fan Ning | Registered representative | Jan 2011 (16y) | ||
| Jeanene Marie Wildes | Registered representative | Jan 2011 (16y) | ||
| Jeanette A De Bray | Registered representative | Jan 2011 (16y) | ||
| Jeff Richard Koester | Registered representative | Jan 2011 (16y) | ||
| Jeffery Harold Wurst | Registered representative | Jan 2011 (16y) | ||
| Jeffery Ward Frum | Registered representative | Jan 2011 (16y) | ||
| Jeffrey Boyd Hurst | Registered representative | Jan 2011 (16y) | ||
| Jeffrey David Gery | Registered representative | Jan 2011 (16y) | ||
| Jeffrey Gil Park | Registered representative | CFP | Jan 2011 (16y) | |
| Jeffrey Harris Reichwald | Registered representative | Jan 2011 (16y) | ||
| Jeffrey Jay Monson | Registered representative | CFP | Jan 2011 (16y) | |
| Jeffrey John Di Bono | Registered representative | Jan 2011 (16y) | ||
| Jeffrey Lee Wong | Registered representative | Jan 2011 (16y) | ||
| Jeffrey Marshall Smith | Registered representative | CFP | Jan 2011 (16y) | |
| Jeffrey Ronald Germain | Registered representative | Jan 2011 (16y) | ||
| Jeffrey Scott Thomas | Registered representative | Jan 2011 (16y) | ||
| Jeffrey Theodore Cook | Registered representative | Jan 2011 (16y) | ||
| Jeffrey William Blewett | Registered representative | CFP | Jan 2011 (16y) | |
| Jenifer Moore | Registered representative | Jan 2011 (16y) | ||
| Jennifer Day Heidel | Registered representative | Chartered Financial Consultant | Jan 2011 (16y) | |
| Jennifer L Meneshian | Registered representative | Jan 2011 (16y) | ||
| Jennifer Lee Hicks | Registered representative | Jan 2011 (16y) | ||
| Jennifer Lynn Novotny | Registered representative | Jan 2011 (16y) | ||
| Jennifer Weeks Armstrong | Registered representative | Jan 2011 (16y) | ||
| Jenny J Han | Registered representative | Jan 2011 (16y) | ||
| Jeremy Hayden Mesches | Registered representative | Jan 2011 (16y) | ||
| Jeremy Kirk Larson | Registered representative | Jan 2011 (16y) | ||
| Jesse Colin Cregan | Registered representative | Jan 2011 (16y) | ||
| Jesse Gonzales | Registered representative | Jan 2011 (16y) | ||
| Jessica Irene Mccullough | Registered representative | Jan 2011 (16y) | ||
| Jessica Michelle Delany | Registered representative | Jan 2011 (16y) | ||
| Joel A Swogger | Registered representative | Jan 2011 (16y) | ||
| Joel Kenneth Greenblum | Registered representative | Jan 2011 (16y) | ||
| Joel Orozco | Registered representative | Jan 2011 (16y) | ||
| Joel Stuart Andell | Registered representative | Jan 2011 (16y) | ||
| Joey E Bronson | Registered representative | Jan 2011 (16y) | ||
| John A Chauvapun | Registered representative | Jan 2011 (16y) | ||
| John Allan Gamblin | Registered representative | CFP | Jan 2011 (16y) | |
| John Arlan Woods | Registered representative | Jan 2011 (16y) | ||
| John Christian Weidner | Registered representative | Jan 2011 (16y) | ||
| John Daniel Blasewitz | Registered representative | Jan 2011 (16y) | ||
| John Dexter Nash | Registered representative | Jan 2011 (16y) | ||
| John Everett Wingate | Registered representative | Jan 2011 (16y) | ||
| John Joseph Schutz | Registered representative | Jan 2011 (16y) | ||
| John Lawrence Arch | Registered representative | CFP | Jan 2011 (16y) | |
| John M Hall | Registered representative | Jan 2011 (16y) | ||
| John Michael Sheehan | Registered representative | Jan 2011 (16y) | ||
| John Oscar Gailey | Registered representative | Jan 2011 (16y) | ||
| John Richard Germany | Registered representative | Jan 2011 (16y) | ||
| John Ryan Whittingham | Registered representative | Jan 2011 (16y) | ||
| John Samuel Milia | Registered representative | CFP | Jan 2011 (16y) | |
| John Travis Funk | Registered representative | CFP | Jan 2011 (16y) | |
| Jon Palmer Brown | Registered representative | Jan 2011 (16y) | ||
| Jonathan Goldstone | Registered representative | Jan 2011 (16y) | ||
| Jonathan Larson Van Sickle | Registered representative | Jan 2011 (16y) | ||
| Jonathan Lee Oliva | Registered representative | Jan 2011 (16y) | ||
| Jonathan Michael Melde | Registered representative | Jan 2011 (16y) | ||
| Jorge Luis Cabrera | Registered representative | Jan 2011 (16y) | ||
| Joseph Carlyle Frank | Registered representative | Jan 2011 (16y) | ||
| Joseph Dee Andelin | Registered representative | Jan 2011 (16y) | ||
| Joseph Floyd White | Registered representative | CFP | Jan 2011 (16y) | |
| Joseph Francis Nelson | Registered representative | Jan 2011 (16y) | ||
| Joseph Mcdonnell | Registered representative | Jan 2011 (16y) | ||
| Joseph Peter Bachop | Registered representative | CFP | Jan 2011 (16y) | |
| Joseph Platon Abad | Registered representative | Jan 2011 (16y) | ||
| Joseph William Chambers | Registered representative | Jan 2011 (16y) | ||
| Joshua A Bruns | Registered representative | Jan 2011 (16y) | ||
| Joshua Dennis Petersen | Registered representative | Jan 2011 (16y) | ||
| Joshua Michael Bradley | Registered representative | Jan 2011 (16y) | ||
| Joshua Seth Martin | Registered representative | Jan 2011 (16y) | ||
| Joy Ezinwa Ogbunamiri | Registered representative | Jan 2011 (16y) | ||
| Jude D Jeannis | Registered representative | Jan 2011 (16y) | ||
| Judy Mak | Registered representative | Jan 2011 (16y) | ||
| Judy Zeng Wang | Registered representative | CFP | Jan 2011 (16y) | |
| Julia I. Keltz | Registered representative | Jan 2011 (16y) | ||
| Julia Isabella Hamon | Registered representative | Jan 2011 (16y) | ||
| Julie Ann Patin | Registered representative | Jan 2011 (16y) | ||
| Julie Chi Ching Chen Tung | Registered representative | Jan 2011 (16y) | ||
| Justin Jay Antonides | Registered representative | Jan 2011 (16y) | ||
| Justin Joseph Jacobs | Registered representative | Jan 2011 (16y) | ||
| Justin Michael Costley | Registered representative | Jan 2011 (16y) | ||
| Justin Paul Mace | Registered representative | Jan 2011 (16y) | ||
| Justin Scot Adams | Registered representative | Jan 2011 (16y) | ||
| Kamini Davi Dasrath | Registered representative | Jan 2011 (16y) | ||
| Karen Evans Miller | Registered representative | Jan 2011 (16y) | ||
| Karina Schoenenberger Casini | Registered representative | Jan 2011 (16y) | ||
| Kathleen Pires Swan | Registered representative | Jan 2011 (16y) | ||
| Kathryn Garl Romanczuk | Registered representative | Jan 2011 (16y) | ||
| Kathy T David | Registered representative | Jan 2011 (16y) | ||
| Kelly Annette Rosenbush | Registered representative | Jan 2011 (16y) | ||
| Kelly Dawn Haferman | Registered representative | Jan 2011 (16y) | ||
| Kelly Suzanne James | Registered representative | Jan 2011 (16y) | ||
| Kelly Thomas Ryan | Registered representative | Jan 2011 (16y) | ||
| Ken Quoc Nguyen | Registered representative | Jan 2011 (16y) | ||
| Ken Scott Chastain | Registered representative | Jan 2011 (16y) | ||
| Kenneth Edward Shaw | Registered representative | Jan 2011 (16y) | ||
| Kenneth Lee Robinowitz | Registered representative | Jan 2011 (16y) | ||
| Kenneth Neil Haas | Registered representative | Jan 2011 (16y) | ||
| Kenneth Stewart Ganz | Registered representative | Jan 2011 (16y) | ||
| Kenny Steve Merlo | Registered representative | Jan 2011 (16y) | ||
| Kerrick Wayne Pearson | Registered representative | Jan 2011 (16y) | ||
| Kevin Andrew Scott | Registered representative | CFP | Jan 2011 (16y) | |
| Kevin Cheng | Registered representative | Jan 2011 (16y) | ||
| Kevin Craig Dodson | Registered representative | Jan 2011 (16y) | ||
| Kevin Francis O'regan | Registered representative | Jan 2011 (16y) | ||
| Kevin Gordon Warren | Registered representative | CFP | Jan 2011 (16y) | |
| Kevin Matthew Wieczorek | Registered representative | Jan 2011 (16y) | ||
| Kevin Michael Dicianna | Registered representative | Jan 2011 (16y) | ||
| Kevin Michael Kuenster | Registered representative | CFP | Jan 2011 (16y) | |
| Kevin Robert Loberg | Registered representative | Jan 2011 (16y) | ||
| Khankeo Campbell | Registered representative | CFP | Jan 2011 (16y) | |
| Kim Aliee Prinzing | Registered representative | Jan 2011 (16y) | ||
| Kimberly Ann Fisher | Registered representative | Jan 2011 (16y) | ||
| Kimberly Michelle Hunter | Registered representative | Jan 2011 (16y) | ||
| Kory Raydon Wall | Registered representative | Jan 2011 (16y) | ||
| Kristiana Kay Snippen | Registered representative | Jan 2011 (16y) | ||
| Kristin Ann Tangen | Registered representative | Jan 2011 (16y) | ||
| Krzysztof Michal Machon | Registered representative | Jan 2011 (16y) | ||
| Kurt J. Belger | Registered representative | CFP CFA | Jan 2011 (16y) | |
| Kyle R. Dragoo | Registered representative | Jan 2011 (16y) | ||
| Laheeb Zouhair Karana | Registered representative | Jan 2011 (16y) | ||
| Laila Artine Kassardjian | Registered representative | Jan 2011 (16y) | ||
| Lana Belke Edmundson | Registered representative | Jan 2011 (16y) | ||
| Larry Joseph Osborne | Registered representative | Jan 2011 (16y) | ||
| Laura Antonia Pascoe | Registered representative | Jan 2011 (16y) | ||
| Laura Marie Jensen | Registered representative | Jan 2011 (16y) | ||
| Laura Sturges Cusenbary | Registered representative | Jan 2011 (16y) | ||
| Lauren Foley Stowe | Registered representative | Jan 2011 (16y) | ||
| Lauren Razar Matles | Registered representative | Jan 2011 (16y) | ||
| Laurie Rudd | Registered representative | Jan 2011 (16y) | ||
| Leann Gordon Mackay | Registered representative | Jan 2011 (16y) | ||
| Lee Ann Lien | Registered representative | Jan 2011 (16y) | ||
| Leo Joseph Walker | Registered representative | Jan 2011 (16y) | ||
| Leona Farial Khan | Registered representative | Jan 2011 (16y) | ||
| Leslie Ann Hobbs | Registered representative | Jan 2011 (16y) | ||
| Lester James Smith | Registered representative | Jan 2011 (16y) | ||
| Levi Woodroof | Registered representative | Jan 2011 (16y) | ||
| Lily Li | Registered representative | Jan 2011 (16y) | ||
| Linda Netjes | Registered representative | Jan 2011 (16y) | ||
| Linda Rocio Talley | Registered representative | Jan 2011 (16y) | ||
| Linda Shiamsia Rasheed | Registered representative | Jan 2011 (16y) | ||
| Linh Chi Le | Registered representative | Jan 2011 (16y) | ||
| Lisa Beusse Ragland | Registered representative | Jan 2011 (16y) | ||
| Lisa Gayle Baird | Registered representative | Jan 2011 (16y) | ||
| Lori Hoefener | Registered representative | Jan 2011 (16y) | ||
| Luana Kae Branigan | Registered representative | Jan 2011 (16y) | ||
| Luis Mauricio Sovero | Registered representative | Jan 2011 (16y) | ||
| Lusine Budagyan | Registered representative | Jan 2011 (16y) | ||
| Lyndsay Marie Jankowiak | Registered representative | Jan 2011 (16y) | ||
| Lynette R Whisler | Registered representative | Jan 2011 (16y) | ||
| Maher Bechara Malaab | Registered representative | CFP Chartered Financial Consultant | Jan 2011 (16y) | |
| Malinda Lou Parr | Registered representative | Jan 2011 (16y) | ||
| Manisha Balu Patel | Registered representative | Jan 2011 (16y) | ||
| Manuel L Coronado | Registered representative | Jan 2011 (16y) | ||
| Marc Evan Rohrer | Registered representative | Jan 2011 (16y) | ||
| Marc Lynn Smith | Registered representative | Jan 2011 (16y) | ||
| Marc Steven Kreisberger | Registered representative | Jan 2011 (16y) | ||
| Maria Klahejian | Registered representative | CFP | Jan 2011 (16y) | |
| Mark Bates Larsen | Registered representative | Jan 2011 (16y) | ||
| Mark Elmo Pope | Registered representative | Jan 2011 (16y) | ||
| Mark Jonathan Hammond | Registered representative | Jan 2011 (16y) | ||
| Mark Parker Ricks | Registered representative | Jan 2011 (16y) | ||
| Mark Quincy Wright | Registered representative | Jan 2011 (16y) | ||
| Mark Reitan | Registered representative | Jan 2011 (16y) | ||
| Mark Scott Roisum | Registered representative | Jan 2011 (16y) | ||
| Mark Steven Heller | Registered representative | Jan 2011 (16y) | ||
| Mark Steven Vandeburgt | Registered representative | Jan 2011 (16y) | ||
| Marshall Louis Glaser | Registered representative | Jan 2011 (16y) | ||
| Mary A Bessler | Registered representative | Jan 2011 (16y) | ||
| Mary E Idzik | Registered representative | Jan 2011 (16y) | ||
| Mary Lynn Dalton Allred | Registered representative | Jan 2011 (16y) | ||
| Masood Mass Noorzay | Registered representative | Jan 2011 (16y) | ||
| Mathew Brandon Mcclain | Registered representative | Jan 2011 (16y) | ||
| Matt Dale Knoll | Registered representative | Jan 2011 (16y) | ||
| Matt M Ziereis | Registered representative | Jan 2011 (16y) | ||
| Matt Scott Loeffler | Registered representative | Jan 2011 (16y) | ||
| Matthew Angelo Bees | Registered representative | CFP | Jan 2011 (16y) | |
| Matthew Han Dudley | Registered representative | Jan 2011 (16y) | ||
| Matthew James Hilliker | Registered representative | Jan 2011 (16y) | ||
| Matthew Paul Solis | Registered representative | Jan 2011 (16y) | ||
| Matthew Winter | Registered representative | Jan 2011 (16y) | ||
| Maurice Emmett Frilot | Registered representative | Jan 2011 (16y) | ||
| Meenakshi Saxena | Registered representative | Jan 2011 (16y) | ||
| Melinda Lea Bates | Registered representative | Jan 2011 (16y) | ||
| Melissa A Myers | Registered representative | Jan 2011 (16y) | ||
| Melissa Ann Tobola | Registered representative | Jan 2011 (16y) | ||
| Melissa Grace Durante | Registered representative | Jan 2011 (16y) | ||
| Mely Ramoran Hughes | Registered representative | Jan 2011 (16y) | ||
| Mercedes Florentino Rodrigues | Registered representative | Jan 2011 (16y) | ||
| Michael Alan Yu | Registered representative | CFP CFA | Jan 2011 (16y) | |
| Michael Anthony Derhake | Registered representative | CFP | Jan 2011 (16y) | |
| Michael Bradley Buntzen | Registered representative | Jan 2011 (16y) | ||
| Michael Dale Weston | Registered representative | Jan 2011 (16y) | ||
| Michael Darian Mohaghegh | Registered representative | Jan 2011 (16y) | ||
| Michael David Van Horn | Registered representative | Jan 2011 (16y) | ||
| Michael George Webb | Registered representative | Jan 2011 (16y) | ||
| Michael H Burchardt | Registered representative | Jan 2011 (16y) | ||
| Michael J Dampier | Registered representative | Jan 2011 (16y) | ||
| Michael J. Muller | Registered representative | Jan 2011 (16y) | ||
| Michael John Common | Registered representative | Jan 2011 (16y) | ||
| Michael John Hansen | Registered representative | Jan 2011 (16y) | ||
| Michael John Kuenster | Registered representative | CFP | Jan 2011 (16y) | |
| Michael Jon Shanks | Registered representative | Jan 2011 (16y) | ||
| Michael Louis Fink | Registered representative | Jan 2011 (16y) | ||
| Michael Peter Tierney | Registered representative | Jan 2011 (16y) | ||
| Michael Ray Carne | Registered representative | Jan 2011 (16y) | ||
| Michael Thurman Thrasher | Registered representative | Jan 2011 (16y) | ||
| Michael Wayne Hobson | Registered representative | Jan 2011 (16y) | ||
| Michelle Guidry Mcphie | Registered representative | Jan 2011 (16y) | ||
| Michelle Jeannette Hannan | Registered representative | Jan 2011 (16y) | ||
| Mickey Robert Yablans | Registered representative | Jan 2011 (16y) | ||
| Mike Gleason | Registered representative | Jan 2011 (16y) | ||
| Mitch Russell Turner | Registered representative | CFP | Jan 2011 (16y) | |
| Mitchell Gustav Rohrer | Registered representative | Jan 2011 (16y) | ||
| Monica Adnan Majdalani | Registered representative | Jan 2011 (16y) | ||
| Monika Andrea Orozco | Registered representative | Jan 2011 (16y) | ||
| Mousa S Obeidi | Registered representative | Jan 2011 (16y) | ||
| Mui Nhi Voong | Registered representative | Jan 2011 (16y) | ||
| Nanette A Hernandez | Registered representative | Jan 2011 (16y) | ||
| Natalie Carol Nielson | Registered representative | Jan 2011 (16y) | ||
| Natalie Jean Flamm Stutenroth | Registered representative | Jan 2011 (16y) | ||
| Nathan Alaster Jamieson | Registered representative | Jan 2011 (16y) | ||
| Nathan James Schiffer | Registered representative | Jan 2011 (16y) | ||
| Nathan Vernon Gibson | Registered representative | CFP | Jan 2011 (16y) | |
| Navid Tofigh | Registered representative | Jan 2011 (16y) | ||
| Navjit Singh | Registered representative | Jan 2011 (16y) | ||
| Nayra Sylvia Ramirez | Registered representative | Jan 2011 (16y) | ||
| Nicholas Alan Pon | Registered representative | Jan 2011 (16y) | ||
| Nicholas Cloudwalker Lechuga | Registered representative | Jan 2011 (16y) | ||
| Nicholas Matthew Bock | Registered representative | Jan 2011 (16y) | ||
| Nicholas R Bormann | Registered representative | CFP | Jan 2011 (16y) | |
| Nicolas Phillip Boudewyns | Registered representative | CFP | Jan 2011 (16y) | |
| Nicole Knutson | Registered representative | CFP | Jan 2011 (16y) | |
| Olga Vladimirovna Piedra | Registered representative | Jan 2011 (16y) | ||
| Oscar Huynh | Registered representative | Jan 2011 (16y) | ||
| Oybek Nusratillayevich Giyazov | Registered representative | Jan 2011 (16y) | ||
| Paola Carolina Pacheco | Registered representative | Jan 2011 (16y) | ||
| Patricia Kathleen Gall | Registered representative | Jan 2011 (16y) | ||
| Patrick Thomas Niedermeyer | Registered representative | Jan 2011 (16y) | ||
| Paul Allen Bloom | Registered representative | Jan 2011 (16y) | ||
| Paul Douglas Ramer | Registered representative | Jan 2011 (16y) | ||
| Paul Kenneth Collins | Registered representative | Jan 2011 (16y) | ||
| Paul Robert Alberini | Registered representative | Jan 2011 (16y) | ||
| Paul Theodore Boscia | Registered representative | Jan 2011 (16y) | ||
| Paula Christine Hardy | Registered representative | Jan 2011 (16y) | ||
| Peggy Sue Christensen | Registered representative | Jan 2011 (16y) | ||
| Perry Ian Melnick | Registered representative | Jan 2011 (16y) | ||
| Peter Anthony Rice | Registered representative | Jan 2011 (16y) | ||
| Peter Isaac Wilson | Registered representative | CFP | Jan 2011 (16y) | |
| Peter Lincoln Black | Registered representative | Jan 2011 (16y) | ||
| Peter Michael Ingraham | Registered representative | Jan 2011 (16y) | ||
| Peter Thomas Cook | Registered representative | Jan 2011 (16y) | ||
| Petra Kuebler Kearney | Registered representative | Jan 2011 (16y) | ||
| Philip Alika Casey | Registered representative | Jan 2011 (16y) | ||
| Philip Stephen Walters | Registered representative | Jan 2011 (16y) | ||
| Pourya Naeimi | Registered representative | Jan 2011 (16y) | ||
| Prince Anderson Lankford | Registered representative | Jan 2011 (16y) | ||
| Priti Priya Dhanda | Registered representative | Jan 2011 (16y) | ||
| Raela Danell Weber | Registered representative | Jan 2011 (16y) | ||
| Ralph Pan | Registered representative | Jan 2011 (16y) | ||
| Ranae Mary Puterbaugh | Registered representative | Jan 2011 (16y) | ||
| Randal Dean Higginson | Registered representative | Jan 2011 (16y) | ||
| Randall Joseph Mccright | Registered representative | Jan 2011 (16y) | ||
| Randy Nicholas Hixson | Registered representative | Jan 2011 (16y) | ||
| Ray Vincent Pearl | Registered representative | CFP | Jan 2011 (16y) | |
| Raziel S. Tribbel | Registered representative | Jan 2011 (16y) | ||
| Rebbie Sue Thomas | Registered representative | Jan 2011 (16y) | ||
| Rebecca Ann Mcgee | Registered representative | Jan 2011 (16y) | ||
| Rebecca Lee Gill | Registered representative | Jan 2011 (16y) | ||
| Reese Hulbert | Registered representative | Jan 2011 (16y) | ||
| Rehana A Ahmed | Registered representative | Jan 2011 (16y) | ||
| Reiko Evangelista | Registered representative | Jan 2011 (16y) | ||
| Renee Christine Parrett | Registered representative | Jan 2011 (16y) | ||
| Renee Lynn Miller | Registered representative | Jan 2011 (16y) | ||
| Renee Mitchell Mason | Registered representative | Jan 2011 (16y) | ||
| Ric Earl Edgmon | Registered representative | Jan 2011 (16y) | ||
| Richard Anthony Ayala | Registered representative | Jan 2011 (16y) | ||
| Richard Benjamin Aylen | Registered representative | Jan 2011 (16y) | ||
| Richard Byung Kook Kim | Registered representative | Jan 2011 (16y) | ||
| Richard James Walters | Registered representative | Jan 2011 (16y) | ||
| Richard Kennedy Tilton | Registered representative | Jan 2011 (16y) | ||
| Richard Leon Burrows | Registered representative | Jan 2011 (16y) | ||
| Richard Shienyi Shih | Registered representative | Jan 2011 (16y) | ||
| Rita Ann Degnan | Registered representative | Jan 2011 (16y) | ||
| Ritu Bhatia | Registered representative | Jan 2011 (16y) | ||
| Robb Salter Burris | Registered representative | Jan 2011 (16y) | ||
| Robert Carlos Gonzalez | Registered representative | Jan 2011 (16y) | ||
| Robert Chia Hong Yeh | Registered representative | Jan 2011 (16y) | ||
| Robert James Barry | Registered representative | Jan 2011 (16y) | ||
| Robert John Grolbert | Registered representative | Jan 2011 (16y) | ||
| Robert John Peters | Registered representative | Jan 2011 (16y) | ||
| Robert Joseph Wygant | Registered representative | Jan 2011 (16y) | ||
| Robert Lance Eddington | Registered representative | Jan 2011 (16y) | ||
| Robert Lee Whittenberg | Registered representative | Jan 2011 (16y) | ||
| Robert Louis Saak | Registered representative | Jan 2011 (16y) | ||
| Robert Mark Brigham | Registered representative | Chartered Financial Consultant | Jan 2011 (16y) | |
| Robert Naylor Barbour | Registered representative | Jan 2011 (16y) | ||
| Robert Nixon Munly | Registered representative | CFP | Jan 2011 (16y) | |
| Robert Paul Henneberger | Registered representative | Jan 2011 (16y) | ||
| Robert Phillip May | Registered representative | Jan 2011 (16y) | ||
| Robert Ross Rocco | Registered representative | Jan 2011 (16y) | ||
| Robert Todd Neander | Registered representative | Jan 2011 (16y) | ||
| Robert Warren Bissonett | Registered representative | Jan 2011 (16y) | ||
| Roberta J Donley | Registered representative | Jan 2011 (16y) | ||
| Rodney Kevin Vucenich | Registered representative | Jan 2011 (16y) | ||
| Rodolfo G. De La Riva | Registered representative | Jan 2011 (16y) | ||
| Roger Darron Steele | Registered representative | Jan 2011 (16y) | ||
| Roger Huan Wei Guan | Registered representative | Jan 2011 (16y) | ||
| Roger Kuang Yao Ho | Registered representative | Jan 2011 (16y) | ||
| Roland Francis Watkins | Registered representative | Jan 2011 (16y) | ||
| Ronald Joseph Mercado | Registered representative | CFA | Jan 2011 (16y) | |
| Ronnie Ray Rasmussen | Registered representative | Jan 2011 (16y) | ||
| Rony E. Soto | Registered representative | Jan 2011 (16y) | ||
| Rosemary Carlisle | Registered representative | Jan 2011 (16y) | ||
| Ruby Crystal Valadez | Registered representative | Jan 2011 (16y) | ||
| Russell Bosworth Chaney | Registered representative | Jan 2011 (16y) | ||
| Russell Edmund Philips | Registered representative | Jan 2011 (16y) | ||
| Ruth Ellen Miller | Registered representative | Jan 2011 (16y) | ||
| Ruthie Marie Quintana | Registered representative | Jan 2011 (16y) | ||
| Ryan Anthony Lotspeich | Registered representative | Jan 2011 (16y) | ||
| Ryan Douglas Hunter | Registered representative | Jan 2011 (16y) | ||
| Ryan Garrett Robinson | Registered representative | Jan 2011 (16y) | ||
| Ryan Kelly Jaramillo | Registered representative | Jan 2011 (16y) | ||
| Salena Tong | Registered representative | Jan 2011 (16y) | ||
| Samir Moufid Sleiman | Registered representative | Jan 2011 (16y) | ||
| Samuel Edwin Edwards | Registered representative | Jan 2011 (16y) | ||
| Sandra Marie Mcdonald | Registered representative | Jan 2011 (16y) | ||
| Sandra Renee Ricker | Registered representative | Jan 2011 (16y) | ||
| Sandra Zulema Aviles De Moreno | Registered representative | Jan 2011 (16y) | ||
| Sang Pil Hwang | Registered representative | Jan 2011 (16y) | ||
| Sanjaya Luthra | Registered representative | Jan 2011 (16y) | ||
| Sarah Jean Calure | Registered representative | CFP | Jan 2011 (16y) | |
| Scott A Devos | Registered representative | Jan 2011 (16y) | ||
| Scott Dennis Aster | Registered representative | Jan 2011 (16y) | ||
| Scott Hobbs Hoffecker | Registered representative | Jan 2011 (16y) | ||
| Scott L Poland | Registered representative | Jan 2011 (16y) | ||
| Scott Michael Rogers | Registered representative | Jan 2011 (16y) | ||
| Scott Montgomery Shea | Registered representative | Jan 2011 (16y) | ||
| Scott Peter Hansen | Registered representative | CFP | Jan 2011 (16y) | |
| Scott Schroeder | Registered representative | Jan 2011 (16y) | ||
| Scott Vernon Rice | Registered representative | Jan 2011 (16y) | ||
| Sean Keith Chatman | Registered representative | Jan 2011 (16y) | ||
| Shalom Morgan | Registered representative | Jan 2011 (16y) | ||
| Shane Aaron San Martin | Registered representative | Jan 2011 (16y) | ||
| Shareen Eusebio Jafri | Registered representative | Jan 2011 (16y) | ||
| Sharie Lee Orozco | Registered representative | Jan 2011 (16y) | ||
| Sharon Rae Morris | Registered representative | Jan 2011 (16y) | ||
| Sharon Theresa Aurich | Registered representative | Jan 2011 (16y) | ||
| Shaun Eric Castro Ansueta | Registered representative | Jan 2011 (16y) | ||
| Shawn Marie Urena | Registered representative | Jan 2011 (16y) | ||
| Shawn Paul Bowen | Registered representative | Jan 2011 (16y) | ||
| Shayan K Savoji | Registered representative | Jan 2011 (16y) | ||
| Shazia Tabeer | Registered representative | Jan 2011 (16y) | ||
| Shelley Janeen Hancock | Registered representative | Jan 2011 (16y) | ||
| Shelley Louise Gill | Registered representative | Jan 2011 (16y) | ||
| Shelly Hisler | Registered representative | Jan 2011 (16y) | ||
| Sher Tullis Palmer | Registered representative | Jan 2011 (16y) | ||
| Sherrah Harrington | Registered representative | Jan 2011 (16y) | ||
| Sherri Ann Finney | Registered representative | Jan 2011 (16y) | ||
| Shweta Agarwal | Registered representative | Jan 2011 (16y) | ||
| Sidney Lee Crose | Registered representative | Jan 2011 (16y) | ||
| Soraya A Rodriguez | Registered representative | Jan 2011 (16y) | ||
| Srivani Ravikumar | Registered representative | Jan 2011 (16y) | ||
| Stacey Lynne Martinez Huff | Registered representative | Jan 2011 (16y) | ||
| Stacy Kay Jenkins | Registered representative | Jan 2011 (16y) | ||
| Stacy Tjitradi | Registered representative | Jan 2011 (16y) | ||
| Stanton Earl Storm | Registered representative | Jan 2011 (16y) | ||
| Stella Miretsky | Registered representative | Jan 2011 (16y) | ||
| Stephanie Marie Rood Smith | Registered representative | Jan 2011 (16y) | ||
| Stephen Duane Arthur | Registered representative | Jan 2011 (16y) | ||
| Stephen Joseph Michener | Registered representative | Jan 2011 (16y) | ||
| Stephen Richard Scholler | Registered representative | Jan 2011 (16y) | ||
| Steve Ray Russell | Registered representative | CFP | Jan 2011 (16y) | |
| Steven Andrew Hill | Registered representative | Jan 2011 (16y) | ||
| Steven Hai Shi | Registered representative | Jan 2011 (16y) | ||
| Steven Joseph Wheelock | Registered representative | Jan 2011 (16y) | ||
| Sujeire Perez | Registered representative | Jan 2011 (16y) | ||
| Sunnie Ann Landry | Registered representative | Jan 2011 (16y) | ||
| Susan Diane Zeller | Registered representative | Jan 2011 (16y) | ||
| Susan Elizabeth Brennan | Registered representative | Jan 2011 (16y) | ||
| Susan Marie Rose | Registered representative | Jan 2011 (16y) | ||
| Tekeisha Diane Wilcox | Registered representative | Jan 2011 (16y) | ||
| Tenzing Woser Tsognyi | Registered representative | Jan 2011 (16y) | ||
| Terrance Patrick Zaragoza | Registered representative | Jan 2011 (16y) | ||
| Terrence Elliott Ness | Registered representative | Jan 2011 (16y) | ||
| Terri Lynn Osness | Registered representative | CFP | Jan 2011 (16y) | |
| Terry David Benson | Registered representative | Jan 2011 (16y) | ||
| Thai Thanh Hoang | Registered representative | Jan 2011 (16y) | ||
| Theresa Ruiz Fong | Registered representative | Jan 2011 (16y) | ||
| Thomas Benjamin Olsen | Registered representative | Jan 2011 (16y) | ||
| Thomas Chad Lloyd | Registered representative | Jan 2011 (16y) | ||
| Thomas Chi Kim | Registered representative | Jan 2011 (16y) | ||
| Thomas E Velasquez | Registered representative | Jan 2011 (16y) | ||
| Thomas Gordon Wong | Registered representative | Jan 2011 (16y) | ||
| Thomas Jay Mayer | Registered representative | Jan 2011 (16y) | ||
| Thomas Michael Wright | Registered representative | Jan 2011 (16y) | ||
| Thomas Turner Tate | Registered representative | Jan 2011 (16y) | ||
| Thomas W Ku | Registered representative | Chartered Financial Consultant | Jan 2011 (16y) | |
| Tiffinie A Wolf | Registered representative | Jan 2011 (16y) | ||
| Timothy Alan Kush | Registered representative | Jan 2011 (16y) | ||
| Timothy Jay Golden | Registered representative | CFP | Jan 2011 (16y) | |
| Timothy Ryan | Registered representative | Jan 2011 (16y) | ||
| Toan Vi Ly | Registered representative | Jan 2011 (16y) | ||
| Toby Jonathan Klabo | Registered representative | Jan 2011 (16y) | ||
| Tod Bane Potter | Registered representative | Jan 2011 (16y) | ||
| Tod Edward Ayers | Registered representative | Jan 2011 (16y) | ||
| Todd Anthony Williams | Registered representative | Jan 2011 (16y) | ||
| Todd Milan Vucenich | Registered representative | Jan 2011 (16y) | ||
| Todd Scott Schmucker | Registered representative | Jan 2011 (16y) | ||
| Tom Kim | Registered representative | Jan 2011 (16y) | ||
| Tracy L Janis | Registered representative | Jan 2011 (16y) | ||
| Travis John Peterson | Registered representative | Jan 2011 (16y) | ||
| Trenton Wade Christensen | Registered representative | CFP | Jan 2011 (16y) | |
| Trevor Brandon Vollstedt | Registered representative | Jan 2011 (16y) | ||
| Trish Amanda Townsend | Registered representative | Jan 2011 (16y) | ||
| Troy Allen Niehaus | Registered representative | Jan 2011 (16y) | ||
| Troy G. Sewell | Registered representative | Jan 2011 (16y) | ||
| Valerie Allison Campadonia | Registered representative | CFP | Jan 2011 (16y) | |
| Veniesha Shantel Brooks | Registered representative | Jan 2011 (16y) | ||
| Veronica Therese Reeves | Registered representative | Jan 2011 (16y) | ||
| Victor Yoneo Kubo | Registered representative | Jan 2011 (16y) | ||
| Vincent Anthony Bono | Registered representative | Jan 2011 (16y) | ||
| Vineeta Devi | Registered representative | Jan 2011 (16y) | ||
| Vinny Van Le | Registered representative | Jan 2011 (16y) | ||
| Virginia Leung Price | Registered representative | Jan 2011 (16y) | ||
| Wade Hampton Steverson | Registered representative | Jan 2011 (16y) | ||
| Wade Michael Schuknecht | Registered representative | Jan 2011 (16y) | ||
| Walter Francis Wellsfry | Registered representative | Jan 2011 (16y) | ||
| Walter Wayne Wodtke | Registered representative | Jan 2011 (16y) | ||
| Ward Rafferty | Registered representative | Jan 2011 (16y) | ||
| Wayne E Simpson | Registered representative | Jan 2011 (16y) | ||
| Wendy Michelle Serrano | Registered representative | Jan 2011 (16y) | ||
| Wesley Garett Bertelsen | Registered representative | Jan 2011 (16y) | ||
| Whitney Charles Hill | Registered representative | Jan 2011 (16y) | ||
| William Allen Blackburn | Registered representative | Jan 2011 (16y) | ||
| William Clift Mcdonald | Registered representative | Jan 2011 (16y) | ||
| William Courtney Charboneau | Registered representative | Jan 2011 (16y) | ||
| William Frederick Hudson | Registered representative | Jan 2011 (16y) | ||
| William Harrington Murphy | Registered representative | CFP | Jan 2011 (16y) | |
| William Kelly Huff | Registered representative | Jan 2011 (16y) | ||
| William Morley Meredith | Registered representative | Jan 2011 (16y) | ||
| William Ralph Bergeland | Registered representative | Jan 2011 (16y) | ||
| William Robert Rubin | Registered representative | Jan 2011 (16y) | ||
| William Tang | Registered representative | Jan 2011 (16y) | ||
| Wilson Wei Ma | Registered representative | Jan 2011 (16y) | ||
| Xiao Ling Zhou | Registered representative | Jan 2011 (16y) | ||
| Zachary Callwell Johnston | Registered representative | Jan 2011 (16y) | ||
| Edwin Solorzano | Registered representative | Jan 2011 (16y) | ||
| Dominic Augustus Bova | Registered representative | Jan 2011 (16y) | ||
| Heather Ann Hanson Rivas | Registered representative | CFP | Jan 2011 (16y) | |
| Andrea Hughes Perryman | Registered representative | Jan 2011 (16y) | ||
| Berit Suba | Registered representative | CFP | Jan 2011 (16y) | |
| Robert Frye | Registered representative | CFP | Jan 2011 (16y) | |
| Joseph Bennett | Registered representative | Jan 2011 (16y) | ||
| Daryl S. Peregrin | Registered representative | Jan 2011 (16y) | ||
| Stephen Paul Minor | Registered representative | Jan 2011 (16y) | ||
| Karen Hawkridge Logan | Registered representative | Jan 2011 (16y) | ||
| Jonathan Moore Sharaf | Registered representative | Jan 2011 (16y) | ||
| Shelley Lynn Boutelle | Registered representative | Jan 2011 (16y) | ||
| Alan J. Meyer | Registered representative | Jan 2011 (16y) | ||
| Ann Marie Fitzpatrick | Registered representative | Jan 2011 (16y) | ||
| Brian Grant Vassalluzzo | Registered representative | Jan 2011 (16y) | ||
| Andree Marie Fangue | Registered representative | Jan 2011 (16y) | ||
| Michelle Jones | Registered representative | Jan 2011 (16y) | ||
| Patrick R Loechl | Registered representative | Jan 2011 (16y) | ||
| Albert Theis | Registered representative | Jan 2011 (16y) | ||
| Courtney Eva Brock | Registered representative | Jan 2011 (16y) | ||
| Mariaglenda Harris | Registered representative | Jan 2011 (16y) | ||
| Brandon W. Dornseif | Registered representative | Jan 2011 (16y) | ||
| Kevin John Howard | Registered representative | CFP | Jan 2011 (16y) | |
| Heather Jean Martinson | Registered representative | Jan 2011 (16y) | ||
| Morgan Patrick Slater | Registered representative | Feb 2011 (16y) | ||
| Alma Baker | Registered representative | Feb 2011 (15y) | ||
| Courtney Vanlandingham Craig | Registered representative | Feb 2011 (15y) | ||
| Katrina M Morganson | Registered representative | Feb 2011 (15y) | ||
| Michael A Juiliano | Registered representative | Feb 2011 (15y) | ||
| Hill Carter Mallory | Registered representative | Feb 2011 (15y) | ||
| Richard Joseph Ranauto | Registered representative | Feb 2011 (15y) | ||
| Julie Ann Olivier | Registered representative | Feb 2011 (15y) | ||
| Lawrence Sean Burke | Registered representative | Feb 2011 (15y) | ||
| Robert Scott Bluemel | Registered representative | Feb 2011 (15y) | ||
| Timothy Dan Wedekind | Registered representative | Feb 2011 (15y) | ||
| Jennifer L. Bilodeau | Registered representative | Feb 2011 (15y) | ||
| Joan S Antognoni | Registered representative | Feb 2011 (15y) | ||
| Judith Ann Rich | Registered representative | Feb 2011 (15y) | ||
| Kristina Marelle Cummins | Registered representative | Feb 2011 (15y) | ||
| Tersia Sharon Stroupe | Registered representative | Feb 2011 (15y) | ||
| John F Mcdermott | Registered representative | Feb 2011 (15y) | ||
| Lori Siu Kwok | Registered representative | Feb 2011 (15y) | ||
| Chad Everette Reynolds | Registered representative | CFP | Feb 2011 (15y) | |
| Eugenia Miceli | Registered representative | Feb 2011 (15y) | ||
| Patricia Louise Lawrence | Registered representative | Feb 2011 (15y) | ||
| Ronald Aaron Fuchsman | Registered representative | Feb 2011 (15y) | ||
| William Randall Green | Registered representative | Feb 2011 (15y) | ||
| Andrea Toto Walshe | Registered representative | Feb 2011 (15y) | ||
| Adam Albert Chrestia | Registered representative | Feb 2011 (15y) | ||
| Angelyn Russell | Registered representative | Feb 2011 (15y) | ||
| Carol Anne Gillespie | Registered representative | Feb 2011 (15y) | ||
| Francine Oelbaum | Registered representative | Feb 2011 (15y) | ||
| Mary Ellen Murphy | Registered representative | Feb 2011 (15y) | ||
| Philip Thomas Winterson | Registered representative | Feb 2011 (15y) | ||
| Nadia Singh | Registered representative | Feb 2011 (15y) | ||
| Stephen Walter Brooks | Registered representative | CFP | Feb 2011 (15y) | |
| Thomas Malcolm Davis | Registered representative | Feb 2011 (15y) | ||
| Monica M Simpson | Registered representative | Feb 2011 (15y) | ||
| David Lee Todd | Registered representative | Feb 2011 (15y) | ||
| Rebecca Ann Timmerman | Registered representative | Feb 2011 (15y) | ||
| Eric Jung Rhee | Registered representative | Mar 2011 (15y) | ||
| Gary Michael Schmertmann | Registered representative | Chartered Financial Consultant | Mar 2011 (15y) | |
| James Edward Holloway | Registered representative | CFP | Mar 2011 (15y) | |
| Brandon James Hines | Registered representative | Mar 2011 (15y) | ||
| William Gordon Tuttle | Registered representative | Mar 2011 (15y) | ||
| Steven Frederick Becher | Registered representative | Mar 2011 (15y) | ||
| Meliha Stevanovic | Registered representative | Mar 2011 (15y) | ||
| Abdollah Rais | Registered representative | Mar 2011 (15y) | ||
| Jeff Thomas Bruun | Registered representative | Mar 2011 (15y) | ||
| Christine Marie Thompson | Registered representative | Mar 2011 (15y) | ||
| Jarrod Fletcher Slater | Registered representative | Mar 2011 (15y) | ||
| Michael John Skowronski | Registered representative | Mar 2011 (15y) | ||
| Simon David Kopel | Registered representative | Mar 2011 (15y) | ||
| Jenny C Hetland | Registered representative | Mar 2011 (15y) | ||
| Peter Michael Bernstein | Registered representative | Mar 2011 (15y) | ||
| Nathan Renz Verbeek | Registered representative | Mar 2011 (15y) | ||
| Sallyeann Brallier | Registered representative | Mar 2011 (15y) | ||
| Kathleen Josephine Vega | Registered representative | Mar 2011 (15y) | ||
| Jarrod Lee Reynolds | Registered representative | Mar 2011 (15y) | ||
| Michael Charles Riherd | Registered representative | Mar 2011 (15y) | ||
| Sarah Rockwell Telljohann | Registered representative | Chartered Financial Consultant | Mar 2011 (15y) | |
| Christopher T West | Registered representative | CFA | Mar 2011 (15y) | |
| Jennifer Leigh Kirchner | Registered representative | Mar 2011 (15y) | ||
| Shauna Kim Rosengreen | Registered representative | Mar 2011 (15y) | ||
| Thomas Mackay Belden | Registered representative | Mar 2011 (15y) | ||
| Christine M Proctor | Registered representative | Mar 2011 (15y) | ||
| Denisse Ximena O'donnell | Registered representative | Mar 2011 (15y) | ||
| Joseph Andrew Ortolano | Registered representative | Mar 2011 (15y) | ||
| Lorraine Lee Brady | Registered representative | Mar 2011 (15y) | ||
| Matthew Scott Plunkett | Registered representative | Mar 2011 (15y) | ||
| Terri M Davis | Registered representative | Mar 2011 (15y) | ||
| Winnie Hue Gia Truong | Registered representative | Mar 2011 (15y) | ||
| Scott Ayres Lanham | Registered representative | Mar 2011 (15y) | ||
| Elaine Ann Webster | Registered representative | Mar 2011 (15y) | ||
| Carole Condolff Burke | Registered representative | Apr 2011 (15y) | ||
| Charles Glenn Nelson | Registered representative | Apr 2011 (15y) | ||
| Dean Mitchell Thompson | Registered representative | Apr 2011 (15y) | ||
| Jeffrey Thomas Brockway | Registered representative | Apr 2011 (15y) | ||
| Shaun Lenee Mckeever | Registered representative | Apr 2011 (15y) | ||
| Jane M Sholder | Registered representative | Apr 2011 (15y) | ||
| Jason Henry Goeller | Registered representative | Apr 2011 (15y) | ||
| Beth Ann Wilhelms | Registered representative | Apr 2011 (15y) | ||
| Brenda Lou Krick | Registered representative | Apr 2011 (15y) | ||
| Tricia Marie Mankoski | Registered representative | Apr 2011 (15y) | ||
| William Peter Zaimes | Registered representative | Apr 2011 (15y) | ||
| John Anderson Taylor | Registered representative | Apr 2011 (15y) | ||
| Mark Andrew Luhtanen | Registered representative | CFP | Apr 2011 (15y) | |
| Mary Sophronia Martin | Registered representative | Apr 2011 (15y) | ||
| James Josiah Stagg | Registered representative | Apr 2011 (15y) | ||
| Bruce Wayne Knott | Registered representative | Apr 2011 (15y) | ||
| Cami Nutt Adcock | Registered representative | Apr 2011 (15y) | ||
| Carl Scott Thomason | Registered representative | CFP | Apr 2011 (15y) | |
| Eric Thomas Johnson | Registered representative | CFP | Apr 2011 (15y) | |
| Keith Joseph Dasilva | Registered representative | CFP | Apr 2011 (15y) | |
| Matthew Lewis Tapley | Registered representative | Apr 2011 (15y) | ||
| Nicholas Sotirakopulos | Registered representative | Apr 2011 (15y) | ||
| Gail Robin Weigle | Registered representative | Apr 2011 (15y) | ||
| Jill Marie Boyce | Registered representative | Apr 2011 (15y) | ||
| Laurie Emma Gizzi | Registered representative | Apr 2011 (15y) | ||
| Lori Ann Westerfield | Registered representative | Apr 2011 (15y) | ||
| Robert Edward Blitch | Registered representative | Apr 2011 (15y) | ||
| Sandra Kay Hagemann | Registered representative | Apr 2011 (15y) | ||
| Stephanie Harris Gear | Registered representative | Apr 2011 (15y) | ||
| Beverly Ann Surratt | Registered representative | Apr 2011 (15y) | ||
| Branda Lyn Werdon | Registered representative | Apr 2011 (15y) | ||
| Laurie Day Perry | Registered representative | Apr 2011 (15y) | ||
| Andrea Yolanda Henlon | Registered representative | Apr 2011 (15y) | ||
| Arlen John Ledet | Registered representative | Apr 2011 (15y) | ||
| Kristi Lee Archer | Registered representative | Apr 2011 (15y) | ||
| Mary Reinking | Registered representative | Apr 2011 (15y) | ||
| Melinda Louise Knoll | Registered representative | Apr 2011 (15y) | ||
| Michelle L Johnston | Registered representative | Apr 2011 (15y) | ||
| Natalie Marie Broderick | Registered representative | Apr 2011 (15y) | ||
| Richard Paul Rozman | Registered representative | Apr 2011 (15y) | ||
| Troy Matthew Baer | Registered representative | CFP | Apr 2011 (15y) | |
| June Kronenberger | Registered representative | Apr 2011 (15y) | ||
| John Joseph Yelverton | Registered representative | Apr 2011 (15y) | ||
| Kimberly Jensen Kuyper | Registered representative | Apr 2011 (15y) | ||
| Roni Arjangravesh | Registered representative | Apr 2011 (15y) | ||
| Alice Douglas Pidgeon | Registered representative | May 2011 (15y) | ||
| Eugene L D'amico | Registered representative | May 2011 (15y) | ||
| Anthony Raymond Soria | Registered representative | CFP | May 2011 (15y) | |
| Alisa Ann Lee | Registered representative | May 2011 (15y) | ||
| Jeffrey David Shaver | Registered representative | May 2011 (15y) | ||
| Jennifer Marie Berry | Registered representative | May 2011 (15y) | ||
| Jesse Ortiz Mares | Registered representative | May 2011 (15y) | ||
| Juliana Milevski | Registered representative | May 2011 (15y) | ||
| Krista Marie Moffatt | Registered representative | May 2011 (15y) | ||
| Lori Carolyn Hennesy | Registered representative | May 2011 (15y) | ||
| Nelson L Hawkins | Registered representative | May 2011 (15y) | ||
| Richard Campbell Hagedorn | Registered representative | May 2011 (15y) | ||
| Jennifer Ann Cowden | Registered representative | May 2011 (15y) | ||
| Stephen Ralph Smith | Registered representative | May 2011 (15y) | ||
| Paul Richard Freudenberger | Registered representative | May 2011 (15y) | ||
| Rose M Consigli | Registered representative | May 2011 (15y) | ||
| Richard C Kang | Registered representative | May 2011 (15y) | ||
| James Van Moore | Registered representative | May 2011 (15y) | ||
| Abdul Kareem Ar Rushdi | Registered representative | May 2011 (15y) | ||
| Gautam Jodhasingh Uttamsingh | Registered representative | May 2011 (15y) | ||
| Dianna Hall Rogers | Registered representative | May 2011 (15y) | ||
| Curtis C Hancock | Registered representative | May 2011 (15y) | ||
| Donna Marie Dorazio | Registered representative | May 2011 (15y) | ||
| Abby Odette Nygren | Registered representative | May 2011 (15y) | ||
| Cheryl Anne Busacco | Registered representative | May 2011 (15y) | ||
| Jeffrey Richard Thomason | Registered representative | May 2011 (15y) | ||
| Jennifer Lynn Mullett | Registered representative | May 2011 (15y) | ||
| Lisa Adams Schuhmacher | Registered representative | May 2011 (15y) | ||
| Lori Lynn Rhyner | Registered representative | CFP | May 2011 (15y) | |
| Stacey Ann Moll | Registered representative | May 2011 (15y) | ||
| Vickie Adcock Dawes | Registered representative | May 2011 (15y) | ||
| Curtis S. Leasure | Registered representative | May 2011 (15y) | ||
| Jeremy James Bullock | Registered representative | May 2011 (15y) | ||
| Karen Marie Bausch | Registered representative | May 2011 (15y) | ||
| Mary Ann Shipton Godino | Registered representative | May 2011 (15y) | ||
| Joshua Robert Campora | Registered representative | May 2011 (15y) | ||
| Thomas Harold Decker | Registered representative | CFP | May 2011 (15y) | |
| Patrick James Goodwin | Registered representative | Jun 2011 (15y) | ||
| Visothy Vicky Ong Dy | Registered representative | Jun 2011 (15y) | ||
| Diane Kay Hand | Registered representative | Jun 2011 (15y) | ||
| Jaclyn A Barresi | Registered representative | Jun 2011 (15y) | ||
| Miguel Llanos | Registered representative | Jun 2011 (15y) | ||
| Sean Christopher Kiltau | Registered representative | Jun 2011 (15y) | ||
| Sunil K Dharamsi | Registered representative | Jun 2011 (15y) | ||
| Kennith Bunis | Registered representative | Jun 2011 (15y) | ||
| Laurie Bauer Rose | Registered representative | Jun 2011 (15y) | ||
| Patrick James Voldness | Registered representative | CFP | Jun 2011 (15y) | |
| Robert Carl Zapel | Registered representative | Jun 2011 (15y) | ||
| Sean Carlin Zapel | Registered representative | Jun 2011 (15y) | ||
| Todd Mark Blumenfeld | Registered representative | Jun 2011 (15y) | ||
| Benjamin Ross Boaz | Registered representative | Jun 2011 (15y) | ||
| Homer Lloyd Shuler | Registered representative | Jun 2011 (15y) | ||
| John Henry Wick | Registered representative | Jun 2011 (15y) | ||
| Marsha Moore Limbaugh | Registered representative | Jun 2011 (15y) | ||
| Troy Clifford Zeller | Registered representative | Jun 2011 (15y) | ||
| Scott Anderson Salisbury | Registered representative | Jun 2011 (15y) | ||
| James Jay Rudin | Registered representative | Jun 2011 (15y) | ||
| Kay Durow | Registered representative | Jun 2011 (15y) | ||
| Nicholas Henry Jallos | Registered representative | Jun 2011 (15y) | ||
| Natalie Marie Wedeking | Registered representative | Jun 2011 (15y) | ||
| Dawn R Myers | Registered representative | Jun 2011 (15y) | ||
| Margie Lynn Smith | Registered representative | Jun 2011 (15y) | ||
| Carolyn Ann Sellick | Registered representative | Jun 2011 (15y) | ||
| Nadeen Schembri | Registered representative | Jun 2011 (15y) | ||
| Pamela Gaddy Dyba | Registered representative | Jun 2011 (15y) | ||
| Mark A Monbeck | Registered representative | Jun 2011 (15y) | ||
| Theodore Robert Eckert | Registered representative | Jun 2011 (15y) | ||
| Christopher Michael Perrault | Registered representative | Jun 2011 (15y) | ||
| Jeffrey Allan Zora | Registered representative | Jun 2011 (15y) | ||
| Ryan Kirk Campbell | Registered representative | Jun 2011 (15y) | ||
| Teddy Andrew Lafharis | Registered representative | Jun 2011 (15y) | ||
| Andrea Scott | Registered representative | Jun 2011 (15y) | ||
| Douglas Shawn Mclean | Registered representative | Jun 2011 (15y) | ||
| Stacey Lynn Stein | Registered representative | Jun 2011 (15y) | ||
| Thomas Marek Billington | Registered representative | CFP | Jun 2011 (15y) | |
| Tunc Diptas | Registered representative | Jun 2011 (15y) | ||
| Anne Maureen Debowes | Registered representative | Jul 2011 (15y) | ||
| Jo Ann Swatt Csire | Registered representative | Jul 2011 (15y) | ||
| Peter Vignevic | Registered representative | Jul 2011 (15y) | ||
| Reed Barnett Anderson | Registered representative | Jul 2011 (15y) | ||
| Ryan Patrick Mcginnis | Registered representative | Jul 2011 (15y) | ||
| Kathleen Annette Becker | Registered representative | Jul 2011 (15y) | ||
| Maria Lidia Rojas | Registered representative | Jul 2011 (15y) | ||
| Steven Douglas Drews | Registered representative | Jul 2011 (15y) | ||
| Deborah Lynn White | Registered representative | Jul 2011 (15y) | ||
| Michael Walker Butterfield | Registered representative | CFP | Jul 2011 (15y) | |
| Trupti D Patel | Registered representative | Jul 2011 (15y) | ||
| Latonia Gail Mckinley | Registered representative | Jul 2011 (15y) | ||
| Stephen Harris Gunn | Registered representative | Jul 2011 (15y) | ||
| Kathleen Fortner Moses | Registered representative | Jul 2011 (15y) | ||
| Michael David Hopkins | Registered representative | Jul 2011 (15y) | ||
| Michelle Frances Shockley | Registered representative | Jul 2011 (15y) | ||
| Patricia A Hall | Registered representative | Jul 2011 (15y) | ||
| Joseph Desantis | Registered representative | Jul 2011 (15y) | ||
| Kevin B Aufmann | Registered representative | Jul 2011 (15y) | ||
| Renae Janice Metoyer | Registered representative | Jul 2011 (15y) | ||
| Brian Lee Robison | Registered representative | Jul 2011 (15y) | ||
| Dave Alexander Schelling | Registered representative | Jul 2011 (15y) | ||
| Barbara Kay Decker | Registered representative | Jul 2011 (15y) | ||
| Ryan Flurie | Registered representative | Jul 2011 (15y) | ||
| Cindy Blanket | Registered representative | Jul 2011 (15y) | ||
| Amanda H Yuan | Registered representative | Jul 2011 (15y) | ||
| Cydnie Callaway | Registered representative | Jul 2011 (15y) | ||
| Ellen Marie Shaughnessy | Registered representative | Jul 2011 (15y) | ||
| Joseph Ray Samson | Registered representative | Jul 2011 (15y) | ||
| Elaine Ferguson Steger | Registered representative | Jul 2011 (15y) | ||
| Jung Lee Hutchins | Registered representative | Jul 2011 (15y) | ||
| Brendan Thomas Dempsey | Registered representative | Aug 2011 (15y) | ||
| Keven Michael Davis | Registered representative | Aug 2011 (15y) | ||
| Marisa S Clayton | Registered representative | Aug 2011 (15y) | ||
| William Nephi Allen | Registered representative | Aug 2011 (15y) | ||
| Brion Patrick Lawler | Registered representative | CFP | Aug 2011 (15y) | |
| Dominique A Donovan | Registered representative | Aug 2011 (15y) | ||
| David Phan | Registered representative | Aug 2011 (15y) | ||
| Sharon Lee Martin | Registered representative | Aug 2011 (15y) | ||
| Ali Ganjian | Registered representative | CFP | Aug 2011 (15y) | |
| Debra Ann Bond | Registered representative | Aug 2011 (15y) | ||
| Nathan James Vander Kley | Registered representative | Aug 2011 (15y) | ||
| Julie Anne Liske | Registered representative | Aug 2011 (15y) | ||
| Thomas Lorenzo Christopher Whitehead | Registered representative | Aug 2011 (15y) | ||
| Tiffany A Mansfield | Registered representative | Aug 2011 (15y) | ||
| Randall Lee Terrell | Registered representative | Aug 2011 (15y) | ||
| Robert Glenn Kaiser | Registered representative | Aug 2011 (15y) | ||
| Jared B Poullard | Registered representative | Aug 2011 (15y) | ||
| Brian H Rolfe | Registered representative | CFP | Aug 2011 (15y) | |
| Rodney Mario Webster | Registered representative | Aug 2011 (15y) | ||
| David Manuel Villafuerte | Registered representative | Aug 2011 (15y) | ||
| Robert Edward Nichols | Registered representative | Aug 2011 (15y) | ||
| Christian James Mikkelsen | Registered representative | Aug 2011 (15y) | ||
| Tonya Jones Griffith | Registered representative | Aug 2011 (15y) | ||
| Bryan Andrew Lenet | Registered representative | Aug 2011 (15y) | ||
| Victoria Lynn Mayfield | Registered representative | Aug 2011 (15y) | ||
| Cynthia Kay Graves | Registered representative | Aug 2011 (15y) | ||
| Charles Mike Mungai | Registered representative | Aug 2011 (15y) | ||
| Lori Anne Pettyjohn | Registered representative | Aug 2011 (15y) | ||
| Meredith Toutz Fiocchi | Registered representative | Aug 2011 (15y) | ||
| Keri Lyn James | Registered representative | Aug 2011 (15y) | ||
| Vicki Ann Smith | Registered representative | Aug 2011 (15y) | ||
| Brian William Hungerford | Registered representative | Sep 2011 (15y) | ||
| Wayne Cary Ballinger | Registered representative | Sep 2011 (15y) | ||
| Glenn Frederick Louie | Registered representative | Sep 2011 (15y) | ||
| Brenda Joy Contreras | Registered representative | Sep 2011 (15y) | ||
| Carlos Roberto Palomo | Registered representative | Sep 2011 (15y) | ||
| Haley Iwalani Hobbs | Registered representative | Sep 2011 (15y) | ||
| Christin Heather Byrd | Registered representative | Sep 2011 (15y) | ||
| Michael Joseph Ledva | Registered representative | Sep 2011 (15y) | ||
| Jonathan J. Aulbert | Registered representative | Sep 2011 (15y) | ||
| Brian Karl Steidinger | Registered representative | Sep 2011 (15y) | ||
| Craig Steven Wall | Registered representative | Sep 2011 (15y) | ||
| Matthew Leonard Purdy | Registered representative | Sep 2011 (15y) | ||
| Richard F Barry | Registered representative | CFP | Sep 2011 (15y) | |
| Trent Rummel Cuellar | Registered representative | Sep 2011 (15y) | ||
| Judith Ann Nelson | Registered representative | Sep 2011 (15y) | ||
| Natalia Alarcon | Registered representative | Sep 2011 (15y) | ||
| David Michael Nash | Registered representative | Sep 2011 (15y) | ||
| John Michael Albert | Registered representative | Sep 2011 (15y) | ||
| Daniel Ryan Coonrod | Registered representative | Sep 2011 (15y) | ||
| Joseph Wesley Shultz | Registered representative | Sep 2011 (15y) | ||
| Michael Bret Larsen | Registered representative | Sep 2011 (15y) | ||
| Antoinette Lucaj | Registered representative | Sep 2011 (15y) | ||
| Marcel Fred Hamburger | Registered representative | Sep 2011 (15y) | ||
| Todd R Gelfeld | Registered representative | Sep 2011 (15y) | ||
| David Mark Kustra | Registered representative | Oct 2011 (15y) | ||
| Eric Todd Nager | Registered representative | Oct 2011 (15y) | ||
| James M Rankowitz | Registered representative | CFP | Oct 2011 (15y) | |
| James Russell Lombardi | Registered representative | Oct 2011 (15y) | ||
| Mario Leonard Gradillas | Registered representative | Oct 2011 (15y) | ||
| Robert James Gringeri | Registered representative | CFP | Oct 2011 (15y) | |
| Ross David Weinberg | Registered representative | Oct 2011 (15y) | ||
| Stephen Lyndell Smith | Registered representative | Oct 2011 (15y) | ||
| Cristina Criselda Jurado Smith | Registered representative | Oct 2011 (15y) | ||
| Christopher John Mccarthy | Registered representative | Oct 2011 (15y) | ||
| Synthia Hood Deese | Registered representative | Oct 2011 (15y) | ||
| Timothy Alexander Koerper | Registered representative | CFP | Oct 2011 (15y) | |
| Michael S Pace | Registered representative | Oct 2011 (15y) | ||
| Granville Joseph Younce | Registered representative | CFP | Oct 2011 (15y) | |
| Philip Robbins Mcdonald | Registered representative | Oct 2011 (15y) | ||
| Robert Charles Iorii | Registered representative | Oct 2011 (15y) | ||
| Joseph Dale Pollard | Registered representative | Oct 2011 (15y) | ||
| Keith Steven Garland | Registered representative | Oct 2011 (15y) | ||
| Melinda Jean Woodell | Registered representative | Oct 2011 (15y) | ||
| Timothy Adams Fortner | Registered representative | Oct 2011 (15y) | ||
| Sevan Karakesisian | Registered representative | Oct 2011 (15y) | ||
| Matthew Steven Alpert | Registered representative | Oct 2011 (15y) | ||
| Patrick Francis Conlan | Registered representative | Oct 2011 (15y) | ||
| Amy Marie Roof | Registered representative | CFP | Oct 2011 (15y) | |
| Betty Tellaisha Schultze | Registered representative | CFP | Oct 2011 (15y) | |
| Jason James Ayars | Registered representative | Oct 2011 (15y) | ||
| Scott Thomas Brady | Registered representative | Oct 2011 (15y) | ||
| Christopher Matthew Enright | Registered representative | CFP | Oct 2011 (15y) | |
| Craig R Mcpherson | Registered representative | CFP | Oct 2011 (15y) | |
| Guillermo Vela | Registered representative | Oct 2011 (15y) | ||
| Nicholas Robert Sicina | Registered representative | CFP | Oct 2011 (15y) | |
| Seth Abraham Shimansky | Registered representative | Oct 2011 (15y) | ||
| Shannon Owen Moore | Registered representative | Oct 2011 (15y) | ||
| Gregory Dean Howard | Registered representative | Oct 2011 (15y) | ||
| Kevin Michael Coughlin | Registered representative | Oct 2011 (15y) | ||
| Melanie Rae Hughes | Registered representative | Oct 2011 (15y) | ||
| Patrick Gerard Bouthiller | Registered representative | Oct 2011 (15y) | ||
| Jeffrey Francis Meader | Registered representative | Oct 2011 (15y) | ||
| Linda M Vasquez | Registered representative | Oct 2011 (15y) | ||
| Christine Danyell Caldwell | Registered representative | Nov 2011 (15y) | ||
| Michael Robert Neuman | Registered representative | Nov 2011 (15y) | ||
| Shawna Rae Lockley | Registered representative | Nov 2011 (15y) | ||
| Sonya Doshi Mccarthy | Registered representative | Nov 2011 (15y) | ||
| Tiffany Cederlind | Registered representative | Nov 2011 (15y) | ||
| Harvey Jack Markzon | Registered representative | Nov 2011 (15y) | ||
| Jason Shenandoah Oates | Registered representative | Nov 2011 (15y) | ||
| Michael Leonardo Pappa | Registered representative | Nov 2011 (15y) | ||
| Brook Nicholas Biddy | Registered representative | Nov 2011 (15y) | ||
| Margaret Kraus Orson | Registered representative | CFP | Nov 2011 (15y) | |
| Tamara Bookman Johnson | Registered representative | Nov 2011 (15y) | ||
| Rebecca Ann Berry | Registered representative | Nov 2011 (15y) | ||
| Crystal Jean Harris | Registered representative | Nov 2011 (15y) | ||
| Jennifer Ann Jackson | Registered representative | Nov 2011 (15y) | ||
| Maureen Quigley Ragsdale | Registered representative | Nov 2011 (15y) | ||
| Renee Jean Hruska | Registered representative | Nov 2011 (15y) | ||
| Emma Rosalind Taylor | Registered representative | Nov 2011 (15y) | ||
| Matthew Thurman Ridnouer | Registered representative | Nov 2011 (15y) | ||
| Sam L Robinson | Registered representative | CFP | Nov 2011 (15y) | |
| Albert Damian Sampson | Registered representative | Nov 2011 (15y) | ||
| Scott Alan Wickman | Registered representative | Nov 2011 (15y) | ||
| William Jerome Ingate | Registered representative | Nov 2011 (15y) | ||
| Michael Brian Breslin | Registered representative | Nov 2011 (15y) | ||
| Christopher Thanh Vi | Registered representative | Nov 2011 (15y) | ||
| John Anthony Pacella | Registered representative | Nov 2011 (15y) | ||
| John Malloy | Registered representative | Nov 2011 (15y) | ||
| Rita Renee Russell | Registered representative | Nov 2011 (15y) | ||
| Susan Baringer Inwood | Registered representative | Nov 2011 (15y) | ||
| Lawrence Allen Fleming | Registered representative | Nov 2011 (15y) | ||
| Giang V Tran | Registered representative | Nov 2011 (15y) | ||
| Helen Colbert De Mooy | Registered representative | Nov 2011 (15y) | ||
| James Kevin Mcatee | Registered representative | Nov 2011 (15y) | ||
| Keri Lynn Sabatini | Registered representative | Nov 2011 (15y) | ||
| Mark Lawrence Stackable | Registered representative | Nov 2011 (15y) | ||
| Bonnie Joanne Whitehurst | Registered representative | Nov 2011 (15y) | ||
| John David Kuhn | Registered representative | Dec 2011 (15y) | ||
| Kam Poi Yee | Registered representative | Dec 2011 (15y) | ||
| Puiwah Yu | Registered representative | Dec 2011 (15y) | ||
| Christopher Kuhn | Registered representative | Dec 2011 (15y) | ||
| Evan Richard Wuhl | Registered representative | Dec 2011 (15y) | ||
| Steve Won Lee | Registered representative | Dec 2011 (15y) | ||
| David Joseph Kreske | Registered representative | Dec 2011 (15y) | ||
| Daniel James Hennigan | Registered representative | Dec 2011 (15y) | ||
| Douglas Martin Druzbik | Registered representative | CFP | Dec 2011 (15y) | |
| Thomas Noel Redalen | Registered representative | Dec 2011 (15y) | ||
| Michael W Lloyd | Registered representative | Dec 2011 (15y) | ||
| Christian Thomas Goldman | Registered representative | Dec 2011 (15y) | ||
| James Grant Bechtold | Registered representative | Dec 2011 (15y) | ||
| Jessica Lynn Mizell | Registered representative | Dec 2011 (15y) | ||
| Christina Michelle Wolsey | Registered representative | Dec 2011 (15y) | ||
| Dylan John Erhart | Registered representative | Dec 2011 (15y) | ||
| Todd Chambers | Registered representative | Dec 2011 (15y) | ||
| Marcus Nigel Allen | Registered representative | Dec 2011 (15y) | ||
| Nicholas Francis Ravella | Registered representative | Dec 2011 (15y) | ||
| Eugene Leo Damico | Registered representative | Dec 2011 (15y) | ||
| Suzanne Garling Sickel | Registered representative | Dec 2011 (15y) | ||
| Tracey Lynn Mclain | Registered representative | CFP | Dec 2011 (15y) | |
| Matthew Lee Fitzgerald | Registered representative | Jan 2012 (15y) | ||
| Rhodora Arcadio Santos | Registered representative | Jan 2012 (15y) | ||
| Nathalie Marie Therese Potvin | Registered representative | Jan 2012 (15y) | ||
| Thomas James Trimble | Registered representative | Jan 2012 (15y) | ||
| Shannon Wesley Peterson | Registered representative | Jan 2012 (15y) | ||
| Anthony Richard Anguis | Registered representative | Jan 2012 (15y) | ||
| William Ernest Pratt | Registered representative | Jan 2012 (15y) | ||
| Joshua Keith Vanderveen | Registered representative | Jan 2012 (15y) | ||
| Vincent James Graziano | Registered representative | Jan 2012 (15y) | ||
| Denise Marie Veerhusen | Registered representative | Jan 2012 (15y) | ||
| Gregory Kenneth Kaiser | Registered representative | Jan 2012 (15y) | ||
| Kurt James Fellinger | Registered representative | Jan 2012 (15y) | ||
| Cathy Turberville | Registered representative | Jan 2012 (15y) | ||
| Christopher Barr | Registered representative | Jan 2012 (15y) | ||
| Gregory John Fornoff | Registered representative | Jan 2012 (15y) | ||
| Kurt Christopher Campman | Registered representative | Jan 2012 (15y) | ||
| Jason Richard Nap | Registered representative | Jan 2012 (15y) | ||
| David Richard Jancuk | Registered representative | Jan 2012 (15y) | ||
| Robin Fayne Cuddy | Registered representative | Jan 2012 (15y) | ||
| Jonathan William Diamond | Registered representative | Jan 2012 (15y) | ||
| Joe David Stegall | Registered representative | Jan 2012 (15y) | ||
| John Joseph Massaro | Registered representative | Jan 2012 (15y) | ||
| Joseph S Bottino | Registered representative | Jan 2012 (15y) | ||
| Kenneth M Barkman | Registered representative | Jan 2012 (15y) | ||
| Mary A Ganley | Registered representative | Jan 2012 (15y) | ||
| Michael Anthony Perillo | Registered representative | Jan 2012 (15y) | ||
| Paul Joseph Cardinale | Registered representative | Jan 2012 (15y) | ||
| Michael Alan Greer | Registered representative | Jan 2012 (15y) | ||
| Steve Bruce Durman | Registered representative | Jan 2012 (15y) | ||
| Robert Matthew Funk | Registered representative | Feb 2012 (15y) | ||
| William Jung Zollner | Registered representative | Feb 2012 (14y) | ||
| Debra Ann Mahoney | Registered representative | Feb 2012 (14y) | ||
| Diane Wells Cheren | Registered representative | Feb 2012 (14y) | ||
| Michael Eugene Paduano | Registered representative | Feb 2012 (14y) | ||
| Michelle Marie Ramnarine | Registered representative | Feb 2012 (14y) | ||
| Neal Jack Rodrigues | Registered representative | Feb 2012 (14y) | ||
| Mary Frances Ray Ewing | Registered representative | CFP | Feb 2012 (14y) | |
| Nicholas Allan Schneider | Registered representative | Feb 2012 (14y) | ||
| Frances Mae Mcdonald | Registered representative | Feb 2012 (14y) | ||
| Gary Alan Cockerill | Registered representative | Feb 2012 (14y) | ||
| Stacy Colette Wilkie | Registered representative | Feb 2012 (14y) | ||
| Terrance Albert Feeney | Registered representative | CFP | Feb 2012 (14y) | |
| Delores Ruth Brockington | Registered representative | Feb 2012 (14y) | ||
| Suzanne Gladys Xander | Registered representative | Feb 2012 (14y) | ||
| Ashley Ann King | Registered representative | Feb 2012 (14y) | ||
| Michael Scott Adams | Registered representative | Feb 2012 (14y) | ||
| Brian Christopher Tulinski | Registered representative | Feb 2012 (14y) | ||
| Arvie Mackinnon Allison | Registered representative | Feb 2012 (14y) | ||
| Ashley Elizabeth Dando | Registered representative | Feb 2012 (14y) | ||
| Brian Glenn Jeffries | Registered representative | Feb 2012 (14y) | ||
| Penney Anne Marie Gagne | Registered representative | Feb 2012 (14y) | ||
| Victor Elias Reskin | Registered representative | Feb 2012 (14y) | ||
| Kathleen Patricia Strother | Registered representative | Feb 2012 (14y) | ||
| William Joseph Hannan | Registered representative | Feb 2012 (14y) | ||
| Robert James Brown | Registered representative | Feb 2012 (14y) | ||
| Tambi Lynne James | Registered representative | Feb 2012 (14y) | ||
| Thomas Joseph Dwyer | Registered representative | Feb 2012 (14y) | ||
| William K Luu | Registered representative | Feb 2012 (14y) | ||
| Naomi Nicole Rhodes | Registered representative | CFP | Feb 2012 (14y) | |
| Kaivon Andrew Maknoon | Registered representative | Feb 2012 (14y) | ||
| Scot James Erwin | Registered representative | Mar 2012 (14y) | ||
| Keith Alan Johnson | Registered representative | Mar 2012 (14y) | ||
| Colleen Patrice Mueller | Registered representative | Mar 2012 (14y) | ||
| John E Flynn | Registered representative | CFP | Mar 2012 (14y) | |
| Tory Keith Thomas | Registered representative | Mar 2012 (14y) | ||
| Wanda Susan Roker | Registered representative | Mar 2012 (14y) | ||
| Dane Mcdonald | Registered representative | Mar 2012 (14y) | ||
| Ellen Mary Gaitings | Registered representative | Mar 2012 (14y) | ||
| John C Haigler | Registered representative | Mar 2012 (14y) | ||
| Melissa Roessler | Registered representative | Mar 2012 (14y) | ||
| James Muhyong Kim | Registered representative | Mar 2012 (14y) | ||
| John Joseph Kvasnicka | Registered representative | Mar 2012 (14y) | ||
| Kyle Merino | Registered representative | CFP | Mar 2012 (14y) | |
| Lauren Marie Richardson | Registered representative | Mar 2012 (14y) | ||
| Melissa Kenney | Registered representative | Mar 2012 (14y) | ||
| Michael John Vanderpoel | Registered representative | Mar 2012 (14y) | ||
| Amy Marie Townsend | Registered representative | CFP | Mar 2012 (14y) | |
| Katherine Lena Lee | Registered representative | Mar 2012 (14y) | ||
| Anthony Salvatore D'angelo | Registered representative | Mar 2012 (14y) | ||
| Lori T Natale | Registered representative | Mar 2012 (14y) | ||
| James Nicholas Kline | Registered representative | Mar 2012 (14y) | ||
| Shaina Rogers | Registered representative | Mar 2012 (14y) | ||
| Vipul Krishnakant Talati | Registered representative | Mar 2012 (14y) | ||
| John Richardson Harrell | Registered representative | Mar 2012 (14y) | ||
| Caroline Anne Manning | Registered representative | Mar 2012 (14y) | ||
| Scott Stephen Snyder | Registered representative | Mar 2012 (14y) | ||
| Brad Dexter Richardson | Registered representative | Mar 2012 (14y) | ||
| Deborah Ann Putnam | Registered representative | Mar 2012 (14y) | ||
| Wendy Ann Stolcis | Registered representative | Mar 2012 (14y) | ||
| Ashley H Shapiro | Registered representative | Mar 2012 (14y) | ||
| Joshua Seth Steinert | Registered representative | Mar 2012 (14y) | ||
| Katy Mclean Uzpen | Registered representative | CFP | Mar 2012 (14y) | |
| Lowell Thomas Diers | Registered representative | CFP | Mar 2012 (14y) | |
| David Doyle Balzarini | Registered representative | Apr 2012 (14y) | ||
| Martha Gonzalez | Registered representative | Apr 2012 (14y) | ||
| Harry William Reidenbach | Registered representative | Apr 2012 (14y) | ||
| Kathryn Elizabeth Shepherd | Registered representative | Apr 2012 (14y) | ||
| Dennis Varn Coleman | Registered representative | Apr 2012 (14y) | ||
| Matthew David Bloye | Registered representative | Apr 2012 (14y) | ||
| Thomas Doyle Dunleavy | Registered representative | Apr 2012 (14y) | ||
| Douglas Arthur Norton | Registered representative | Apr 2012 (14y) | ||
| Anthony Foster Carney | Registered representative | Apr 2012 (14y) | ||
| Ashkahn Moayedi | Registered representative | Apr 2012 (14y) | ||
| Scott James | Registered representative | Apr 2012 (14y) | ||
| John M. Humphries | Registered representative | Apr 2012 (14y) | ||
| Mandi Jean Renzetti | Registered representative | Apr 2012 (14y) | ||
| Michael Lee Gilbert | Registered representative | Apr 2012 (14y) | ||
| Henry Wallace Sale | Registered representative | Apr 2012 (14y) | ||
| Leonid M Onyiego | Registered representative | Apr 2012 (14y) | ||
| Gary William Kennedy | Registered representative | CFP | Apr 2012 (14y) | |
| Mark Joseph Seto | Registered representative | Apr 2012 (14y) | ||
| Juan Antonio Mijares | Registered representative | Apr 2012 (14y) | ||
| Richard Creed Wood | Registered representative | Apr 2012 (14y) | ||
| Kimberley Ann Heckert | Registered representative | Apr 2012 (14y) | ||
| Michael Terrence O'connor | Registered representative | Apr 2012 (14y) | ||
| Scott Alan Audish | Registered representative | Apr 2012 (14y) | ||
| Joshua Michael Haney | Registered representative | CFP | Apr 2012 (14y) | |
| Marc David Young | Registered representative | Apr 2012 (14y) | ||
| Peter Nigul Valvur | Registered representative | Apr 2012 (14y) | ||
| Steven Thomas Ching | Registered representative | CFP | Apr 2012 (14y) | |
| Christopher Clement Louis Maynard | Registered representative | Apr 2012 (14y) | ||
| Michael Roy Cunningham | Registered representative | Apr 2012 (14y) | ||
| Tosha Nicole Adams | Registered representative | Apr 2012 (14y) | ||
| Jeannie Marie Mabry | Registered representative | May 2012 (14y) | ||
| Victor Manuel Rodriguez | Registered representative | May 2012 (14y) | ||
| Anne K Butcher | Registered representative | May 2012 (14y) | ||
| Megan Nicolle Reynoso | Registered representative | May 2012 (14y) | ||
| Richard Allan Edwards | Registered representative | May 2012 (14y) | ||
| Sandra M Andrade | Registered representative | CFP | May 2012 (14y) | |
| Thomas Lee Klimisch | Registered representative | May 2012 (14y) | ||
| John Robert Taylor | Registered representative | May 2012 (14y) | ||
| Bryce Jacob Bordwell | Registered representative | May 2012 (14y) | ||
| John Joseph Hannan | Registered representative | May 2012 (14y) | ||
| Phuong Loan Thi Vu | Registered representative | May 2012 (14y) | ||
| William Lawrence Anderson | Registered representative | May 2012 (14y) | ||
| Fereshteh Eftekhar | Registered representative | May 2012 (14y) | ||
| Marcus Fielding | Registered representative | May 2012 (14y) | ||
| Brent William Dorman | Registered representative | May 2012 (14y) | ||
| Charles Tramantano | Registered representative | Chartered Financial Consultant | May 2012 (14y) | |
| David Oliver Hendricks | Registered representative | May 2012 (14y) | ||
| Lori Jean Jarema | Registered representative | May 2012 (14y) | ||
| Vicky Ngoc Do | Registered representative | May 2012 (14y) | ||
| Elizabeth Anne Leska | Registered representative | May 2012 (14y) | ||
| Brenda Whisnant White | Registered representative | May 2012 (14y) | ||
| Trevor Ryan Collins | Registered representative | May 2012 (14y) | ||
| Cale Allen Brown | Registered representative | May 2012 (14y) | ||
| Stuart Ficklen Vaughn | Registered representative | May 2012 (14y) | ||
| Timothy Joseph Farrell | Registered representative | May 2012 (14y) | ||
| Charlene Preciado | Registered representative | May 2012 (14y) | ||
| Karim Elias Karim | Registered representative | May 2012 (14y) | ||
| Katherine Louise Bernardi | Registered representative | May 2012 (14y) | ||
| Mark Thomas Lindee | Registered representative | May 2012 (14y) | ||
| Vanessa Li | Registered representative | May 2012 (14y) | ||
| Kelley K Hartman | Registered representative | May 2012 (14y) | ||
| Laura Denise Kirkover | Registered representative | May 2012 (14y) | ||
| Jonathan Charles Hoskins | Registered representative | May 2012 (14y) | ||
| Michael Bradley Gully | Registered representative | CFP | May 2012 (14y) | |
| Brian Perrone | Registered representative | May 2012 (14y) | ||
| James Darby Barrett | Registered representative | May 2012 (14y) | ||
| Scott Christopher Vlasi | Registered representative | CFP | May 2012 (14y) | |
| Shane Francis Pitkin | Registered representative | May 2012 (14y) | ||
| James Clayton Flaherty | Registered representative | May 2012 (14y) | ||
| Adam J Dale | Registered representative | May 2012 (14y) | ||
| Anastasia Mihalik | Registered representative | May 2012 (14y) | ||
| Alexandra Susan Martini | Registered representative | May 2012 (14y) | ||
| Robert Calvert Moreland | Registered representative | May 2012 (14y) | ||
| Thomas Craig Meyer | Registered representative | May 2012 (14y) | ||
| Frank Jose Ortiz | Registered representative | Jun 2012 (14y) | ||
| Hunter Lee Fleming | Registered representative | Jun 2012 (14y) | ||
| Alisha Charde Burnett | Registered representative | Jun 2012 (14y) | ||
| Austin Kennedy | Registered representative | Jun 2012 (14y) | ||
| Bruce Allen Davidson | Registered representative | Jun 2012 (14y) | ||
| Scott Alan Bylsma | Registered representative | CFP | Jun 2012 (14y) | |
| Vidhi Makasana Sharma | Registered representative | Jun 2012 (14y) | ||
| David Maxwell | Registered representative | Jun 2012 (14y) | ||
| Donovan Gregory Mannato | Registered representative | Jun 2012 (14y) | ||
| Janice Marie Albers | Registered representative | Jun 2012 (14y) | ||
| Jennifer Jo Yanchisin | Registered representative | Jun 2012 (14y) | ||
| Salim Kimiagar | Registered representative | Jun 2012 (14y) | ||
| Teresa Mcfadden Elliott | Registered representative | CFP | Jun 2012 (14y) | |
| Timothy John Clarey | Registered representative | Jun 2012 (14y) | ||
| Matthew Fuller Prince | Registered representative | Jun 2012 (14y) | ||
| Ashley Herrick | Registered representative | Jun 2012 (14y) | ||
| Francis Julian Tigani | Registered representative | Jun 2012 (14y) | ||
| Gregg David Lazarescu | Registered representative | Jun 2012 (14y) | ||
| Yevgeniy Melamed | Registered representative | CFP | Jun 2012 (14y) | |
| Patricia Ann Garcia | Registered representative | Jun 2012 (14y) | ||
| Angela Corine Hoover | Registered representative | Jun 2012 (14y) | ||
| Eugenia Ross Smallwood | Registered representative | Jun 2012 (14y) | ||
| Joel Miguel Coleman | Registered representative | Jun 2012 (14y) | ||
| Lewis Marc Orenstein | Registered representative | Jun 2012 (14y) | ||
| Miranda Pagan | Registered representative | Jun 2012 (14y) | ||
| Steven Matthew Kobrin | Registered representative | CFP | Jun 2012 (14y) | |
| Katie Lynne Mcpartland | Registered representative | CFP | Jun 2012 (14y) | |
| Matthew Aaron Gerst | Registered representative | Jun 2012 (14y) | ||
| Huxley Joachim Pinto | Registered representative | Jun 2012 (14y) | ||
| Jesse William Suffield | Registered representative | Jun 2012 (14y) | ||
| Michael Alexander Sigmon | Registered representative | CFP | Jun 2012 (14y) | |
| George Frederick Dance | Registered representative | Jul 2012 (14y) | ||
| John Stephan Jee | Registered representative | Jul 2012 (14y) | ||
| Patrice M Reilly | Registered representative | Jul 2012 (14y) | ||
| Brian Edward Speer | Registered representative | Jul 2012 (14y) | ||
| Leland Gene Frank | Registered representative | Jul 2012 (14y) | ||
| Verla B Richards | Registered representative | Jul 2012 (14y) | ||
| Dean Alan Webb | Registered representative | Jul 2012 (14y) | ||
| Jason Hudgins Montgomery | Registered representative | Jul 2012 (14y) | ||
| Scott Kalon May | Registered representative | Jul 2012 (14y) | ||
| David Bruce Mulholland | Registered representative | Jul 2012 (14y) | ||
| William Matthew Wood | Registered representative | Jul 2012 (14y) | ||
| Lawrence Christopher Douglas | Registered representative | Jul 2012 (14y) | ||
| Mary Patricia Robertson | Registered representative | Jul 2012 (14y) | ||
| Jason Lee Cale | Registered representative | Jul 2012 (14y) | ||
| Joseph Charles Calabro | Registered representative | CFP | Jul 2012 (14y) | |
| Timothy Paul Brown | Registered representative | Jul 2012 (14y) | ||
| Brian Cunniff | Registered representative | CFP | Jul 2012 (14y) | |
| Todd Whitney Blount | Registered representative | Jul 2012 (14y) | ||
| Katherine E Leszcynski | Registered representative | Jul 2012 (14y) | ||
| Larry Michael Malles | Registered representative | Jul 2012 (14y) | ||
| Seth Loring Goldberg | Registered representative | Jul 2012 (14y) | ||
| Theresa Marie Powers | Registered representative | Jul 2012 (14y) | ||
| Carlos Santana Stennis | Registered representative | Jul 2012 (14y) | ||
| John Andrew Lobianco | Registered representative | Jul 2012 (14y) | ||
| Derek Robert Holbeck | Registered representative | Jul 2012 (14y) | ||
| Gustave Donald Ewoldt | Registered representative | Jul 2012 (14y) | ||
| Patrick Jon Deboer | Registered representative | Jul 2012 (14y) | ||
| Peter Cork | Registered representative | Jul 2012 (14y) | ||
| Stephen Gregg Maluchnik | Registered representative | Jul 2012 (14y) | ||
| Artono Budhiman | Registered representative | Jul 2012 (14y) | ||
| David Neal Ketchem | Registered representative | Jul 2012 (14y) | ||
| Howard Lucas Sparrow | Registered representative | Jul 2012 (14y) | ||
| Ben Joyce | Registered representative | CFP | Aug 2012 (14y) | |
| Erik Camerer | Registered representative | Aug 2012 (14y) | ||
| Robert Wayne Jacob | Registered representative | Aug 2012 (14y) | ||
| Paul Alexander Kassolis | Registered representative | Aug 2012 (14y) | ||
| Alexandria Olivia Jones | Registered representative | Aug 2012 (14y) | ||
| Jason Aaron Madison | Registered representative | CFP | Aug 2012 (14y) | |
| Andrew Robert Grosso | Registered representative | Aug 2012 (14y) | ||
| Christel Jerri Martinez | Registered representative | Aug 2012 (14y) | ||
| Michele Jeanne Trinks | Registered representative | Aug 2012 (14y) | ||
| Bruce James Kantelis | Registered representative | Aug 2012 (14y) | ||
| Henry K Pak | Registered representative | Aug 2012 (14y) | ||
| Joshua David Bourne | Registered representative | Aug 2012 (14y) | ||
| Richard William Keller | Registered representative | Aug 2012 (14y) | ||
| Susan Judith Bruce | Registered representative | Aug 2012 (14y) | ||
| Zachary John Van Blake | Registered representative | Aug 2012 (14y) | ||
| Josef Henry Young | Registered representative | CFP | Aug 2012 (14y) | |
| Marc Alan Thompson | Registered representative | Aug 2012 (14y) | ||
| Daniel Arrington Clouse | Registered representative | Aug 2012 (14y) | ||
| Vincent Wei Chu | Registered representative | Aug 2012 (14y) | ||
| Robert Gregory Ford | Registered representative | CFP | Aug 2012 (14y) | |
| Ryland T. Corry | Registered representative | Aug 2012 (14y) | ||
| Richard Clyde Hastings | Registered representative | Aug 2012 (14y) | ||
| Gregory Thomas Klein | Registered representative | Aug 2012 (14y) | ||
| Lisa A Spada | Registered representative | CFP | Aug 2012 (14y) | |
| Charles Frank Herbison | Registered representative | Aug 2012 (14y) | ||
| Maribel Mendoza Frank | Registered representative | Aug 2012 (14y) | ||
| David Wayne Hopwood | Registered representative | Aug 2012 (14y) | ||
| Christopher Dyer Queen | Registered representative | Aug 2012 (14y) | ||
| Matthew William Russell | Registered representative | CFP | Aug 2012 (14y) | |
| Scott David Thompson | Registered representative | Sep 2012 (14y) | ||
| Eileen P Mozingo | Registered representative | Sep 2012 (14y) | ||
| Christina Marie Harrell | Registered representative | Sep 2012 (14y) | ||
| Gonzalo Luis Villena | Registered representative | Chartered Financial Consultant | Sep 2012 (14y) | |
| Jeannette Vivas | Registered representative | Sep 2012 (14y) | ||
| Kristine Ellen Roberts | Registered representative | Sep 2012 (14y) | ||
| Lori Anne Maass | Registered representative | Sep 2012 (14y) | ||
| Mark Peterman | Registered representative | Sep 2012 (14y) | ||
| Tricia Kay Jutras | Registered representative | Sep 2012 (14y) | ||
| Brian Anthony Thomas | Registered representative | Sep 2012 (14y) | ||
| Creg Fountain Matthews | Registered representative | CFP | Sep 2012 (14y) | |
| Debra Ann Nelson | Registered representative | Sep 2012 (14y) | ||
| Cynthia Ann Hamelman | Registered representative | Sep 2012 (14y) | ||
| Joel David Goldberg | Registered representative | Sep 2012 (14y) | ||
| Beth Susan Oakes | Registered representative | Sep 2012 (14y) | ||
| John Decotiis | Registered representative | Sep 2012 (14y) | ||
| Michael Alan Miskel | Registered representative | Sep 2012 (14y) | ||
| Shannon Lee Schapiro | Registered representative | Sep 2012 (14y) | ||
| Frederick West Garraway | Registered representative | Sep 2012 (14y) | ||
| Rankin Revel Rawlings | Registered representative | Sep 2012 (14y) | ||
| Alicia Kay Richardson Jones | Registered representative | Sep 2012 (14y) | ||
| Charles Edward Durham | Registered representative | Sep 2012 (14y) | ||
| Frederick Robert Hughes | Registered representative | Sep 2012 (14y) | ||
| Eddie Koji Wada | Registered representative | Oct 2012 (14y) | ||
| Jesse Dee Helm | Registered representative | Oct 2012 (14y) | ||
| Rohit Dhawan | Registered representative | Oct 2012 (14y) | ||
| Uril Duane Peterson | Registered representative | Oct 2012 (14y) | ||
| Kimberly Carreiro Rivers | Registered representative | Oct 2012 (14y) | ||
| Daniel James Lensing | Registered representative | Oct 2012 (14y) | ||
| Jonathan Jed Norris | Registered representative | Oct 2012 (14y) | ||
| Melanie Mae Bray | Registered representative | Oct 2012 (14y) | ||
| Michael Lavern Hay | Registered representative | Oct 2012 (14y) | ||
| William Jay Kulesh | Registered representative | Oct 2012 (14y) | ||
| Robert Keith Tilson | Registered representative | Oct 2012 (14y) | ||
| Paul Randall Walker | Registered representative | Oct 2012 (14y) | ||
| Jeffrey Bart Cohen | Registered representative | Oct 2012 (14y) | ||
| Robert Leo Edmund Wacker | Registered representative | Oct 2012 (14y) | ||
| Greg Kluesner | Registered representative | Oct 2012 (14y) | ||
| Rein Kampersal | Registered representative | Oct 2012 (14y) | ||
| Heidi Ann Lockbeam | Registered representative | Oct 2012 (14y) | ||
| Steven Christopher Brezenski | Registered representative | Oct 2012 (14y) | ||
| Eric James Campman | Registered representative | Oct 2012 (14y) | ||
| Jean Carol Carville | Registered representative | Oct 2012 (14y) | ||
| Katherine Jean Richardson | Registered representative | Oct 2012 (14y) | ||
| Bhawan Deep | Registered representative | CFP | Oct 2012 (14y) | |
| Bradley Lee Gummow | Registered representative | Oct 2012 (14y) | ||
| James Vasil Long | Registered representative | Oct 2012 (14y) | ||
| Justin Boudreau | Registered representative | Oct 2012 (14y) | ||
| Thomas Martin Weightman | Registered representative | Oct 2012 (14y) | ||
| Melissa Grace Shockley | Registered representative | Oct 2012 (14y) | ||
| Mykhaylo Stetsun | Registered representative | CFP | Oct 2012 (14y) | |
| Bradley James Stewart | Registered representative | CFP | Oct 2012 (14y) | |
| George Oliver Bacon | Registered representative | Oct 2012 (14y) | ||
| Jessica Rae Wilkey | Registered representative | Oct 2012 (14y) | ||
| Jesus Aurelio Estrada | Registered representative | Oct 2012 (14y) | ||
| Joseph Albert Garrity | Registered representative | Oct 2012 (14y) | ||
| Vincent Dewayne Whatley | Registered representative | Oct 2012 (14y) | ||
| Jennifer Keltner Nelson | Registered representative | Oct 2012 (14y) | ||
| Louis Joseph Pejlovas | Registered representative | Oct 2012 (14y) | ||
| Kathleen Cheryl Constantz | Registered representative | Nov 2012 (14y) | ||
| Sarah Katherine Howard | Registered representative | CFP | Nov 2012 (14y) | |
| Andrea Charlotte Roth | Registered representative | Nov 2012 (14y) | ||
| Robert Franklin Shwedel | Registered representative | Nov 2012 (14y) | ||
| John Damien Hicks | Registered representative | Nov 2012 (14y) | ||
| John Streett | Registered representative | Nov 2012 (14y) | ||
| Matthew Gordon Jaquiss | Registered representative | Nov 2012 (14y) | ||
| Karen Sue Briers | Registered representative | Nov 2012 (14y) | ||
| Christine Anna Nawrot | Registered representative | Nov 2012 (14y) | ||
| Dennis Adams Peacock | Registered representative | Nov 2012 (14y) | ||
| Sarah Michelle Vancoops Bush | Registered representative | Nov 2012 (14y) | ||
| Karen Ann Gibson | Registered representative | Nov 2012 (14y) | ||
| Carol Elaine Whitley | Registered representative | CFP | Nov 2012 (14y) | |
| Andrew Rhyne | Registered representative | Nov 2012 (14y) | ||
| Carmelita Yunaranie Singh Mayer | Registered representative | Nov 2012 (14y) | ||
| Denise Meral Erdem | Registered representative | Nov 2012 (14y) | ||
| James Mark Ostrowski | Registered representative | Nov 2012 (14y) | ||
| David Jason Lauch | Registered representative | Nov 2012 (14y) | ||
| Dana F Summers | Registered representative | Nov 2012 (14y) | ||
| Marilyn Mae Hoyle | Registered representative | Nov 2012 (14y) | ||
| Edward James Higgins | Registered representative | Dec 2012 (14y) | ||
| Jennifer Kao | Registered representative | Dec 2012 (14y) | ||
| Ramoncito Quilalan Metra | Registered representative | Dec 2012 (14y) | ||
| Terry L Coe | Registered representative | Dec 2012 (14y) | ||
| David Spencer Altman | Registered representative | Dec 2012 (14y) | ||
| Juan Luis Ramirez | Registered representative | Dec 2012 (14y) | ||
| Dean Bellos | Registered representative | Dec 2012 (14y) | ||
| Sandra Starsiakova | Registered representative | Dec 2012 (14y) | ||
| Denise Charlene Marinacci | Registered representative | Dec 2012 (14y) | ||
| Sherri Huber Phillips | Registered representative | Dec 2012 (14y) | ||
| Taylor Elliott Mercer | Registered representative | Dec 2012 (14y) | ||
| James Elliot Cook | Registered representative | CFP | Dec 2012 (14y) | |
| Sydney Sue Sutkus | Registered representative | Dec 2012 (14y) | ||
| Donald Francis Jr Detts | Registered representative | CFP | Dec 2012 (14y) | |
| Steven Jay Simes | Registered representative | Dec 2012 (14y) | ||
| John Edward Matheny | Registered representative | CFP | Dec 2012 (14y) | |
| Edward Smith Jenkins | Registered representative | Dec 2012 (14y) | ||
| Elisse Laparche Ewing | Registered representative | Dec 2012 (14y) | ||
| Adam David Ringhoffer | Registered representative | Dec 2012 (14y) | ||
| Patrick Earl Fitzgerald Reid | Registered representative | CFP | Dec 2012 (14y) | |
| Mari Elizabeth Howell | Registered representative | Dec 2012 (14y) | ||
| Deanna Rebecca Mclendon | Registered representative | CFP | Dec 2012 (14y) | |
| Marina Michelle Tutulea | Registered representative | Dec 2012 (14y) | ||
| Shane Horihan | Registered representative | Dec 2012 (14y) | ||
| Andrea Danielle Anderson | Registered representative | Jan 2013 (14y) | ||
| Bradley A Sabin | Registered representative | CFP | Jan 2013 (14y) | |
| Giles Simpson | Registered representative | Jan 2013 (14y) | ||
| Matthew Pardee Gnau | Registered representative | Jan 2013 (14y) | ||
| Calli Caye Pederson | Registered representative | Jan 2013 (14y) | ||
| Lillie Lea West Long | Registered representative | Jan 2013 (14y) | ||
| Lance Howard Cobb | Registered representative | Jan 2013 (14y) | ||
| Zuleika Morales Flach | Registered representative | Jan 2013 (14y) | ||
| Bridget Anne Catterton | Registered representative | Jan 2013 (14y) | ||
| Dawn Maria Newton | Registered representative | Jan 2013 (14y) | ||
| Kelly Knott | Registered representative | Jan 2013 (14y) | ||
| Matthew Lynn Wagle | Registered representative | CFP | Jan 2013 (14y) | |
| Rachel Davis Pace | Registered representative | Jan 2013 (14y) | ||
| Kimberlie Anne Bowden | Registered representative | Jan 2013 (14y) | ||
| William Scott Wisgerhof | Registered representative | Chartered Financial Consultant | Jan 2013 (14y) | |
| Peter Kurt Frederick | Registered representative | Jan 2013 (14y) | ||
| Laurie Ellen Frink | Registered representative | Jan 2013 (14y) | ||
| Gerald Lee Hannon | Registered representative | Jan 2013 (14y) | ||
| Lisa A Turner | Registered representative | Jan 2013 (14y) | ||
| Andrew Barry Cook | Registered representative | CFP | Jan 2013 (14y) | |
| Avis Fagu | Registered representative | CFP | Jan 2013 (14y) | |
| Laura Marie Moore | Registered representative | Jan 2013 (14y) | ||
| Sarah Shoaf Cerulo | Registered representative | Jan 2013 (14y) | ||
| Violet Mtisi | Registered representative | Jan 2013 (14y) | ||
| Gerald Thomas Heavey | Registered representative | Jan 2013 (14y) | ||
| Amy Beth Baker Galvan | Registered representative | Jan 2013 (14y) | ||
| Patrick Wright Barr | Registered representative | Jan 2013 (14y) | ||
| Diana G Van Winden | Registered representative | CFP | Jan 2013 (14y) | |
| Kia Noble Streater | Registered representative | Jan 2013 (14y) | ||
| Michael Ronald Zollers | Registered representative | Jan 2013 (14y) | ||
| Candice Ellen Soutas | Registered representative | Feb 2013 (13y) | ||
| Chad Mcneil Wilfong | Registered representative | CFP | Feb 2013 (13y) | |
| Rochelle Lea Murphy | Registered representative | Feb 2013 (13y) | ||
| Sean Paul Curley | Registered representative | CFP | Feb 2013 (13y) | |
| Teddie Eisenberg | Registered representative | CFP | Feb 2013 (13y) | |
| Michael Gordon Walker | Registered representative | Feb 2013 (13y) | ||
| Alan Neal Rose | Registered representative | Feb 2013 (13y) | ||
| Jonathan Timothy Merck | Registered representative | CFP | Feb 2013 (13y) | |
| Kirk Edward Pandolfo | Registered representative | Feb 2013 (13y) | ||
| Lisa Barnett Kern | Registered representative | Feb 2013 (13y) | ||
| Michael William Mclaughlin | Registered representative | Feb 2013 (13y) | ||
| Rebecca D Mills | Registered representative | Feb 2013 (13y) | ||
| Franklin Robert Etter | Registered representative | CFP | Feb 2013 (13y) | |
| Kathryn James Smith | Registered representative | Feb 2013 (13y) | ||
| James Lionel Wein | Registered representative | Feb 2013 (13y) | ||
| Karen Jean Piper | Registered representative | Feb 2013 (13y) | ||
| Stuart Allen Weinstein | Registered representative | Feb 2013 (13y) | ||
| Adena Maureen Smith | Registered representative | Feb 2013 (13y) | ||
| Cathleen Susan Brock | Registered representative | CFP | Feb 2013 (13y) | |
| Kristen E Mederich | Registered representative | Feb 2013 (13y) | ||
| Dianne Phillips | Registered representative | Feb 2013 (13y) | ||
| David Stewart Kidd | Registered representative | Feb 2013 (13y) | ||
| Carlos Alberto Esteves | Registered representative | CFP | Feb 2013 (13y) | |
| Christian Richard Hunt | Registered representative | Feb 2013 (13y) | ||
| Harry Gaykian | Registered representative | Feb 2013 (13y) | ||
| Julie Gaykian Hamory | Registered representative | Feb 2013 (13y) | ||
| Mary Elizabeth Hill | Registered representative | Feb 2013 (13y) | ||
| Oscar Gustave Hernandez | Registered representative | Feb 2013 (13y) | ||
| Keith Wayne Howell | Registered representative | Feb 2013 (13y) | ||
| Caroline Grace Comer | Registered representative | Feb 2013 (13y) | ||
| Lawrence Elliot Schwartz | Registered representative | Feb 2013 (13y) | ||
| Andrew Ross Sabin | Registered representative | Feb 2013 (13y) | ||
| Bruce D Sabin | Registered representative | Feb 2013 (13y) | ||
| Benjamin H Damsker | Registered representative | Mar 2013 (13y) | ||
| Daniel Patrick Rynkar | Registered representative | Mar 2013 (13y) | ||
| Joseph Michael Puglia | Registered representative | CFP | Mar 2013 (13y) | |
| William Joseph Burke | Registered representative | Mar 2013 (13y) | ||
| Bret Dale Farrington | Registered representative | Mar 2013 (13y) | ||
| Thomas Kenneth Brandstater | Registered representative | Mar 2013 (13y) | ||
| Porfirio Eduardo Perez | Registered representative | Mar 2013 (13y) | ||
| Anahid Kyupelyan | Registered representative | Mar 2013 (13y) | ||
| Christopher Wright | Registered representative | Mar 2013 (13y) | ||
| Jeremy Levi Baynes | Registered representative | CFP | Mar 2013 (13y) | |
| Jeremy Michael Baron | Registered representative | Mar 2013 (13y) | ||
| Alex Scher | Registered representative | Mar 2013 (13y) | ||
| Kenneth Nels Michelsen | Registered representative | Mar 2013 (13y) | ||
| Shaan Rohit Vyas | Registered representative | Mar 2013 (13y) | ||
| Cornelia Stevens Crisci | Registered representative | Mar 2013 (13y) | ||
| Ronda Walker Houston | Registered representative | Mar 2013 (13y) | ||
| Patricia Ann Adams | Registered representative | Mar 2013 (13y) | ||
| Amy Sheryl Hessenauer | Registered representative | Mar 2013 (13y) | ||
| David Kyle Wilson | Registered representative | CFP | Mar 2013 (13y) | |
| David Schrott | Registered representative | Mar 2013 (13y) | ||
| Holly Nielsen | Registered representative | Mar 2013 (13y) | ||
| James M Ling | Registered representative | Mar 2013 (13y) | ||
| Matthew James Dickelman | Registered representative | Mar 2013 (13y) | ||
| Michael Christopher Pfeffer | Registered representative | Mar 2013 (13y) | ||
| Oscar Edwin Starnes | Registered representative | Mar 2013 (13y) | ||
| Lawrence Roger Hamrick Remboski | Registered representative | Mar 2013 (13y) | ||
| Scott Christopher Blank | Registered representative | Mar 2013 (13y) | ||
| Todd Garrett Barnes | Registered representative | CFP | Mar 2013 (13y) | |
| Tyler George Busdicker | Registered representative | CFP | Mar 2013 (13y) | |
| Mark Sidney Golden | Registered representative | Mar 2013 (13y) | ||
| Raymond Joseph Bevier | Registered representative | Mar 2013 (13y) | ||
| Sean Robert Pryden | Registered representative | Mar 2013 (13y) | ||
| Shahriar Ahmed Chowdhury | Registered representative | CFP | Mar 2013 (13y) | |
| Ronald J Noullet | Registered representative | Mar 2013 (13y) | ||
| Stephanie Michelle Reynolds | Registered representative | Mar 2013 (13y) | ||
| Daniel Warren Staples | Registered representative | Mar 2013 (13y) | ||
| Michael Joseph Tolpa | Registered representative | CFA | Mar 2013 (13y) | |
| William Ruiz | Registered representative | Mar 2013 (13y) | ||
| Andrew Paton Buttrell | Registered representative | Mar 2013 (13y) | ||
| Arthur Gaudreau Horner | Registered representative | Mar 2013 (13y) | ||
| Daniel Eric Fienberg | Registered representative | CFP | Mar 2013 (13y) | |
| Harry Scott Neufeld | Registered representative | Mar 2013 (13y) | ||
| Larry David Holmes | Registered representative | CFP | Mar 2013 (13y) | |
| Marianne Elizabeth O'neill | Registered representative | Mar 2013 (13y) | ||
| Michelle Joy Moldenhauer Smart | Registered representative | Mar 2013 (13y) | ||
| Joseph Taft Benson | Registered representative | Apr 2013 (13y) | ||
| Michael Gerard Martucci | Registered representative | Apr 2013 (13y) | ||
| Donna Marie Shore | Registered representative | Apr 2013 (13y) | ||
| Taren Messenger | Registered representative | Apr 2013 (13y) | ||
| Andrew Jacob Santen | Registered representative | Apr 2013 (13y) | ||
| Michael Richard Grimm | Registered representative | Apr 2013 (13y) | ||
| Eddy Olandj | Registered representative | CFP | Apr 2013 (13y) | |
| Emily Clover Crawford | Registered representative | Apr 2013 (13y) | ||
| Luis Manuel Orama | Registered representative | CFP | Apr 2013 (13y) | |
| Nancy Lorraine Braun Romo | Registered representative | Apr 2013 (13y) | ||
| Bernard Michael Budd | Registered representative | Apr 2013 (13y) | ||
| Richard Brent Meadows | Registered representative | CFP | Apr 2013 (13y) | |
| Sara Anne Soucie | Registered representative | Apr 2013 (13y) | ||
| Deborah Ann Solomon | Registered representative | Apr 2013 (13y) | ||
| Michele Seale Pair | Registered representative | Apr 2013 (13y) | ||
| David Allen Morris | Registered representative | Apr 2013 (13y) | ||
| Dawn Marie Christopher | Registered representative | Apr 2013 (13y) | ||
| Sandra Kay Vanvolkinburg | Registered representative | Apr 2013 (13y) | ||
| Robert Eugene Snyder | Registered representative | Apr 2013 (13y) | ||
| Joel Njilekiro Maeda | Registered representative | Apr 2013 (13y) | ||
| Melissa Bruner | Registered representative | Apr 2013 (13y) | ||
| Rodney Keith Russell | Registered representative | Apr 2013 (13y) | ||
| Melissa R Greer | Registered representative | Apr 2013 (13y) | ||
| Bruce Thomas Mcmillan | Registered representative | Apr 2013 (13y) | ||
| Stephen Cooney | Registered representative | Apr 2013 (13y) | ||
| Jonathon Gonzales | Registered representative | Apr 2013 (13y) | ||
| Gordon Keith Anthony | Registered representative | May 2013 (13y) | ||
| John Patrick Caven | Registered representative | May 2013 (13y) | ||
| Ashley Elizabeth Cahill | Registered representative | CFP | May 2013 (13y) | |
| Brandon Lee Miles | Registered representative | CFP | May 2013 (13y) | |
| Ruth Ann Allen | Registered representative | May 2013 (13y) | ||
| Regis Gerard Rothrauff | Registered representative | May 2013 (13y) | ||
| Kristen Schultz Divico | Registered representative | May 2013 (13y) | ||
| Gary Joseph Swartz | Registered representative | May 2013 (13y) | ||
| Michael Lee Barlow | Registered representative | May 2013 (13y) | ||
| Jeannette Marie Dobbyn | Registered representative | CFP | May 2013 (13y) | |
| Rebecca Tegerdal | Registered representative | May 2013 (13y) | ||
| Stacy Renee Stryker | Registered representative | May 2013 (13y) | ||
| James Woo Fong | Registered representative | CFP | May 2013 (13y) | |
| Bruno Augustine Lombardo | Registered representative | CFP | May 2013 (13y) | |
| Christopher R Cochrane | Registered representative | May 2013 (13y) | ||
| Mohsin Hafeez | Registered representative | CFP | May 2013 (13y) | |
| Kristin Nicole Campbell | Registered representative | May 2013 (13y) | ||
| Crawford Brewton Simpkins | Registered representative | May 2013 (13y) | ||
| Richard Dewei Zheng | Registered representative | May 2013 (13y) | ||
| John Ryan Adams | Registered representative | May 2013 (13y) | ||
| Larry Huntley Tarleton | Registered representative | May 2013 (13y) | ||
| Pandy L Martin | Registered representative | May 2013 (13y) | ||
| Brian Addison Stahler | Registered representative | May 2013 (13y) | ||
| Sally Etta Reagan | Registered representative | May 2013 (13y) | ||
| Diane Marie Martinez | Registered representative | Jun 2013 (13y) | ||
| Erik Nelson | Registered representative | Jun 2013 (13y) | ||
| James Andrew Kopco | Registered representative | Jun 2013 (13y) | ||
| Jonathan Bryan Bourgeois | Registered representative | Jun 2013 (13y) | ||
| Scott Francis Steinitz | Registered representative | Jun 2013 (13y) | ||
| Edgar Alberto Umana | Registered representative | Jun 2013 (13y) | ||
| Michele Khardiata Diatta | Registered representative | Jun 2013 (13y) | ||
| Patrick Joseph Buttarazzi | Registered representative | Jun 2013 (13y) | ||
| Sean Patrick Mcgrath | Registered representative | Jun 2013 (13y) | ||
| Jennifer L Cissell | Registered representative | Jun 2013 (13y) | ||
| Eric William Lutz | Registered representative | Jun 2013 (13y) | ||
| Jessica Lynn Woodward | Registered representative | Jun 2013 (13y) | ||
| Julie Easterly | Registered representative | Jun 2013 (13y) | ||
| Charles B Mcafee | Registered representative | Jun 2013 (13y) | ||
| Bruce Fielden Fraley | Registered representative | Jun 2013 (13y) | ||
| Jonathan Michael Sanborn | Registered representative | Jun 2013 (13y) | ||
| Philip Joseph Weber | Registered representative | Jun 2013 (13y) | ||
| Anna Gionet | Registered representative | Jun 2013 (13y) | ||
| Christopher Thomas Corini | Registered representative | Jun 2013 (13y) | ||
| Lily A Yonamine | Registered representative | Jun 2013 (13y) | ||
| William Arthur Bradley | Registered representative | Jun 2013 (13y) | ||
| Sonya Lynnea Miles Kilian | Registered representative | Jun 2013 (13y) | ||
| Zachary Leonardo | Registered representative | Jun 2013 (13y) | ||
| Betty Marie Basilone | Registered representative | Jun 2013 (13y) | ||
| Fay Michelle Clinton | Registered representative | Jul 2013 (13y) | ||
| Paul Lester Clark | Registered representative | CFP | Jul 2013 (13y) | |
| Varun Pal Sabhlok | Registered representative | Jul 2013 (13y) | ||
| Todd Kendall Westfall | Registered representative | Jul 2013 (13y) | ||
| Audrey Juanita Dixon | Registered representative | Jul 2013 (13y) | ||
| Zachary F Dunn | Registered representative | Jul 2013 (13y) | ||
| Martina Ina Troiano | Registered representative | Jul 2013 (13y) | ||
| Bonnie Lynn Bennetts | Registered representative | Jul 2013 (13y) | ||
| David Bruce Palm | Registered representative | Jul 2013 (13y) | ||
| Veronique Brigitte Ida Jaggi | Registered representative | Jul 2013 (13y) | ||
| Charles William Brown | Registered representative | Jul 2013 (13y) | ||
| Janice S Charles | Registered representative | CFP | Jul 2013 (13y) | |
| Kyle Eric Meitzler | Registered representative | Jul 2013 (13y) | ||
| Javier Ignacio Cabello | Registered representative | Jul 2013 (13y) | ||
| Kelley Noel Bonucci | Registered representative | Jul 2013 (13y) | ||
| Thomas Frederick Moriarty | Registered representative | Jul 2013 (13y) | ||
| Adalberto Peraza | Registered representative | Jul 2013 (13y) | ||
| Wendy Musick Brewer | Registered representative | Personal Financial Specialist | Jul 2013 (13y) | |
| Rachel Elizabeth Eckman | Registered representative | Jul 2013 (13y) | ||
| Sylvia Schulz Horack | Registered representative | Jul 2013 (13y) | ||
| Dorothy Miller | Registered representative | Jul 2013 (13y) | ||
| Zachary A. Harless | Registered representative | Jul 2013 (13y) | ||
| Michael London Bertram | Registered representative | Jul 2013 (13y) | ||
| William Alan Cary | Registered representative | Jul 2013 (13y) | ||
| Asenath Rose Partee | Registered representative | Jul 2013 (13y) | ||
| Christopher John Sitek | Registered representative | Jul 2013 (13y) | ||
| Alexander Bennett Greene | Registered representative | CFP | Jul 2013 (13y) | |
| David R Frick | Registered representative | Jul 2013 (13y) | ||
| Christopher Gregory Zimmermann | Registered representative | Aug 2013 (13y) | ||
| Elaine Margaret Fenters | Registered representative | Aug 2013 (13y) | ||
| Jenifer Parks | Registered representative | Aug 2013 (13y) | ||
| Andrew Joseph Ash | Registered representative | Aug 2013 (13y) | ||
| Brian Michael Welch | Registered representative | Aug 2013 (13y) | ||
| Patrick Steven Sallee | Registered representative | Aug 2013 (13y) | ||
| Sarah Lynne Severino | Registered representative | Aug 2013 (13y) | ||
| Dana Marie Palasota Jones | Registered representative | CFP | Aug 2013 (13y) | |
| Kathye A Lanning | Registered representative | Aug 2013 (13y) | ||
| Wilson Kwok | Registered representative | Aug 2013 (13y) | ||
| William Jeffrey Tryon | Registered representative | Aug 2013 (13y) | ||
| Allen Brewer Fowler | Registered representative | Aug 2013 (13y) | ||
| Kevin Peter Hills | Registered representative | CFP | Aug 2013 (13y) | |
| Anthony Alessio Ferrara | Registered representative | Aug 2013 (13y) | ||
| Brandon Keith Mckown | Registered representative | Aug 2013 (13y) | ||
| Eric Jay Levin | Registered representative | Aug 2013 (13y) | ||
| Linda Diane Bryan Dobbs | Registered representative | Aug 2013 (13y) | ||
| Margaret Nelson Ponder | Registered representative | Aug 2013 (13y) | ||
| Robin Nicole Bolden | Registered representative | Aug 2013 (13y) | ||
| Ines Ross | Registered representative | Aug 2013 (13y) | ||
| Ivan Avelino Iglesias | Registered representative | Aug 2013 (13y) | ||
| Karen Jane Mc Connelee | Registered representative | Aug 2013 (13y) | ||
| Nancy R Ambrose | Registered representative | Aug 2013 (13y) | ||
| Jonathan M Poblete | Registered representative | Aug 2013 (13y) | ||
| Raed Mahmoud Rashid | Registered representative | Aug 2013 (13y) | ||
| Brooke Anne Larsen | Registered representative | Aug 2013 (13y) | ||
| Matthew D Chin | Registered representative | Aug 2013 (13y) | ||
| Jeffrey Scott Reinmiller | Registered representative | Aug 2013 (13y) | ||
| Edward Charles Signaigo | Registered representative | Sep 2013 (13y) | ||
| Evelyn Lara | Registered representative | CFP | Sep 2013 (13y) | |
| Jennifer Elaine Painter | Registered representative | Sep 2013 (13y) | ||
| Jason Alexander Kortman | Registered representative | Sep 2013 (13y) | ||
| Josh Eric Epperson | Registered representative | Sep 2013 (13y) | ||
| Paul Stimson Vallee | Registered representative | Sep 2013 (13y) | ||
| John T Szwed | Registered representative | Sep 2013 (13y) | ||
| Kyle David Poulter | Registered representative | Sep 2013 (13y) | ||
| Matthew Slater Martinelli | Registered representative | Sep 2013 (13y) | ||
| Sharon M Kosir Krumme | Registered representative | Sep 2013 (13y) | ||
| Heriberto Muro | Registered representative | CFP | Sep 2013 (13y) | |
| Jose Pablo Cabello | Registered representative | Sep 2013 (13y) | ||
| Tawnya Lynn Odekirk | Registered representative | Sep 2013 (13y) | ||
| Edward F Donnelly | Registered representative | Sep 2013 (13y) | ||
| James D Gaither | Registered representative | Sep 2013 (13y) | ||
| Maklof H Hoshan | Registered representative | Sep 2013 (13y) | ||
| Katrina Leonard | Registered representative | Sep 2013 (13y) | ||
| Heather Anne Shea | Registered representative | Sep 2013 (13y) | ||
| Mitchell Wesley Wilson | Registered representative | Sep 2013 (13y) | ||
| Addie Chan | Registered representative | Sep 2013 (13y) | ||
| Dean Ho Yeol Yoon | Registered representative | Sep 2013 (13y) | ||
| Joseph Lawrence Conner | Registered representative | Sep 2013 (13y) | ||
| Prem Raniga | Registered representative | Sep 2013 (13y) | ||
| Justin Ryan Hunter | Registered representative | Sep 2013 (13y) | ||
| Teresa Lynn Woolery | Registered representative | Sep 2013 (13y) | ||
| Diana H Wong | Registered representative | Sep 2013 (13y) | ||
| Ellen Yusem Stewart | Registered representative | Sep 2013 (13y) | ||
| Jeremy James Hughes | Registered representative | Sep 2013 (13y) | ||
| Dina Jan Artzt | Registered representative | Sep 2013 (13y) | ||
| Mark Howard Doucet | Registered representative | Sep 2013 (13y) | ||
| Christopher Ryan Womack | Registered representative | Sep 2013 (13y) | ||
| Gregory William Pearson | Registered representative | Sep 2013 (13y) | ||
| Marianne Dionisio Talavera | Registered representative | Sep 2013 (13y) | ||
| George Sturdevant Wanamaker | Registered representative | CFP | Sep 2013 (13y) | |
| Gina Welch | Registered representative | Sep 2013 (13y) | ||
| Jeffrey Ronald Vogel | Registered representative | Sep 2013 (13y) | ||
| Philip Christopher Curran | Registered representative | CFP | Sep 2013 (13y) | |
| Thomas Focht Weissenborn | Registered representative | Sep 2013 (13y) | ||
| Lora Nicole Yen | Registered representative | Oct 2013 (13y) | ||
| Ryan Patrick Dannan | Registered representative | Oct 2013 (13y) | ||
| Vance Barrett | Registered representative | CFP | Oct 2013 (13y) | |
| Gunter Stephenson Lugg | Registered representative | CFP | Oct 2013 (13y) | |
| James Daniel Choplin | Registered representative | Oct 2013 (13y) | ||
| Kenneth Webb | Registered representative | Oct 2013 (13y) | ||
| Charles Flaveous Sargent | Registered representative | Oct 2013 (13y) | ||
| Lisa Renee Bell | Registered representative | Oct 2013 (13y) | ||
| Melissa Eibach | Registered representative | Oct 2013 (13y) | ||
| Kristen Carlson Garnett | Registered representative | Oct 2013 (13y) | ||
| Craig Stephen Wandoff | Registered representative | CFP | Oct 2013 (13y) | |
| Joshua Caldwell Carrick | Registered representative | Oct 2013 (13y) | ||
| Kevin Lewis Wandoff | Registered representative | CFP | Oct 2013 (13y) | |
| Brian Gary Mague | Registered representative | Oct 2013 (13y) | ||
| Isaac Kwaku Cobbinah | Registered representative | Oct 2013 (13y) | ||
| Michael Todd Matthews | Registered representative | CFP | Oct 2013 (13y) | |
| Barbara Birt Mangano | Registered representative | Oct 2013 (13y) | ||
| Louis Grimaldi | Registered representative | Oct 2013 (13y) | ||
| Charles Kent Ladenheim | Registered representative | Oct 2013 (13y) | ||
| Craig Lawrence Tooley | Registered representative | Oct 2013 (13y) | ||
| Marcia Sanchez Bansil | Registered representative | Oct 2013 (13y) | ||
| Matthew Joseph Sotland | Registered representative | CFP | Oct 2013 (13y) | |
| Michael Montuori | Registered representative | Oct 2013 (13y) | ||
| Robert Evan Alpert | Registered representative | Oct 2013 (13y) | ||
| Robert Joseph Fusaro | Registered representative | Oct 2013 (13y) | ||
| Jill Renae Kragthorpe | Registered representative | Oct 2013 (13y) | ||
| Andrew A Pollman | Registered representative | Oct 2013 (13y) | ||
| Amy Reavis Sigmon | Registered representative | Oct 2013 (13y) | ||
| Christine Marie Gebhardt | Registered representative | Oct 2013 (13y) | ||
| Robert Thomas Christian | Registered representative | Oct 2013 (13y) | ||
| Byron Eugene Caskey | Registered representative | Oct 2013 (13y) | ||
| Jeffrey Evan Baker | Registered representative | CFP | Oct 2013 (13y) | |
| Joanne Sue Leach | Registered representative | Oct 2013 (13y) | ||
| Tom Weyhrich | Registered representative | Oct 2013 (13y) | ||
| Bradley Scott Circle | Registered representative | Oct 2013 (13y) | ||
| Daniel Hwang | Registered representative | Oct 2013 (13y) | ||
| Izak Johann Engelbrecht | Registered representative | CFP | Oct 2013 (13y) | |
| Justin Myles Galatas | Registered representative | Oct 2013 (13y) | ||
| Jason Lohr | Registered representative | Oct 2013 (13y) | ||
| Christopher Lee Hacker | Registered representative | Oct 2013 (13y) | ||
| Sean Martin Mcgowan | Registered representative | Oct 2013 (13y) | ||
| William Ward Allen | Registered representative | Oct 2013 (13y) | ||
| Candace Darlann West | Registered representative | CFP | Nov 2013 (13y) | |
| Cynthia Finkley Scott | Registered representative | Nov 2013 (13y) | ||
| Darin Thomas Brommer | Registered representative | Nov 2013 (13y) | ||
| Donald Keith Davenport | Registered representative | CFP | Nov 2013 (13y) | |
| Raun Lorene Nelson Wenmark | Registered representative | CFP | Nov 2013 (13y) | |
| Teisha Marie Berger | Registered representative | CFP | Nov 2013 (13y) | |
| Thomas Kevin Fahey | Registered representative | Nov 2013 (13y) | ||
| Andrea Saunders | Registered representative | Nov 2013 (13y) | ||
| Ann Marie Adams Lilke | Registered representative | Nov 2013 (13y) | ||
| Bradley Walter Reichenberger | Registered representative | Nov 2013 (13y) | ||
| Bruce William Lick | Registered representative | Nov 2013 (13y) | ||
| Cassie Nicole Smith Challacombe | Registered representative | Nov 2013 (13y) | ||
| Craig David Saeger | Registered representative | Nov 2013 (13y) | ||
| Curtis Blaine Hintzman | Registered representative | CFP | Nov 2013 (13y) | |
| Gregory Lawrence Closmore | Registered representative | Nov 2013 (13y) | ||
| Leah Marie Kaufman | Registered representative | Nov 2013 (13y) | ||
| Marta Christine Bowman | Registered representative | Nov 2013 (13y) | ||
| Nathan John Winter | Registered representative | Nov 2013 (13y) | ||
| Richard Joseph Hanna | Registered representative | Nov 2013 (13y) | ||
| Robert Grant | Registered representative | Nov 2013 (13y) | ||
| Susan Margaret Palmatier | Registered representative | Nov 2013 (13y) | ||
| Andrew Osborne Wilson | Registered representative | Nov 2013 (13y) | ||
| Danielle J Johnson | Registered representative | Nov 2013 (13y) | ||
| Erin Diane Neutz | Registered representative | Nov 2013 (13y) | ||
| Fredric Todd Macholz | Registered representative | Nov 2013 (13y) | ||
| John Robert Powell | Registered representative | Nov 2013 (13y) | ||
| Michael Edward Wagner | Registered representative | Nov 2013 (13y) | ||
| Neil Christopher Zellick | Registered representative | Nov 2013 (13y) | ||
| Paul Friedrich Wethe | Registered representative | Nov 2013 (13y) | ||
| Christian Anthony Mickelsen | Registered representative | Nov 2013 (13y) | ||
| Jodie Lynn Parsons | Registered representative | Nov 2013 (13y) | ||
| Rachel Meredith Ellis | Registered representative | Nov 2013 (13y) | ||
| Kevin Joseph Meehan | Registered representative | Nov 2013 (13y) | ||
| Mark Robert Waltersheide | Registered representative | Nov 2013 (13y) | ||
| Roberto Ho Chiu | Registered representative | Nov 2013 (13y) | ||
| Ben Pang Szeto | Registered representative | Nov 2013 (13y) | ||
| Lee Garrett Willaford | Registered representative | CFP | Nov 2013 (13y) | |
| Jason Charles Tamminen | Registered representative | Nov 2013 (13y) | ||
| Michael Ralph Pope | Registered representative | Nov 2013 (13y) | ||
| David Paul Christians | Registered representative | Nov 2013 (13y) | ||
| Janet Lynn Olson | Registered representative | Nov 2013 (13y) | ||
| Kevin William Johnson | Registered representative | Nov 2013 (13y) | ||
| Lee Michael Degeronimo | Registered representative | Nov 2013 (13y) | ||
| Brian William Nelson | Registered representative | Nov 2013 (13y) | ||
| Eric Jon Norris | Registered representative | Nov 2013 (13y) | ||
| Kory Steven Schleicher | Registered representative | Nov 2013 (13y) | ||
| Matthew Nicholai Michaleski | Registered representative | Nov 2013 (13y) | ||
| Bryan Ripken | Registered representative | Nov 2013 (13y) | ||
| Heather Kay Foley | Registered representative | Nov 2013 (13y) | ||
| Jeffrey Wayne Kuhlman | Registered representative | Nov 2013 (13y) | ||
| Kathleen Soberg | Registered representative | Nov 2013 (13y) | ||
| Lindsay Gordon | Registered representative | Nov 2013 (13y) | ||
| Robert Nicholas Babich | Registered representative | Nov 2013 (13y) | ||
| Robin Lee Schneekloth | Registered representative | Nov 2013 (13y) | ||
| Todd Franklin Bracy | Registered representative | Nov 2013 (13y) | ||
| Charles Thomas Stone | Registered representative | Nov 2013 (13y) | ||
| Diana Casteel Lynch | Registered representative | Nov 2013 (13y) | ||
| Davis Page Smith | Registered representative | Nov 2013 (13y) | ||
| Ricky Siu | Registered representative | Nov 2013 (13y) | ||
| Michael Christopher Saettele | Registered representative | Nov 2013 (13y) | ||
| Richard Krueger | Registered representative | Nov 2013 (13y) | ||
| Elway Hoang Le | Registered representative | Nov 2013 (13y) | ||
| Joseph Lawrence Rodriguez | Registered representative | Nov 2013 (13y) | ||
| Mary Ann Marett | Registered representative | CFP | Nov 2013 (13y) | |
| John Trung Nguyen | Registered representative | Dec 2013 (13y) | ||
| Leonard Lafayette Hutchison | Registered representative | Dec 2013 (13y) | ||
| David Madison Engel | Registered representative | CFP | Dec 2013 (13y) | |
| Tamara Nicole Morton | Registered representative | Dec 2013 (13y) | ||
| Charles B. Mitchell | Registered representative | CFP | Dec 2013 (13y) | |
| Donald Parsons | Registered representative | Dec 2013 (13y) | ||
| John David Tapper | Registered representative | Dec 2013 (13y) | ||
| Thomas Ignatius Penrose | Registered representative | Dec 2013 (13y) | ||
| Tiffany Pearsall Callahan | Registered representative | Dec 2013 (13y) | ||
| Karlynn Quist | Registered representative | Dec 2013 (13y) | ||
| Timothy James Werner | Registered representative | Dec 2013 (13y) | ||
| Elma Gazibara Mujcic | Registered representative | Dec 2013 (13y) | ||
| Johnnie Lynn Mosley | Registered representative | Dec 2013 (13y) | ||
| Matt Garrison Willis | Registered representative | Dec 2013 (13y) | ||
| Scott Lauren Kersten | Registered representative | Dec 2013 (13y) | ||
| Sheila Adair Jacobs | Registered representative | CFP | Dec 2013 (13y) | |
| Michael Stanco | Registered representative | Dec 2013 (13y) | ||
| Regan Tokio Ching | Registered representative | Dec 2013 (13y) | ||
| Amy Jean Lee | Registered representative | Dec 2013 (13y) | ||
| Darlene Chiyeko Sasaki Ito | Registered representative | Dec 2013 (13y) | ||
| Adrian Vega | Registered representative | Dec 2013 (13y) | ||
| Kelly Pivola | Registered representative | Dec 2013 (13y) | ||
| Christine Stevens | Registered representative | Dec 2013 (13y) | ||
| James E Thorn | Registered representative | Dec 2013 (13y) | ||
| Richard Charles Muessig | Registered representative | Dec 2013 (13y) | ||
| Scott Smith | Registered representative | Dec 2013 (13y) | ||
| James Xavier Vargo | Registered representative | Dec 2013 (13y) | ||
| Daniel Stewart Moorman | Registered representative | Dec 2013 (13y) | ||
| John Hyman Woolard | Registered representative | Dec 2013 (13y) | ||
| Joseph Angelo Coca | Registered representative | CFP | Dec 2013 (13y) | |
| Lyle Evan Beck | Registered representative | Dec 2013 (13y) | ||
| Robert James Hanson | Registered representative | Dec 2013 (13y) | ||
| Maleknaz Razjouyan | Registered representative | Dec 2013 (13y) | ||
| James Ha Ong | Registered representative | Jan 2014 (13y) | ||
| Eric James Wendel | Registered representative | Jan 2014 (13y) | ||
| Evan William Crump | Registered representative | Jan 2014 (13y) | ||
| Ryan Pickerel | Registered representative | Jan 2014 (13y) | ||
| Wendy Ellen Hallswift | Registered representative | Jan 2014 (13y) | ||
| Lisa Jean Coon | Registered representative | Jan 2014 (13y) | ||
| Linda Sue Maclean | Registered representative | Jan 2014 (13y) | ||
| Adam Webster Lee | Registered representative | Jan 2014 (13y) | ||
| Lisa R Forby | Registered representative | Jan 2014 (13y) | ||
| Cierra Lynn Sather Jennings | Registered representative | Jan 2014 (13y) | ||
| Selvanus Tanyi Lih | Registered representative | Jan 2014 (13y) | ||
| Stephanie Le Novacek | Registered representative | CFP | Jan 2014 (13y) | |
| Jesus Cortez | Registered representative | Jan 2014 (13y) | ||
| Lary Satoru Fukunaga | Registered representative | Jan 2014 (13y) | ||
| Amy Catherine Holerud | Registered representative | Jan 2014 (13y) | ||
| Archana Handa | Registered representative | Jan 2014 (13y) | ||
| Brian Lee Foote | Registered representative | CFP | Jan 2014 (13y) | |
| Elizabeth Clendenin | Registered representative | Jan 2014 (13y) | ||
| Emmanuel John Betinis | Registered representative | Jan 2014 (13y) | ||
| Erik Forsyth Engebretson | Registered representative | Jan 2014 (13y) | ||
| Eun Jung Lee Kim | Registered representative | Jan 2014 (13y) | ||
| James Morgan Horan | Registered representative | Jan 2014 (13y) | ||
| Jan Marie Friedrich | Registered representative | Jan 2014 (13y) | ||
| Joel Francis Carey | Registered representative | Jan 2014 (13y) | ||
| Jon Michael Kappes | Registered representative | Jan 2014 (13y) | ||
| Katlin Marie Moran | Registered representative | Jan 2014 (13y) | ||
| Keith A Hinderman | Registered representative | Jan 2014 (13y) | ||
| Rene Carl Chiriboga | Registered representative | CFP | Jan 2014 (13y) | |
| Bradford William Morrison | Registered representative | Jan 2014 (13y) | ||
| Bryan Matthew Parkinson | Registered representative | Jan 2014 (13y) | ||
| Chad Aaron Nelson | Registered representative | Jan 2014 (13y) | ||
| Charmaine Lee Ouellette | Registered representative | Jan 2014 (13y) | ||
| Christopher Anthony Jadin | Registered representative | Jan 2014 (13y) | ||
| Deveshwar Chandra Persaud | Registered representative | Jan 2014 (13y) | ||
| Duyen Tran | Registered representative | Jan 2014 (13y) | ||
| Eric Joseph Rousslange | Registered representative | Jan 2014 (13y) | ||
| Gary Lee Krogsgaard | Registered representative | Jan 2014 (13y) | ||
| Heather Lee Steinberg | Registered representative | Jan 2014 (13y) | ||
| Kyle Howard Klingler | Registered representative | Jan 2014 (13y) | ||
| Peter John Kissell | Registered representative | Jan 2014 (13y) | ||
| Rochelle Lynn Scanlon | Registered representative | Jan 2014 (13y) | ||
| Sailaja Sridharan Nambury | Registered representative | Jan 2014 (13y) | ||
| Sandi Jo Pruse | Registered representative | Jan 2014 (13y) | ||
| Steven Gordon Zutz | Registered representative | Jan 2014 (13y) | ||
| Pamela Lynn Ridenour | Registered representative | Feb 2014 (12y) | ||
| Cathleen Anne Luecke | Registered representative | Feb 2014 (12y) | ||
| Kenneth Edward Newmeyer | Registered representative | Feb 2014 (12y) | ||
| Daniel Allen Sturges | Registered representative | CFP | Feb 2014 (12y) | |
| Michael Joseph Irwin | Registered representative | Feb 2014 (12y) | ||
| Sandy Situ Wong | Registered representative | Feb 2014 (12y) | ||
| Amy Elizabeth Robinson | Registered representative | Feb 2014 (12y) | ||
| Christopher Kenneth Murphy | Registered representative | Feb 2014 (12y) | ||
| Joseph William O'connell | Registered representative | Feb 2014 (12y) | ||
| Siobhan C Despart | Registered representative | Feb 2014 (12y) | ||
| Aaron L Severson | Registered representative | Feb 2014 (12y) | ||
| Tomislav Weigand | Registered representative | Feb 2014 (12y) | ||
| Dominick Phillip Bonanno | Registered representative | Feb 2014 (12y) | ||
| Timothy Charles Dabbs | Registered representative | Feb 2014 (12y) | ||
| William Guy Recknagle | Registered representative | CFP | Feb 2014 (12y) | |
| Pamela J Fox | Registered representative | Feb 2014 (12y) | ||
| Brian Allen Rex | Registered representative | CFP | Feb 2014 (12y) | |
| Stephanie L Johnson Craig | Registered representative | Feb 2014 (12y) | ||
| Bryant Shan Tchan | Registered representative | Mar 2014 (12y) | ||
| Paul Allen Demke | Registered representative | Mar 2014 (12y) | ||
| Eugene Yahiku | Registered representative | Mar 2014 (12y) | ||
| April Joy Ward | Registered representative | Mar 2014 (12y) | ||
| Michael James Juenger | Registered representative | Mar 2014 (12y) | ||
| Taryn Marie Bosco | Registered representative | Mar 2014 (12y) | ||
| Barry D Masci | Registered representative | CFA | Mar 2014 (12y) | |
| Joseph Anthony Sardo | Registered representative | Mar 2014 (12y) | ||
| Mark Alexander Soukup | Registered representative | Mar 2014 (12y) | ||
| Valerie K Lyons | Registered representative | Mar 2014 (12y) | ||
| Richard Thomas Lucker | Registered representative | Mar 2014 (12y) | ||
| Victoria Regina Unger | Registered representative | Mar 2014 (12y) | ||
| David Allan Kopitz | Registered representative | CFP | Mar 2014 (12y) | |
| Drew Alan Neitzel | Registered representative | Mar 2014 (12y) | ||
| John Houston Sowell | Registered representative | Mar 2014 (12y) | ||
| David Brian Mcclanahan | Registered representative | CFP | Mar 2014 (12y) | |
| Drew Matthew Becker | Registered representative | Mar 2014 (12y) | ||
| Martin Craig Berloff | Registered representative | Mar 2014 (12y) | ||
| Jason Michael Silberstein | Registered representative | Mar 2014 (12y) | ||
| Lauren Michelle Voeller | Registered representative | Mar 2014 (12y) | ||
| Lindsay Luebbehusen | Registered representative | Mar 2014 (12y) | ||
| An Quoc Tran | Registered representative | Mar 2014 (12y) | ||
| Carol Anne Cullen | Registered representative | Mar 2014 (12y) | ||
| Kevin James Wolfendale | Registered representative | CFP | Mar 2014 (12y) | |
| Mark Jonathon Weisser | Registered representative | Mar 2014 (12y) | ||
| Matthew James Aliaga | Registered representative | Mar 2014 (12y) | ||
| Michael Robert High | Registered representative | Mar 2014 (12y) | ||
| Sandra Lee Anderson | Registered representative | Mar 2014 (12y) | ||
| Shannon A Roth | Registered representative | Mar 2014 (12y) | ||
| Tyler David Poe | Registered representative | Mar 2014 (12y) | ||
| William Russell Robinson | Registered representative | Mar 2014 (12y) | ||
| Jahar Lal Datta | Registered representative | Mar 2014 (12y) | ||
| James David Swanson | Registered representative | Mar 2014 (12y) | ||
| Mariano Alfredo Sanchez | Registered representative | Mar 2014 (12y) | ||
| Mary Beth Harlow | Registered representative | Mar 2014 (12y) | ||
| Brandon Edward Bynum | Registered representative | Mar 2014 (12y) | ||
| Matthew Thomas Mahoney | Registered representative | Mar 2014 (12y) | ||
| Courtney Lyon Rosa | Registered representative | Apr 2014 (12y) | ||
| Darryn Lamb | Registered representative | Apr 2014 (12y) | ||
| William Dent Sullivan | Registered representative | Apr 2014 (12y) | ||
| Natasha Kantor Hope | Registered representative | Apr 2014 (12y) | ||
| Ryan Schaller | Registered representative | Apr 2014 (12y) | ||
| Brian Lawrence Davis | Registered representative | CFP | Apr 2014 (12y) | |
| James Ignatius Dunn | Registered representative | Apr 2014 (12y) | ||
| Justin Corte Fierstein | Registered representative | Apr 2014 (12y) | ||
| Margaret Mary Avant | Registered representative | Apr 2014 (12y) | ||
| David Mark Cross | Registered representative | Apr 2014 (12y) | ||
| Michael Andrew Neville | Registered representative | Apr 2014 (12y) | ||
| Mikael Lara | Registered representative | Apr 2014 (12y) | ||
| Waid Franklin Rogers | Registered representative | Apr 2014 (12y) | ||
| Gregory Shumaker | Registered representative | Apr 2014 (12y) | ||
| Juan Muniz | Registered representative | Apr 2014 (12y) | ||
| Kevin Deryl Beck | Registered representative | Apr 2014 (12y) | ||
| Patricia Helen Villano | Registered representative | Apr 2014 (12y) | ||
| Christopher Stanley Clark | Registered representative | Apr 2014 (12y) | ||
| Nancy Ann Neary | Registered representative | Apr 2014 (12y) | ||
| Dillon D Fong | Registered representative | Apr 2014 (12y) | ||
| Mark Fidelio | Registered representative | Apr 2014 (12y) | ||
| Nicholas Taite Fraser | Registered representative | CFP | Apr 2014 (12y) | |
| Erich Lee Vargaz | Registered representative | CFP | Apr 2014 (12y) | |
| William Dean Oliver | Registered representative | Apr 2014 (12y) | ||
| Eric David Ethington | Registered representative | Apr 2014 (12y) | ||
| Joylette Johnson | Registered representative | Apr 2014 (12y) | ||
| Todd Andrew Walton | Registered representative | CFP | Apr 2014 (12y) | |
| Theresa Marie Larsen | Registered representative | Apr 2014 (12y) | ||
| Cynthia Freyman Ward | Registered representative | Apr 2014 (12y) | ||
| Darin England Mock | Registered representative | Apr 2014 (12y) | ||
| Eric Desmond Holder | Registered representative | Apr 2014 (12y) | ||
| Stephanie Mclellan Bass | Registered representative | CFP | Apr 2014 (12y) | |
| Thomas Edwin Simonton | Registered representative | Apr 2014 (12y) | ||
| Renee Kay Lavalli | Registered representative | Apr 2014 (12y) | ||
| Scott Daniel Hood | Registered representative | Apr 2014 (12y) | ||
| Alexandra D Christensen | Registered representative | Apr 2014 (12y) | ||
| Douglas Andrew Flannagan | Registered representative | Apr 2014 (12y) | ||
| Leigh Anne Elder | Registered representative | May 2014 (12y) | ||
| James Drew Hurley | Registered representative | May 2014 (12y) | ||
| Luis Armando Lozano | Registered representative | May 2014 (12y) | ||
| Christopher Edward Hofmann | Registered representative | May 2014 (12y) | ||
| Kyle Logan Greer | Registered representative | May 2014 (12y) | ||
| Richard Scott Gulledge | Registered representative | May 2014 (12y) | ||
| Jonathan Michael Anderson | Registered representative | May 2014 (12y) | ||
| Matthew Adam Collins | Registered representative | May 2014 (12y) | ||
| Richard Stephen Chambers | Registered representative | May 2014 (12y) | ||
| William James Rae | Registered representative | May 2014 (12y) | ||
| Mariela V Maquilon | Registered representative | May 2014 (12y) | ||
| Stacy Rochelle Raymond | Registered representative | May 2014 (12y) | ||
| Lisa Bettina Lomeli | Registered representative | May 2014 (12y) | ||
| Clarissa Aileen Winger | Registered representative | May 2014 (12y) | ||
| James Luther Chisom | Registered representative | May 2014 (12y) | ||
| Anthony Reynard Westerfield | Registered representative | May 2014 (12y) | ||
| Benjamin Jay Goldsmith | Registered representative | CFP | May 2014 (12y) | |
| John Peter Washburn | Registered representative | CFP | May 2014 (12y) | |
| Nikolaos Demetrios Pitsas | Registered representative | May 2014 (12y) | ||
| Todd M Alday | Registered representative | May 2014 (12y) | ||
| Mehrdad Azargoshasb | Registered representative | May 2014 (12y) | ||
| Sunshine Amber Edsall | Registered representative | May 2014 (12y) | ||
| Kevin Patrick Gilligan | Registered representative | CFP | May 2014 (12y) | |
| Rachel Sarah Heiser | Registered representative | May 2014 (12y) | ||
| Travis Michael Burdette | Registered representative | May 2014 (12y) | ||
| Brian Matthew Smith | Registered representative | May 2014 (12y) | ||
| Christopher Daniel Powers | Registered representative | May 2014 (12y) | ||
| Dennis Michael Harrison | Registered representative | May 2014 (12y) | ||
| William Daniel Gallagher | Registered representative | May 2014 (12y) | ||
| Susan M Grimaldi | Registered representative | May 2014 (12y) | ||
| Elizabeth Marie Moreno | Registered representative | May 2014 (12y) | ||
| Jeffrey Quan Nguyen | Registered representative | May 2014 (12y) | ||
| John Lawrence Morawski | Registered representative | May 2014 (12y) | ||
| Nick John Pagonis | Registered representative | May 2014 (12y) | ||
| Erin Michelle Orourke | Registered representative | May 2014 (12y) | ||
| Gregory James Rahmlow | Registered representative | CFP Chartered Financial Consultant | May 2014 (12y) | |
| Melissa Louise Hutchinson | Registered representative | May 2014 (12y) | ||
| Christine Lovell | Registered representative | May 2014 (12y) | ||
| George Pablo Walloff | Registered representative | May 2014 (12y) | ||
| Alan Jay Glick | Registered representative | May 2014 (12y) | ||
| Charles J Philip Glick | Registered representative | May 2014 (12y) | ||
| Denise Bare | Registered representative | May 2014 (12y) | ||
| Daniel Santos Santibanez | Registered representative | May 2014 (12y) | ||
| Matthew Richard Peterson | Registered representative | May 2014 (12y) | ||
| Amer Shaker Dababneh | Registered representative | Jun 2014 (12y) | ||
| Chad Allan Holtz | Registered representative | CFP | Jun 2014 (12y) | |
| Ernest Edward Kennedy | Registered representative | Jun 2014 (12y) | ||
| Kevin John Lennon | Registered representative | CFP | Jun 2014 (12y) | |
| Sandy Brecke | Registered representative | Jun 2014 (12y) | ||
| Bruce Wayne Haltinner | Registered representative | CFP | Jun 2014 (12y) | |
| Daniel Louis Baskin | Registered representative | Jun 2014 (12y) | ||
| Edward Michael Denten | Registered representative | Jun 2014 (12y) | ||
| James Allen Burt | Registered representative | Jun 2014 (12y) | ||
| John James Michael | Registered representative | Jun 2014 (12y) | ||
| Hector Homero Alvarez | Registered representative | Jun 2014 (12y) | ||
| Michael Betancourt | Registered representative | Jun 2014 (12y) | ||
| Richard Charles Foley | Registered representative | Jun 2014 (12y) | ||
| Ying Cheng | Registered representative | Jun 2014 (12y) | ||
| Judith Ann Bovitz | Registered representative | Jun 2014 (12y) | ||
| Michael Harold Reuben | Registered representative | Jun 2014 (12y) | ||
| Michael Thomas Dare | Registered representative | Jun 2014 (12y) | ||
| R Christie Siddoway | Registered representative | Jun 2014 (12y) | ||
| Shawn Victor Gruver | Registered representative | CFP | Jun 2014 (12y) | |
| Robby Mcclure | Registered representative | Jun 2014 (12y) | ||
| Jeffrey Allan Van Demark | Registered representative | Jun 2014 (12y) | ||
| Matthew Luca | Registered representative | Jun 2014 (12y) | ||
| Diana Aileen Romero | Registered representative | Jun 2014 (12y) | ||
| Adam Toth | Registered representative | Jun 2014 (12y) | ||
| Christian Brand | Registered representative | CFP | Jun 2014 (12y) | |
| James P Laughlin | Registered representative | Jun 2014 (12y) | ||
| Megan Roraff | Registered representative | Jun 2014 (12y) | ||
| Michelle Renee Klemm | Registered representative | Jun 2014 (12y) | ||
| Leslie Patrick Starck | Registered representative | Jun 2014 (12y) | ||
| Ellen Ann Burzynski | Registered representative | Jun 2014 (12y) | ||
| Gene Stanley Ferraro | Registered representative | Jun 2014 (12y) | ||
| John Ellis Straughn | Registered representative | Jun 2014 (12y) | ||
| John Ellis Straughn | Registered representative | Jun 2014 (12y) | ||
| Keith D Broadway | Registered representative | Jun 2014 (12y) | ||
| Matthew Edward Cimino | Registered representative | Jun 2014 (12y) | ||
| Ruth Ann Kalage | Registered representative | Jun 2014 (12y) | ||
| Daniel Robert Smith | Registered representative | Jun 2014 (12y) | ||
| David Furst | Registered representative | CFP CFA | Jun 2014 (12y) | |
| Gary Anthony Peterson | Registered representative | Jun 2014 (12y) | ||
| Holly L Esau | Registered representative | Jun 2014 (12y) | ||
| Jeremy Charles Maurer | Registered representative | Jun 2014 (12y) | ||
| Cinnamon Lea Apker | Registered representative | Jun 2014 (12y) | ||
| Eric Carmello Gladney | Registered representative | Jun 2014 (12y) | ||
| Robert Gregory Hirsch | Registered representative | Jun 2014 (12y) | ||
| Joanna Sevilla Sheffron | Registered representative | CFP | Jul 2014 (12y) | |
| Robert A Gardner | Registered representative | CFP Chartered Financial Consultant | Jul 2014 (12y) | |
| Bradley Bruce Archer | Registered representative | Jul 2014 (12y) | ||
| Christopher John Carbone | Registered representative | CFP | Jul 2014 (12y) | |
| Joseph John Megaloudis | Registered representative | Jul 2014 (12y) | ||
| Marjorie Ann Beeck | Registered representative | Jul 2014 (12y) | ||
| Tara A. Parry | Registered representative | Jul 2014 (12y) | ||
| Troy Layne Jones | Registered representative | Jul 2014 (12y) | ||
| Max Charles Mittelstaedt | Registered representative | Jul 2014 (12y) | ||
| Michael Louis Tramontelli | Registered representative | Jul 2014 (12y) | ||
| Daniel Matthew Brashear | Registered representative | Jul 2014 (12y) | ||
| Daniel Ung Moon | Registered representative | Jul 2014 (12y) | ||
| Joel Bryant Welke | Registered representative | Jul 2014 (12y) | ||
| Ashwin Andrew Seetharam Martin | Registered representative | Jul 2014 (12y) | ||
| Steven William Heslinga | Registered representative | CFP | Jul 2014 (12y) | |
| Andrew Westley Colson | Registered representative | Jul 2014 (12y) | ||
| Cara Anne Leigh | Registered representative | Jul 2014 (12y) | ||
| Christine Stanley Mccomas | Registered representative | Jul 2014 (12y) | ||
| Lori Wood Tietjen | Registered representative | Jul 2014 (12y) | ||
| Martha Marie Toledo | Registered representative | Jul 2014 (12y) | ||
| Quy Van Nguyen | Registered representative | Jul 2014 (12y) | ||
| Timothy Robert Altepeter | Registered representative | Jul 2014 (12y) | ||
| Kenneth James Moodie | Registered representative | Jul 2014 (12y) | ||
| Richard Dale Clapp | Registered representative | Jul 2014 (12y) | ||
| Jeremiah Lee Erickson | Registered representative | Jul 2014 (12y) | ||
| Jesus Milara | Registered representative | Jul 2014 (12y) | ||
| Jeanne Elizabeth Griffith | Registered representative | Jul 2014 (12y) | ||
| Laura Marie Salaburu | Registered representative | Jul 2014 (12y) | ||
| Patricia Sue Levey | Registered representative | Jul 2014 (12y) | ||
| Robert A Barker | Registered representative | Jul 2014 (12y) | ||
| Stacey Lynn Sears | Registered representative | Jul 2014 (12y) | ||
| Tareq Abdalla | Registered representative | Jul 2014 (12y) | ||
| Timothy Ryan Terzaken | Registered representative | Jul 2014 (12y) | ||
| Boyce Michael Chastain | Registered representative | Jul 2014 (12y) | ||
| Darcy Fay Coyle | Registered representative | Jul 2014 (12y) | ||
| Phillip David Hurner | Registered representative | Jul 2014 (12y) | ||
| Edward F Purvis | Registered representative | CFP | Jul 2014 (12y) | |
| Jacob Ryan Lackner | Registered representative | Jul 2014 (12y) | ||
| Joshua Ryan Childress | Registered representative | Jul 2014 (12y) | ||
| Paulo M Gaspar | Registered representative | Jul 2014 (12y) | ||
| Nicholas James Kass | Registered representative | CFP | Jul 2014 (12y) | |
| Richard John Jennings | Registered representative | Jul 2014 (12y) | ||
| Brett Shaw | Registered representative | Jul 2014 (12y) | ||
| Luke Alexander Zahm | Registered representative | Jul 2014 (12y) | ||
| Shad Paul Ortiz | Registered representative | Jul 2014 (12y) | ||
| Andrew Mark Corwin | Registered representative | CFP | Aug 2014 (12y) | |
| Lawrence Jeffrey Rudolph | Registered representative | Aug 2014 (12y) | ||
| Olindsey Hayes Brown | Registered representative | Aug 2014 (12y) | ||
| Joseph Gregory Jaensen | Registered representative | Aug 2014 (12y) | ||
| Ralph Oscar Himpel | Registered representative | Aug 2014 (12y) | ||
| Wesley Jay Michaelson | Registered representative | Aug 2014 (12y) | ||
| Maksim Nikolaev Kovachev | Registered representative | Aug 2014 (12y) | ||
| Todd James Devin | Registered representative | Aug 2014 (12y) | ||
| Issa Marwan Musallam | Registered representative | Aug 2014 (12y) | ||
| Christopher Michael Spearman | Registered representative | Aug 2014 (12y) | ||
| Joseph Barret Poletti | Registered representative | Aug 2014 (12y) | ||
| Barbara Armelle Turcotte | Registered representative | Aug 2014 (12y) | ||
| Craig Thomas Danker | Registered representative | Aug 2014 (12y) | ||
| Michael Paul Sarsynski | Registered representative | CFP | Aug 2014 (12y) | |
| Jasmine Leigh Glover | Registered representative | Aug 2014 (12y) | ||
| Tyler Clay Harmon | Registered representative | Aug 2014 (12y) | ||
| Michael David Brusso | Registered representative | Aug 2014 (12y) | ||
| Ryan Matthew Muller | Registered representative | CFP | Aug 2014 (12y) | |
| Christopher S Logan | Registered representative | Aug 2014 (12y) | ||
| Binh Nguyen | Registered representative | Aug 2014 (12y) | ||
| Kirk Martin Siebenaler | Registered representative | Aug 2014 (12y) | ||
| Marco Antonio Cisneros | Registered representative | CFP | Aug 2014 (12y) | |
| Travis Jon Barr | Registered representative | Aug 2014 (12y) | ||
| Juliette Diane Elyse Benshaw | Registered representative | Aug 2014 (12y) | ||
| Michael Anthony Corbella | Registered representative | Aug 2014 (12y) | ||
| Lindsey K Kenner | Registered representative | Aug 2014 (12y) | ||
| Matthew Fitzpatrick Cameron | Registered representative | Aug 2014 (12y) | ||
| Angella Sharice Johnson | Registered representative | Aug 2014 (12y) | ||
| David Elliott Nolan | Registered representative | Aug 2014 (12y) | ||
| Maurice L ' Antwane Young | Registered representative | Aug 2014 (12y) | ||
| Timothy Ellis Curley | Registered representative | Aug 2014 (12y) | ||
| Jeffery Scott Melemed | Registered representative | Aug 2014 (12y) | ||
| Martin J Philpot | Registered representative | CFP | Aug 2014 (12y) | |
| Karen Roth | Registered representative | Aug 2014 (12y) | ||
| Brad Robert Courtney | Registered representative | Aug 2014 (12y) | ||
| Dakota Lee Murphy | Registered representative | Aug 2014 (12y) | ||
| Jose Alberto Moreno | Registered representative | Aug 2014 (12y) | ||
| Matthew Robert Gorham | Registered representative | Aug 2014 (12y) | ||
| Michael Brian Dye | Registered representative | Aug 2014 (12y) | ||
| Oliver A Cervantes | Registered representative | CFP | Aug 2014 (12y) | |
| Sarah Moore Schweppe | Registered representative | CFP | Aug 2014 (12y) | |
| Bradley Patrick Summers | Registered representative | Aug 2014 (12y) | ||
| Elise L. Kausen | Registered representative | CFP | Aug 2014 (12y) | |
| Judith Walker | Registered representative | Aug 2014 (12y) | ||
| Kate Elizabeth Lunn | Registered representative | CFP | Aug 2014 (12y) | |
| Michael E Wilhelm | Registered representative | Aug 2014 (12y) | ||
| Wesley Howard Perry | Registered representative | Aug 2014 (12y) | ||
| Brian Anthony Townley | Registered representative | Sep 2014 (12y) | ||
| Isaac Quezada | Registered representative | Sep 2014 (12y) | ||
| James Ray Taylor | Registered representative | Sep 2014 (12y) | ||
| Jordan Wade Nesbitt | Registered representative | Sep 2014 (12y) | ||
| Joseph Edward Uttlinger | Registered representative | Sep 2014 (12y) | ||
| Lisa Anne Desilets | Registered representative | Sep 2014 (12y) | ||
| Michael Smith | Registered representative | CFP | Sep 2014 (12y) | |
| Charles Woodruff Theis | Registered representative | Sep 2014 (12y) | ||
| Adam David Pace | Registered representative | Sep 2014 (12y) | ||
| Chelea Mcclain Lawrence | Registered representative | CFP | Sep 2014 (12y) | |
| Vincent Nadeau Bellavance | Registered representative | Sep 2014 (12y) | ||
| Derek Krebsbach | Registered representative | Sep 2014 (12y) | ||
| Erin Mae Bayly | Registered representative | Sep 2014 (12y) | ||
| Rigzin Namgyal Gyapontsang | Registered representative | Sep 2014 (12y) | ||
| Simon Paul Logan | Registered representative | Sep 2014 (12y) | ||
| Craig Allen Diamond | Registered representative | Sep 2014 (12y) | ||
| Joann Marie Bernhart | Registered representative | Sep 2014 (12y) | ||
| Jon Marc Miller | Registered representative | Sep 2014 (12y) | ||
| Patricia Anne Garibaldi | Registered representative | Sep 2014 (12y) | ||
| Tracie Suzanne Beck | Registered representative | Sep 2014 (12y) | ||
| Zachary Dean Gladen | Registered representative | Sep 2014 (12y) | ||
| Amanda Summer Harver | Registered representative | Sep 2014 (12y) | ||
| Ayako Tsuboya | Registered representative | Sep 2014 (12y) | ||
| James W Mcclary | Registered representative | Sep 2014 (12y) | ||
| Kristopher William Krause | Registered representative | CFP | Sep 2014 (12y) | |
| Leslie Hightower Fiehn | Registered representative | Sep 2014 (12y) | ||
| Jonathan Lee Schlenger | Registered representative | Sep 2014 (12y) | ||
| Daniel Patrick Mingo | Registered representative | Sep 2014 (12y) | ||
| Olga Kononenko | Registered representative | Sep 2014 (12y) | ||
| Elena T Demitropoulos | Registered representative | Sep 2014 (12y) | ||
| Paul Kerrick Kennedy | Registered representative | Sep 2014 (12y) | ||
| Christopher Anthony Sauro | Registered representative | Sep 2014 (12y) | ||
| Gail Ellen Knight | Registered representative | Sep 2014 (12y) | ||
| Preston Scott Edwards | Registered representative | Sep 2014 (12y) | ||
| Rosaura Parsons | Registered representative | Sep 2014 (12y) | ||
| Sonya Kaye Hensley | Registered representative | Sep 2014 (12y) | ||
| Daniel Layton Henke | Registered representative | Oct 2014 (12y) | ||
| James Harry Rosensteel | Registered representative | Oct 2014 (12y) | ||
| Jeffrey Don Bevans | Registered representative | Oct 2014 (12y) | ||
| Travis Michael Mccloskey | Registered representative | Oct 2014 (12y) | ||
| Brenda Catalina Dibartolo | Registered representative | CFP | Oct 2014 (12y) | |
| Nathaniel Kyle Brady | Registered representative | Oct 2014 (12y) | ||
| Charles Stanley Mckeague | Registered representative | Oct 2014 (12y) | ||
| Maria Isabel Candela | Registered representative | Oct 2014 (12y) | ||
| Matthew Douglas Mcwilliams | Registered representative | Oct 2014 (12y) | ||
| Norman Lok Man Kwong | Registered representative | Oct 2014 (12y) | ||
| Russell Hilliard Lewis | Registered representative | Oct 2014 (12y) | ||
| Allison L Martin | Registered representative | Oct 2014 (12y) | ||
| Christopher John Wittrig | Registered representative | Oct 2014 (12y) | ||
| James A Hofmann | Registered representative | CFP | Oct 2014 (12y) | |
| Jason Derek Hayes | Registered representative | Oct 2014 (12y) | ||
| Jonathan Benet Henderson | Registered representative | Oct 2014 (12y) | ||
| Joseph Michael Deschenes | Registered representative | Oct 2014 (12y) | ||
| Suann Jorgensen Potter | Registered representative | Oct 2014 (12y) | ||
| Thy Dew Yan | Registered representative | Oct 2014 (12y) | ||
| Pedro Rolando Galicia | Registered representative | Oct 2014 (12y) | ||
| Frederic Luther Sjostrom | Registered representative | CFP | Oct 2014 (12y) | |
| Rafael Galeno | Registered representative | Oct 2014 (12y) | ||
| Alex Garcia | Registered representative | Oct 2014 (12y) | ||
| Jennifer Gregory | Registered representative | Oct 2014 (12y) | ||
| Melinda Kay Freshour | Registered representative | Oct 2014 (12y) | ||
| Demitri Phillippe Hollevoet | Registered representative | Oct 2014 (12y) | ||
| Gregory Powell Talbot | Registered representative | Oct 2014 (12y) | ||
| Jesse Raymond Limones | Registered representative | Oct 2014 (12y) | ||
| Joey Huynh | Registered representative | Oct 2014 (12y) | ||
| Nicholas Phillips Langrall | Registered representative | Oct 2014 (12y) | ||
| Jessica Marie Christy | Registered representative | CFP | Oct 2014 (12y) | |
| Peter Anthony Casale | Registered representative | Oct 2014 (12y) | ||
| Christy Leigh Wade | Registered representative | Oct 2014 (12y) | ||
| Jamie Lynn D'amico | Registered representative | Oct 2014 (12y) | ||
| Christopher Dean Mansu | Registered representative | Oct 2014 (12y) | ||
| Michael Wayne Gillmer | Registered representative | CFA | Oct 2014 (12y) | |
| Philip Rogers Mcmurray | Registered representative | Oct 2014 (12y) | ||
| Rebecca Harris Avery | Registered representative | Oct 2014 (12y) | ||
| Robert Walter Carney | Registered representative | Oct 2014 (12y) | ||
| David Marcus Dobbs | Registered representative | CFP | Oct 2014 (12y) | |
| John Ismet Hiz | Registered representative | Oct 2014 (12y) | ||
| Joshua David Visconti | Registered representative | CFP | Oct 2014 (12y) | |
| Steven James Slattery | Registered representative | Oct 2014 (12y) | ||
| Randy Scott Pludo | Registered representative | Oct 2014 (12y) | ||
| Brandon Edward Blanchard | Registered representative | CFP | Oct 2014 (12y) | |
| Emilie H Mercer | Registered representative | Oct 2014 (12y) | ||
| James Paul Lebouef | Registered representative | Oct 2014 (12y) | ||
| Jill Dyann Greiner | Registered representative | Oct 2014 (12y) | ||
| Misti Monee Maddox | Registered representative | Oct 2014 (12y) | ||
| Tiffany Miller Campbell | Registered representative | Oct 2014 (12y) | ||
| Andrew Thomas Whittaker | Registered representative | Nov 2014 (12y) | ||
| David Wayne Saleh | Registered representative | Nov 2014 (12y) | ||
| Jonathan David Pierce | Registered representative | Nov 2014 (12y) | ||
| Stanley George Jewell | Registered representative | Nov 2014 (12y) | ||
| William Henry Locke | Registered representative | Nov 2014 (12y) | ||
| Scott Logan Stoneking | Registered representative | Nov 2014 (12y) | ||
| Benjamin Todd Plyler | Registered representative | Nov 2014 (12y) | ||
| Connor Evan Rees | Registered representative | Nov 2014 (12y) | ||
| Sheri L Amirsoleimani | Registered representative | Nov 2014 (12y) | ||
| John Lee | Registered representative | Nov 2014 (12y) | ||
| Mylan Robert Ephraim Olson | Registered representative | Nov 2014 (12y) | ||
| Robert James Ruscick | Registered representative | Nov 2014 (12y) | ||
| Amyna Karmali | Registered representative | Nov 2014 (12y) | ||
| Bradley Campbell | Registered representative | Nov 2014 (12y) | ||
| Jung E. Han | Registered representative | Nov 2014 (12y) | ||
| William A Beard | Registered representative | Nov 2014 (12y) | ||
| Lawrence Edward Miller | Registered representative | Nov 2014 (12y) | ||
| Ricky Cheung | Registered representative | Nov 2014 (12y) | ||
| Robert Bruce Elkins | Registered representative | Nov 2014 (12y) | ||
| William John Brown | Registered representative | Nov 2014 (12y) | ||
| Eloy Alderete | Registered representative | Nov 2014 (12y) | ||
| George Patrick Farley | Registered representative | Nov 2014 (12y) | ||
| Talbot Christine Quintero | Registered representative | Nov 2014 (12y) | ||
| David Arthur Cuellar | Registered representative | CFP | Nov 2014 (12y) | |
| Dennis Shapses | Registered representative | Nov 2014 (12y) | ||
| Karel Giraldo | Registered representative | Nov 2014 (12y) | ||
| Kimberly E Dudenhoefer | Registered representative | Nov 2014 (12y) | ||
| William Frederick Lemnitzer | Registered representative | Nov 2014 (12y) | ||
| Mikki Ann Kline | Registered representative | Nov 2014 (12y) | ||
| Richard Paul Tetzlaff | Registered representative | Nov 2014 (12y) | ||
| Sharon Louise Pugh | Registered representative | Nov 2014 (12y) | ||
| Daniel Abeleda Pagilagan | Registered representative | Nov 2014 (12y) | ||
| Carol Jean Mills | Registered representative | Nov 2014 (12y) | ||
| Tamara Lee Somers | Registered representative | Nov 2014 (12y) | ||
| Brad A Harber | Registered representative | Nov 2014 (12y) | ||
| Judith R Ludovico | Registered representative | Nov 2014 (12y) | ||
| Paula Betts | Registered representative | Nov 2014 (12y) | ||
| Howard Wallace George | Registered representative | Nov 2014 (12y) | ||
| Megan Marie Allen | Registered representative | Nov 2014 (12y) | ||
| James Ellis Percifield | Registered representative | Nov 2014 (12y) | ||
| Matthew Hunter Durlester | Registered representative | Nov 2014 (12y) | ||
| Patrick Jones | Registered representative | Nov 2014 (12y) | ||
| Bradley Allen Mobley | Registered representative | Nov 2014 (12y) | ||
| Donna Patrice Bromfield Day | Registered representative | Dec 2014 (12y) | ||
| Jeffrey Gareth Heimstaedt | Registered representative | Dec 2014 (12y) | ||
| Danielle Marie Sollecito | Registered representative | Dec 2014 (12y) | ||
| Sandra Lee Neill | Registered representative | Dec 2014 (12y) | ||
| Hadeer Ghazwan Ghanawi | Registered representative | Dec 2014 (12y) | ||
| James Anthony Rocco | Registered representative | Dec 2014 (12y) | ||
| Michael Stephen Lang | Registered representative | Dec 2014 (12y) | ||
| Shauna Dion Bichet | Registered representative | Dec 2014 (12y) | ||
| Taylor John Cox | Registered representative | Dec 2014 (12y) | ||
| Marvin Wade Sims | Registered representative | Dec 2014 (12y) | ||
| Susan Mary Snodgrass | Registered representative | Dec 2014 (12y) | ||
| Alan Joseph Sylvestre | Registered representative | CFP | Dec 2014 (12y) | |
| Caroline Wall | Registered representative | Dec 2014 (12y) | ||
| Terry Ellen Olearyhunter | Registered representative | Dec 2014 (12y) | ||
| Todd Irven Fletcher | Registered representative | Dec 2014 (12y) | ||
| Austin Frederick Willis | Registered representative | Dec 2014 (12y) | ||
| Kimberly Ann Warner | Registered representative | Dec 2014 (12y) | ||
| Christopher John Franke | Registered representative | Dec 2014 (12y) | ||
| David Thornberry | Registered representative | Dec 2014 (12y) | ||
| Patrick Conlon Ahern | Registered representative | Dec 2014 (12y) | ||
| Thomas Rowland Lonergan | Registered representative | Dec 2014 (12y) | ||
| Danny Michael Bazar | Registered representative | Dec 2014 (12y) | ||
| Johanna Elise Laudicina | Registered representative | CFP | Dec 2014 (12y) | |
| Duncan Chi Kin Hong | Registered representative | Dec 2014 (12y) | ||
| Jenisteen Davier | Registered representative | Chartered Financial Consultant | Dec 2014 (12y) | |
| Jennifer Rae Esseff | Registered representative | CFP Chartered Financial Consultant | Dec 2014 (12y) | |
| Aleksandr Dominic Goldberg Rugalev | Registered representative | Dec 2014 (12y) | ||
| Amon Albert Allahyari | Registered representative | Dec 2014 (12y) | ||
| Gary Alan Kubesh | Registered representative | CFP | Dec 2014 (12y) | |
| Scott Reilly | Registered representative | Dec 2014 (12y) | ||
| James Butler Radovich | Registered representative | Dec 2014 (12y) | ||
| Robert Francis Powers | Registered representative | Dec 2014 (12y) | ||
| Andrew Wilson Gray Brammer | Registered representative | Dec 2014 (12y) | ||
| David Chiawei Ho | Registered representative | Dec 2014 (12y) | ||
| Hunter Michael Burton | Registered representative | CFP | Dec 2014 (12y) | |
| Zachary James Buchanan | Registered representative | CFP | Dec 2014 (12y) | |
| Richard Paul Lupkes | Registered representative | Dec 2014 (12y) | ||
| William Maguire | Registered representative | Dec 2014 (12y) | ||
| Karl Warren Freeman | Registered representative | Jan 2015 (12y) | ||
| Marti Tatum Switzer | Registered representative | CFP | Jan 2015 (12y) | |
| Nancy Joy Levy | Registered representative | Jan 2015 (12y) | ||
| Steven Thomas Dahme | Registered representative | Jan 2015 (12y) | ||
| Matthew Lee Ogurkow | Registered representative | Jan 2015 (12y) | ||
| Jenny Yuen | Registered representative | CFP | Jan 2015 (12y) | |
| Justin Marc Degroot | Registered representative | Jan 2015 (12y) | ||
| Theresa Jean Bland | Registered representative | Jan 2015 (12y) | ||
| Carter Michael Neal | Registered representative | CFP | Jan 2015 (12y) | |
| Jeanna Markovich | Registered representative | Jan 2015 (12y) | ||
| Laurie Uy Burkhardt | Registered representative | Jan 2015 (12y) | ||
| Amar Prakash Bhatt | Registered representative | Jan 2015 (12y) | ||
| Austin G Olds | Registered representative | CFP | Jan 2015 (12y) | |
| Joseph Icon | Registered representative | Jan 2015 (12y) | ||
| Todd Alan Dragoo | Registered representative | Jan 2015 (12y) | ||
| Steven Urosevich | Registered representative | Jan 2015 (12y) | ||
| Alec Michael Sankey | Registered representative | CFP Chartered Financial Consultant | Jan 2015 (12y) | |
| Daniel Joseph Goodwin | Registered representative | Jan 2015 (12y) | ||
| Frank Joseph Clemente | Registered representative | Jan 2015 (12y) | ||
| Freda Grace Beal | Registered representative | Jan 2015 (12y) | ||
| Irshad Rafi Sheikh | Registered representative | Jan 2015 (12y) | ||
| Monica Gene Allen | Registered representative | Jan 2015 (12y) | ||
| Pablo Gutierrez | Registered representative | Jan 2015 (12y) | ||
| Bruce Randall Arnett | Registered representative | Jan 2015 (12y) | ||
| Crystal Lynne Bridgforth | Registered representative | Chartered Financial Consultant | Jan 2015 (12y) | |
| Randall Alexander Arnett | Registered representative | Jan 2015 (12y) | ||
| Thomas Joseph Puccinelli | Registered representative | Jan 2015 (12y) | ||
| Wendy Katherine Williams | Registered representative | CFP | Jan 2015 (12y) | |
| William Bitsimis | Registered representative | Jan 2015 (12y) | ||
| Kimberly Eagle Overcash | Registered representative | Jan 2015 (12y) | ||
| Dakota Sunseri | Registered representative | Jan 2015 (12y) | ||
| Steven Michael Magnuson | Registered representative | CFP | Jan 2015 (12y) | |
| Bryon E Knoble | Registered representative | Jan 2015 (12y) | ||
| Drew Tyson Glantz | Registered representative | Jan 2015 (12y) | ||
| Edward Thomas Watson | Registered representative | Jan 2015 (12y) | ||
| Kari Ann Kruger | Registered representative | Jan 2015 (12y) | ||
| Michelle Lynnette Long | Registered representative | Jan 2015 (12y) | ||
| Robert Edmund Vanhorn | Registered representative | Jan 2015 (12y) | ||
| Stephen Gene Mestres | Registered representative | Jan 2015 (12y) | ||
| Albert Joseph Koesterer | Registered representative | Jan 2015 (12y) | ||
| Katie Pillow | Registered representative | Jan 2015 (12y) | ||
| Reagan Elizabeth Bates | Registered representative | Jan 2015 (12y) | ||
| Ryan Matthew Mccauley | Registered representative | Jan 2015 (12y) | ||
| Andrew Flaskerud | Registered representative | Jan 2015 (12y) | ||
| Matthew Josiah Belden | Registered representative | Jan 2015 (12y) | ||
| Robert Erik Immendorf | Registered representative | CFA | Jan 2015 (12y) | |
| Wai Man Lee Deetjen | Registered representative | Jan 2015 (12y) | ||
| Darryl Warren Ragsdale | Registered representative | Feb 2015 (11y) | ||
| Aron Keith Shimada | Registered representative | Feb 2015 (11y) | ||
| Courtney Kiera Griffith | Registered representative | Feb 2015 (11y) | ||
| Lauren Ashley Odonnell | Registered representative | Feb 2015 (11y) | ||
| Charles Paul Topp | Registered representative | Feb 2015 (11y) | ||
| Kylie Nicole Aldred | Registered representative | Feb 2015 (11y) | ||
| Douglas Edward Chasser | Registered representative | Feb 2015 (11y) | ||
| Arthur Andrew Yang | Registered representative | Feb 2015 (11y) | ||
| Harrison Matthew Clement | Registered representative | Feb 2015 (11y) | ||
| Brenden James Bosmans | Registered representative | Feb 2015 (11y) | ||
| Justin George Harmier | Registered representative | Feb 2015 (11y) | ||
| Santo Domenick Serafine | Registered representative | Feb 2015 (11y) | ||
| Jehangir Fuller Varzi | Registered representative | Feb 2015 (11y) | ||
| Juan Ley | Registered representative | CFP | Feb 2015 (11y) | |
| Matthew Ryan Bloom | Registered representative | CFP | Feb 2015 (11y) | |
| Michelle Brown Davenport | Registered representative | Feb 2015 (11y) | ||
| Mitchell Gravelle | Registered representative | Feb 2015 (11y) | ||
| Tiffany S Callahan | Registered representative | CFP | Feb 2015 (11y) | |
| Cari Beth Rothfeld | Registered representative | Feb 2015 (11y) | ||
| Abigail Campbell | Registered representative | CFP | Feb 2015 (11y) | |
| Bethany Nicole Roberts | Registered representative | Feb 2015 (11y) | ||
| Paul Joseph Johnson | Registered representative | Feb 2015 (11y) | ||
| Ryan Alexander Salmon | Registered representative | CFA | Feb 2015 (11y) | |
| Thomas Taylor | Registered representative | Feb 2015 (11y) | ||
| Bryan Robert Bosmans | Registered representative | Feb 2015 (11y) | ||
| David Gunn Khang | Registered representative | Feb 2015 (11y) | ||
| Derek Timothy Evans | Registered representative | Feb 2015 (11y) | ||
| Nathan Alan Pike | Registered representative | Feb 2015 (11y) | ||
| Vicki Renee Robinson | Registered representative | Feb 2015 (11y) | ||
| Diana Dawson | Registered representative | Feb 2015 (11y) | ||
| Dylan James Lenderink | Registered representative | Feb 2015 (11y) | ||
| Kurt Freeman Murphy | Registered representative | Feb 2015 (11y) | ||
| Marie Rose Morgan | Registered representative | Feb 2015 (11y) | ||
| Samuel Sawyer Barnes | Registered representative | Feb 2015 (11y) | ||
| Todd Grant Vitale | Registered representative | Feb 2015 (11y) | ||
| Christopher Malone Nagle | Registered representative | Mar 2015 (11y) | ||
| Jason R Minard | Registered representative | Mar 2015 (11y) | ||
| Jennifer Lynn Schumacher | Registered representative | Mar 2015 (11y) | ||
| Marcus Andrew Heckman | Registered representative | Mar 2015 (11y) | ||
| Elena Gosheva Kostova | Registered representative | CFP | Mar 2015 (11y) | |
| Jeffrey Garrett Thompson | Registered representative | Mar 2015 (11y) | ||
| William Benjamin Gladney | Registered representative | Mar 2015 (11y) | ||
| Eileen Barnes Cole | Registered representative | Mar 2015 (11y) | ||
| David Frank Giunta | Registered representative | Mar 2015 (11y) | ||
| Justin Irving | Registered representative | Mar 2015 (11y) | ||
| Leigh Coates Giunta | Registered representative | Mar 2015 (11y) | ||
| Thomas Adrian Taylor | Registered representative | Mar 2015 (11y) | ||
| Colin Michael Dempsey | Registered representative | Mar 2015 (11y) | ||
| David Thomas Salustro | Registered representative | Mar 2015 (11y) | ||
| Lorenzo Santiago | Registered representative | Mar 2015 (11y) | ||
| Michael S Kratz | Registered representative | Mar 2015 (11y) | ||
| Miranda Holman | Registered representative | Mar 2015 (11y) | ||
| Scott Allison Chambers | Registered representative | Mar 2015 (11y) | ||
| Charmaine Brown | Registered representative | Mar 2015 (11y) | ||
| Kimberly Taylor Blenckstone | Registered representative | Mar 2015 (11y) | ||
| David Angelo Correale | Registered representative | CFP | Mar 2015 (11y) | |
| Gerard Joseph Olinger | Registered representative | Mar 2015 (11y) | ||
| Adam Stuart Pike | Registered representative | Mar 2015 (11y) | ||
| Sau Ping Lee | Registered representative | Chartered Financial Consultant | Mar 2015 (11y) | |
| Maria Linda Ahern | Registered representative | Mar 2015 (11y) | ||
| Elizabeth Ann Allen | Registered representative | Mar 2015 (11y) | ||
| Raymond Joseph Palmer | Registered representative | Mar 2015 (11y) | ||
| Alan Gregory Shapiro | Registered representative | CFP | Mar 2015 (11y) | |
| Brian Lee Shue | Registered representative | Mar 2015 (11y) | ||
| Colleen O'hara Shue | Registered representative | Mar 2015 (11y) | ||
| Daniel Keith Avan | Registered representative | Mar 2015 (11y) | ||
| Aaron Scott Richman | Registered representative | Mar 2015 (11y) | ||
| Jacob Michael Drescher | Registered representative | Mar 2015 (11y) | ||
| Eric James Cromwell | Registered representative | Mar 2015 (11y) | ||
| Chandler Thomas Wood | Registered representative | Apr 2015 (11y) | ||
| Deborah King Hightower | Registered representative | Apr 2015 (11y) | ||
| Rodney Jay Mckine | Registered representative | Apr 2015 (11y) | ||
| Andrew James Schoenike | Registered representative | CFP | Apr 2015 (11y) | |
| Angelena M Hayes | Registered representative | Apr 2015 (11y) | ||
| Claudio Emanuel Boroica | Registered representative | Apr 2015 (11y) | ||
| Tyler Isaac Draper | Registered representative | Apr 2015 (11y) | ||
| Charles Zhong Zheng | Registered representative | Apr 2015 (11y) | ||
| Stephan George Gonzalez Llanes | Registered representative | Apr 2015 (11y) | ||
| Christopher James Koehler | Registered representative | Apr 2015 (11y) | ||
| Manju Tuladhar | Registered representative | Apr 2015 (11y) | ||
| Matthew Jay Tripp | Registered representative | Apr 2015 (11y) | ||
| Kathryn Ingersoll Mclaughlin | Registered representative | Apr 2015 (11y) | ||
| Rezart Ismolli | Registered representative | Apr 2015 (11y) | ||
| Thomas Francis Kennedy | Registered representative | Apr 2015 (11y) | ||
| Martin Camarena | Registered representative | Apr 2015 (11y) | ||
| Matthew Allen Hoffman | Registered representative | Apr 2015 (11y) | ||
| Brian Chonkit Lei | Registered representative | Apr 2015 (11y) | ||
| Kevin John Gieraltowski | Registered representative | Apr 2015 (11y) | ||
| Tyson Frederick Martin | Registered representative | Apr 2015 (11y) | ||
| Andrew Liu | Registered representative | CFP | Apr 2015 (11y) | |
| Steven Michael Polk | Registered representative | CFP | Apr 2015 (11y) | |
| Antonio Desoto | Registered representative | Apr 2015 (11y) | ||
| Preston Chandler Shaw | Registered representative | Apr 2015 (11y) | ||
| Michael Vincent Susini | Registered representative | Apr 2015 (11y) | ||
| Julian S Quasha | Registered representative | Apr 2015 (11y) | ||
| Joseph Javier Sanchez | Registered representative | Apr 2015 (11y) | ||
| Joseph L Green | Registered representative | Apr 2015 (11y) | ||
| Allison Taylor Coward | Registered representative | May 2015 (11y) | ||
| Elizabeth Alexandra Troutman Lear | Registered representative | May 2015 (11y) | ||
| Juliann Deshai Scruggs | Registered representative | May 2015 (11y) | ||
| Kelly Shrader Williams | Registered representative | May 2015 (11y) | ||
| Munther B. Abdallah | Registered representative | May 2015 (11y) | ||
| Nicole M Christian | Registered representative | May 2015 (11y) | ||
| Peter Lind Signor | Registered representative | May 2015 (11y) | ||
| Richard M. Sofiak | Registered representative | May 2015 (11y) | ||
| Margaret Matthews Todd | Registered representative | CFP | May 2015 (11y) | |
| Ryan Lenahan | Registered representative | May 2015 (11y) | ||
| Tonja Lynn Casey | Registered representative | May 2015 (11y) | ||
| Joshua Brandon Webb | Registered representative | May 2015 (11y) | ||
| Steven Lynn Meadows | Registered representative | May 2015 (11y) | ||
| Randy John Netto | Registered representative | May 2015 (11y) | ||
| Sherri Lyn Prescott | Registered representative | May 2015 (11y) | ||
| George Lee Karnes | Registered representative | May 2015 (11y) | ||
| George Louis Gagnon | Registered representative | May 2015 (11y) | ||
| Gary Alan Kling | Registered representative | May 2015 (11y) | ||
| Lynn Joy Anderson | Registered representative | May 2015 (11y) | ||
| Diana Moreno | Registered representative | May 2015 (11y) | ||
| Maria Jara Martinez | Registered representative | May 2015 (11y) | ||
| Jeffrey Todd Bach | Registered representative | May 2015 (11y) | ||
| Yale Joseph | Registered representative | May 2015 (11y) | ||
| Todd Michael Edwards | Registered representative | CFP | May 2015 (11y) | |
| Daojun Hauptman | Registered representative | May 2015 (11y) | ||
| Ethan Riley Nelson | Registered representative | CFP | May 2015 (11y) | |
| Joel Sanabria | Registered representative | May 2015 (11y) | ||
| Laura Anne Dailey | Registered representative | May 2015 (11y) | ||
| Brainard Henry Warner | Registered representative | May 2015 (11y) | ||
| Aaron Lee Barber | Registered representative | May 2015 (11y) | ||
| Lawrence Evans Lackey | Registered representative | May 2015 (11y) | ||
| Robert Wendell Jones | Registered representative | May 2015 (11y) | ||
| Erica Rhea Pisciotta | Registered representative | May 2015 (11y) | ||
| Danilo Prada | Registered representative | CFP | Jun 2015 (11y) | |
| Nicholas Gordon Luce | Registered representative | Jun 2015 (11y) | ||
| William Christopher Yonce | Registered representative | Jun 2015 (11y) | ||
| Christine Depiante Lutz | Registered representative | Jun 2015 (11y) | ||
| Gregorio Lorse Beck | Registered representative | Jun 2015 (11y) | ||
| Jodi Elise Timmons | Registered representative | Jun 2015 (11y) | ||
| Linda Montoya Mullen | Registered representative | Jun 2015 (11y) | ||
| Steven Francis O'brien | Registered representative | Jun 2015 (11y) | ||
| Andrew James Strauss | Registered representative | Jun 2015 (11y) | ||
| Benjamin Thomas Wheeler | Registered representative | Jun 2015 (11y) | ||
| Jackie Stern | Registered representative | Jun 2015 (11y) | ||
| Margaret Tiffany Tableriou | Registered representative | Jun 2015 (11y) | ||
| Cheri Louise Montgomery | Registered representative | Jun 2015 (11y) | ||
| Lawrence Giambalvo | Registered representative | Jun 2015 (11y) | ||
| Deborah Jones Horn | Registered representative | Jun 2015 (11y) | ||
| Sabrina Ann Coles | Registered representative | Jun 2015 (11y) | ||
| Brendan Michael Reynolds | Registered representative | Jun 2015 (11y) | ||
| Siobhan Heavren Mcintyre | Registered representative | Jun 2015 (11y) | ||
| Teresa Ann Maxwell | Registered representative | Jun 2015 (11y) | ||
| Courtney Gleckner Maccarella | Registered representative | Jun 2015 (11y) | ||
| Liliana Jimenez | Registered representative | Jun 2015 (11y) | ||
| Patricia George | Registered representative | Jun 2015 (11y) | ||
| Daniel Litchfield | Registered representative | Jun 2015 (11y) | ||
| Laura N Timmermann | Registered representative | Jun 2015 (11y) | ||
| Christian Curtis Barsi | Registered representative | Jun 2015 (11y) | ||
| Charles Thomas Carroll | Registered representative | Jun 2015 (11y) | ||
| Sheldon C Stewart | Registered representative | Jun 2015 (11y) | ||
| Sheryl May Carroll | Registered representative | Jun 2015 (11y) | ||
| Christine Marie Brown | Registered representative | Jun 2015 (11y) | ||
| Matthew Ryan Walker | Registered representative | Jun 2015 (11y) | ||
| Robert Donald Scott | Registered representative | Jun 2015 (11y) | ||
| Christopher James Desimio | Registered representative | Jun 2015 (11y) | ||
| Jeffrey Dennis Kerrigan | Registered representative | Jun 2015 (11y) | ||
| Michael Robert Leonard | Registered representative | Jun 2015 (11y) | ||
| Anthony Marc Meyer | Registered representative | Jul 2015 (11y) | ||
| Jenna Adams | Registered representative | Jul 2015 (11y) | ||
| Mark D Sullivan | Registered representative | Jul 2015 (11y) | ||
| Kathleen Walsh Counts | Registered representative | Jul 2015 (11y) | ||
| Michael Carl Freiheit | Registered representative | Jul 2015 (11y) | ||
| Erik Carl Wellman | Registered representative | Jul 2015 (11y) | ||
| Glenn Kenneth Ziegler | Registered representative | Jul 2015 (11y) | ||
| Darold Alonza Hinds | Registered representative | Jul 2015 (11y) | ||
| Nathan David Graves | Registered representative | Jul 2015 (11y) | ||
| Sandra Michele Penton | Registered representative | Jul 2015 (11y) | ||
| Naomi Serna Marty | Registered representative | Jul 2015 (11y) | ||
| Robert Conway Bishop | Registered representative | Jul 2015 (11y) | ||
| Michele Taylor Dewalt | Registered representative | Jul 2015 (11y) | ||
| Caroline Faraino Hanzlik | Registered representative | Jul 2015 (11y) | ||
| Casey Adam Bacica | Registered representative | Jul 2015 (11y) | ||
| Adam Thomas Dugaw | Registered representative | Jul 2015 (11y) | ||
| Adrian B Sampieri | Registered representative | Jul 2015 (11y) | ||
| Geoffrey Mark Lesuer | Registered representative | CFP | Jul 2015 (11y) | |
| Stephanie Allen Warren | Registered representative | Jul 2015 (11y) | ||
| Taylor M. Lipps | Registered representative | Jul 2015 (11y) | ||
| Tyler Aiken | Registered representative | CFP | Jul 2015 (11y) | |
| David John Warholak | Registered representative | CFP | Jul 2015 (11y) | |
| Irene Elena Tyler | Registered representative | Jul 2015 (11y) | ||
| Michael Ross Cocke | Registered representative | Jul 2015 (11y) | ||
| Nicole Christine Anderson | Registered representative | Jul 2015 (11y) | ||
| William Eugene Schick | Registered representative | Jul 2015 (11y) | ||
| Erik William Thompson | Registered representative | Jul 2015 (11y) | ||
| Kyle Carmen Black | Registered representative | Jul 2015 (11y) | ||
| Daniel Arthur Roblin | Registered representative | CFP | Jul 2015 (11y) | |
| Maureen Kearney Clancy | Registered representative | Jul 2015 (11y) | ||
| Stephanie Tretina Polak | Registered representative | Jul 2015 (11y) | ||
| Christopher Roland Holthe | Registered representative | Jul 2015 (11y) | ||
| Blanca Iris Rivera | Registered representative | Jul 2015 (11y) | ||
| Michael Charles Grannis | Registered representative | Jul 2015 (11y) | ||
| Deborah May Foust | Registered representative | Jul 2015 (11y) | ||
| Fady Hani Ibrahim | Registered representative | Jul 2015 (11y) | ||
| Jeremi Christopher Marten | Registered representative | Jul 2015 (11y) | ||
| Calandra R Bryant | Registered representative | Jul 2015 (11y) | ||
| Carlos Mauricio Carrillo | Registered representative | Jul 2015 (11y) | ||
| Nicole Canales Hogan | Registered representative | Jul 2015 (11y) | ||
| Robert Lewis Burns | Registered representative | Jul 2015 (11y) | ||
| Jenna Rachel Fiore | Registered representative | Aug 2015 (11y) | ||
| Brian Thomas Wilber | Registered representative | Aug 2015 (11y) | ||
| Christopher Ahearn | Registered representative | Aug 2015 (11y) | ||
| Alex Ernest Myers | Registered representative | Aug 2015 (11y) | ||
| Andrea Lee Nicholas | Registered representative | Aug 2015 (11y) | ||
| Joel Eugene Myers | Registered representative | Aug 2015 (11y) | ||
| Nathaniel Aaron Sorenson | Registered representative | Aug 2015 (11y) | ||
| Robyn Walthall | Registered representative | Aug 2015 (11y) | ||
| William Joshua Meier | Registered representative | Aug 2015 (11y) | ||
| Robert Daniel Suss | Registered representative | Aug 2015 (11y) | ||
| Frances Snowden Hamrick | Registered representative | Aug 2015 (11y) | ||
| Jason Robert Guttenberg | Registered representative | Aug 2015 (11y) | ||
| Mark Sidney Bell | Registered representative | Aug 2015 (11y) | ||
| Matthew Paul Bollinger | Registered representative | Aug 2015 (11y) | ||
| Michael Eugene Murphy | Registered representative | Aug 2015 (11y) | ||
| Sandeep Sunny Sood | Registered representative | CFP | Aug 2015 (11y) | |
| William John Dunn | Registered representative | Aug 2015 (11y) | ||
| Harshil Rajendrabhai Patel | Registered representative | Aug 2015 (11y) | ||
| Stephen Raymond Lee | Registered representative | Aug 2015 (11y) | ||
| Daniel Fredrick Radtke | Registered representative | Aug 2015 (11y) | ||
| Matthew John Roggen | Registered representative | Aug 2015 (11y) | ||
| Mace Nelson Maraman | Registered representative | Aug 2015 (11y) | ||
| Nichole Rabon | Registered representative | Aug 2015 (11y) | ||
| Vadim Vladimirovich Salov | Registered representative | Aug 2015 (11y) | ||
| Adam Wesley Pupillo | Registered representative | Aug 2015 (11y) | ||
| Jonathan Daniel Weber | Registered representative | Aug 2015 (11y) | ||
| Michael Kevin Ryan | Registered representative | CFP | Aug 2015 (11y) | |
| Alan Stuart Weintraub | Registered representative | Aug 2015 (11y) | ||
| Jonathan David Schlackman | Registered representative | Aug 2015 (11y) | ||
| Joshua Daniel Zamat | Registered representative | Aug 2015 (11y) | ||
| Linda Burnett Hodges | Registered representative | Aug 2015 (11y) | ||
| Loretta Felix | Registered representative | Aug 2015 (11y) | ||
| John Gordon Howard | Registered representative | Aug 2015 (11y) | ||
| Mark Murray | Registered representative | Aug 2015 (11y) | ||
| Zachary Taylor Bess | Registered representative | Aug 2015 (11y) | ||
| Abraheim Ahmed Ali | Registered representative | CFP | Aug 2015 (11y) | |
| Jeffrey Willard | Registered representative | Aug 2015 (11y) | ||
| Brady Lee Finkenaur | Registered representative | CFP CFA | Aug 2015 (11y) | |
| Donna Marie Scallo | Registered representative | Aug 2015 (11y) | ||
| Ernesto Asael Saenz | Registered representative | Aug 2015 (11y) | ||
| Charles Morgan Cole | Registered representative | Sep 2015 (11y) | ||
| James Morgan Levitt | Registered representative | Sep 2015 (11y) | ||
| Jeffrey Mark Shuster | Registered representative | Sep 2015 (11y) | ||
| Jessalyn Rae Withers | Registered representative | Sep 2015 (11y) | ||
| Joseph Michael Lafferty | Registered representative | Sep 2015 (11y) | ||
| Kimberly Jackson Fernandez | Registered representative | Sep 2015 (11y) | ||
| Marcela Becerra | Registered representative | Sep 2015 (11y) | ||
| Michael Robert Rosen | Registered representative | Sep 2015 (11y) | ||
| Steven Lee Light | Registered representative | Sep 2015 (11y) | ||
| Toby Meador | Registered representative | Sep 2015 (11y) | ||
| Tori Devries Temme | Registered representative | Sep 2015 (11y) | ||
| Travis Kent Dillard | Registered representative | Sep 2015 (11y) | ||
| Raymond Heath | Registered representative | Sep 2015 (11y) | ||
| Stephanie Jessica Drew | Registered representative | Sep 2015 (11y) | ||
| Andrew Alan Weinkle | Registered representative | Sep 2015 (11y) | ||
| Brian Earle Weinkle | Registered representative | Sep 2015 (11y) | ||
| Goran Kociski | Registered representative | Sep 2015 (11y) | ||
| Pamela Goforth Batson | Registered representative | CFP | Sep 2015 (11y) | |
| Christopher Ernest Hill | Registered representative | CFA | Sep 2015 (11y) | |
| Simon Ga Jeung Leung | Registered representative | Sep 2015 (11y) | ||
| Rhonda Lea Ledford | Registered representative | CFP | Sep 2015 (11y) | |
| Nicholas Alan Burchfield | Registered representative | Sep 2015 (11y) | ||
| Jason Andrew Paladino | Registered representative | Sep 2015 (11y) | ||
| Artemio F Mercado | Registered representative | Sep 2015 (11y) | ||
| Joseph Richard Rubin | Registered representative | Sep 2015 (11y) | ||
| David John Kelly | Registered representative | Sep 2015 (11y) | ||
| Lily Chanlei Kam | Registered representative | Sep 2015 (11y) | ||
| John Floyd Rowe | Registered representative | Sep 2015 (11y) | ||
| Andrew Lundy Haliday | Registered representative | Sep 2015 (11y) | ||
| David Finn | Registered representative | Sep 2015 (11y) | ||
| Kenneth Steven Dammann | Registered representative | Sep 2015 (11y) | ||
| Thurman Lee Willis | Registered representative | Sep 2015 (11y) | ||
| Curt Michael Kruse | Registered representative | Sep 2015 (11y) | ||
| John Frank Halper | Registered representative | Sep 2015 (11y) | ||
| Joseph Michael Chesna | Registered representative | Sep 2015 (11y) | ||
| Amanda Lorraine Gust | Registered representative | Sep 2015 (11y) | ||
| Jason George Parseghian | Registered representative | Sep 2015 (11y) | ||
| Michael Ashley Nelson | Registered representative | Sep 2015 (11y) | ||
| Jordan Bowie Loshy | Registered representative | Sep 2015 (11y) | ||
| Luis Gerardo Borquez | Registered representative | Sep 2015 (11y) | ||
| Susan Marcia Rosenberg | Registered representative | Sep 2015 (11y) | ||
| Thomas Stacy Dillon | Registered representative | Sep 2015 (11y) | ||
| Malgorzata Magdalena Szyfer | Registered representative | Oct 2015 (11y) | ||
| Nancy Louise Mccready | Registered representative | CFP | Oct 2015 (11y) | |
| Jorge Andy Aguilar | Registered representative | CFP | Oct 2015 (11y) | |
| Michael Joseph Rabasca | Registered representative | Oct 2015 (11y) | ||
| Zhongguang Chen | Registered representative | Oct 2015 (11y) | ||
| Alexander Agostino Aiello | Registered representative | Oct 2015 (11y) | ||
| Brendan Patrick Dwyer | Registered representative | Oct 2015 (11y) | ||
| Jeremy Blair Seck | Registered representative | Oct 2015 (11y) | ||
| Paige Reese Harrison | Registered representative | Oct 2015 (11y) | ||
| Alisa Hux Isenhower | Registered representative | Oct 2015 (11y) | ||
| Andrew Page Wirth | Registered representative | Oct 2015 (11y) | ||
| Anthony Scott Rubin | Registered representative | Oct 2015 (11y) | ||
| Michael James Lykens | Registered representative | Oct 2015 (11y) | ||
| Susan Marie Krech | Registered representative | Oct 2015 (11y) | ||
| David Wade Payne | Registered representative | Oct 2015 (11y) | ||
| James Stephen Buehler | Registered representative | Oct 2015 (11y) | ||
| Mark Aaron Musgrove | Registered representative | Oct 2015 (11y) | ||
| Peter Martin De Luna | Registered representative | Oct 2015 (11y) | ||
| Jeffrey Adam Strzelczyk | Registered representative | Oct 2015 (11y) | ||
| Kristin J Savoy | Registered representative | Oct 2015 (11y) | ||
| Matthew William Rasberry | Registered representative | Oct 2015 (11y) | ||
| Peter Charles Contino | Registered representative | CFP | Oct 2015 (11y) | |
| Jason David Hermansen | Registered representative | Oct 2015 (11y) | ||
| John Andrew Sontag | Registered representative | CFP | Oct 2015 (11y) | |
| Craig Andrew Goldberg | Registered representative | Oct 2015 (11y) | ||
| David Bachus Baller | Registered representative | Oct 2015 (11y) | ||
| Elias Vincent Davis | Registered representative | Oct 2015 (11y) | ||
| James Dan Heard | Registered representative | Oct 2015 (11y) | ||
| Jennifer Campion Daly | Registered representative | CFP | Oct 2015 (11y) | |
| Wayne D Baller | Registered representative | Oct 2015 (11y) | ||
| Carl Robert Montgomery | Registered representative | Oct 2015 (11y) | ||
| Kathryn Louise Owen | Registered representative | Oct 2015 (11y) | ||
| Nicholas Eugene Toy | Registered representative | CFP CFA | Oct 2015 (11y) | |
| Tina Marie Duran | Registered representative | Oct 2015 (11y) | ||
| Jonathan Howard Zucker | Registered representative | Oct 2015 (11y) | ||
| Cory William Britton | Registered representative | Oct 2015 (11y) | ||
| Margaret Elizabeth Mahone | Registered representative | Oct 2015 (11y) | ||
| Michael Warren Neff | Registered representative | Oct 2015 (11y) | ||
| Bethany Anne Schmittel | Registered representative | Oct 2015 (11y) | ||
| Bryan Edward Curtis | Registered representative | Oct 2015 (11y) | ||
| Gregory Richard Liguori | Registered representative | Oct 2015 (11y) | ||
| Stacey Christine Axtell | Registered representative | Oct 2015 (11y) | ||
| Karen Jeannette Glomb | Registered representative | Oct 2015 (11y) | ||
| Shelley Denise Sedor | Registered representative | Oct 2015 (11y) | ||
| David Manlove | Registered representative | Oct 2015 (11y) | ||
| David Seth Helman | Registered representative | Oct 2015 (11y) | ||
| Jeffrey Charles Andrews | Registered representative | Oct 2015 (11y) | ||
| Paul Steinbiss | Registered representative | Oct 2015 (11y) | ||
| Adamo Stephen Calistri | Registered representative | Oct 2015 (11y) | ||
| Brian Christian Praetzel | Registered representative | Oct 2015 (11y) | ||
| Bryan Keith Chatman | Registered representative | Oct 2015 (11y) | ||
| David M Hoffman | Registered representative | Oct 2015 (11y) | ||
| Jessica Poeng Cuevas | Registered representative | Oct 2015 (11y) | ||
| Elaine Perdue Mccauley Stump | Registered representative | Nov 2015 (11y) | ||
| Kent Clyte Mathis | Registered representative | Nov 2015 (11y) | ||
| Lori Kamuf | Registered representative | Nov 2015 (11y) | ||
| Mark Richard Maller | Registered representative | Nov 2015 (11y) | ||
| Michael Hamilton Hopper | Registered representative | Nov 2015 (11y) | ||
| Robert Axel Munro | Registered representative | Nov 2015 (11y) | ||
| Christopher John Harwell | Registered representative | Nov 2015 (11y) | ||
| Stephen Ulmer | Registered representative | Nov 2015 (11y) | ||
| Duane J Perry | Registered representative | Nov 2015 (11y) | ||
| Michael Steven Jim | Registered representative | Nov 2015 (11y) | ||
| Sharon Leilani Thompson | Registered representative | Nov 2015 (11y) | ||
| David Cole Durrill | Registered representative | Nov 2015 (11y) | ||
| Joseph Edward Traba | Registered representative | Nov 2015 (11y) | ||
| Katherine Marie Patterson | Registered representative | Nov 2015 (11y) | ||
| Laura Ann Bozek | Registered representative | Nov 2015 (11y) | ||
| Melinda Marie Corbley | Registered representative | Nov 2015 (11y) | ||
| Khanh Thuan Dac | Registered representative | Nov 2015 (11y) | ||
| Steven David Ferris | Registered representative | Nov 2015 (11y) | ||
| Christopher C Cordle | Registered representative | Nov 2015 (11y) | ||
| Jeffery Miloszewski | Registered representative | Nov 2015 (11y) | ||
| Kenneth Earl Hayes | Registered representative | CFP | Nov 2015 (11y) | |
| Curtis Cameron Todd | Registered representative | Nov 2015 (11y) | ||
| Edward Thomas Finocchiaro | Registered representative | Nov 2015 (11y) | ||
| Devon Michelle Ferdon | Registered representative | Nov 2015 (11y) | ||
| Deborah Kim Hazard Macneil | Registered representative | Nov 2015 (11y) | ||
| Jeffrey Ross Taylor | Registered representative | Nov 2015 (11y) | ||
| John Myles Donovan | Registered representative | Nov 2015 (11y) | ||
| Scott Frederick Blanchard | Registered representative | Nov 2015 (11y) | ||
| Aaron Anthony Leeper | Registered representative | Nov 2015 (11y) | ||
| Christina T Smith | Registered representative | Nov 2015 (11y) | ||
| Cindy Ngoc Duong | Registered representative | Nov 2015 (11y) | ||
| Kalie H Baucom | Registered representative | Nov 2015 (11y) | ||
| Tresha L Anderson | Registered representative | Nov 2015 (11y) | ||
| Brian Blass | Registered representative | Dec 2015 (11y) | ||
| Tonya Janee Green | Registered representative | Dec 2015 (11y) | ||
| Victor William Sobers | Registered representative | Dec 2015 (11y) | ||
| Brian Crews Lubeck | Registered representative | CFP | Dec 2015 (11y) | |
| Derek John Chaffin | Registered representative | Dec 2015 (11y) | ||
| Soraya Samois Teymourian | Registered representative | Dec 2015 (11y) | ||
| James Edward Thomson | Registered representative | Dec 2015 (11y) | ||
| James Russell Stanley | Registered representative | Dec 2015 (11y) | ||
| Jeffery Kent Evans | Registered representative | Dec 2015 (11y) | ||
| Patricia Lynn Kempfer | Registered representative | Dec 2015 (11y) | ||
| Eric David Kincade | Registered representative | Dec 2015 (11y) | ||
| Patricia Gonzalez | Registered representative | Dec 2015 (11y) | ||
| Nathan Paul Zeeb | Registered representative | CFP | Dec 2015 (11y) | |
| Brian Schlichter | Registered representative | Dec 2015 (11y) | ||
| Nathan Steven Alger | Registered representative | Dec 2015 (11y) | ||
| Alberto Suarez | Registered representative | Dec 2015 (11y) | ||
| Carl Martin Trevisan | Registered representative | CFP | Dec 2015 (11y) | |
| Catherine Derby Burgess | Registered representative | CFP | Dec 2015 (11y) | |
| Nauman Peerwani | Registered representative | Dec 2015 (11y) | ||
| Nicole Maltese | Registered representative | Dec 2015 (11y) | ||
| Stephen Michael Bearce | Registered representative | Dec 2015 (11y) | ||
| Tanya Sabrina Castellanos | Registered representative | Dec 2015 (11y) | ||
| Alisha Auldridge | Registered representative | Dec 2015 (11y) | ||
| James Andrew Cummings | Registered representative | Dec 2015 (11y) | ||
| Jeanette P. Hopkins | Registered representative | Dec 2015 (11y) | ||
| Ryan Patrick Fotis | Registered representative | Dec 2015 (11y) | ||
| Andrew Joseph O Connell | Registered representative | Dec 2015 (11y) | ||
| Craig Ray Swann | Registered representative | Dec 2015 (11y) | ||
| Michael Robert Cordes | Registered representative | Dec 2015 (11y) | ||
| Patricia Ann Thompson | Registered representative | Dec 2015 (11y) | ||
| Sharon Rae Scoville | Registered representative | Dec 2015 (11y) | ||
| Behdod Ali Vaghefi | Registered representative | Dec 2015 (11y) | ||
| Jack Liang Hsia | Registered representative | Dec 2015 (11y) | ||
| Jamie Robert Nero | Registered representative | Dec 2015 (11y) | ||
| Joyce Ann Smith | Registered representative | Dec 2015 (11y) | ||
| Michael Richard Winkhart | Registered representative | Dec 2015 (11y) | ||
| Michelle Joan Wendling | Registered representative | Dec 2015 (11y) | ||
| Peter John Pritz | Registered representative | Dec 2015 (11y) | ||
| Rosario Cabo Chan Cabrera | Registered representative | Dec 2015 (11y) | ||
| Sandor Mihaly Takacs | Registered representative | Dec 2015 (11y) | ||
| Sanford Michael Katz | Registered representative | Dec 2015 (11y) | ||
| Timothy Gilligan | Registered representative | Dec 2015 (11y) | ||
| Brandon Robert Hays | Registered representative | Dec 2015 (11y) | ||
| Todd Alan Baird | Registered representative | Dec 2015 (11y) | ||
| Andy Murphy | Registered representative | Dec 2015 (11y) | ||
| Christopher Charles Gerrish | Registered representative | Dec 2015 (11y) | ||
| Jonathan Travis Adcock | Registered representative | Dec 2015 (11y) | ||
| Juan Ramon Plascencia | Registered representative | CFP | Dec 2015 (11y) | |
| Kimberly Wooden Woodson | Registered representative | Dec 2015 (11y) | ||
| Briana Marie Schmidt | Registered representative | Dec 2015 (11y) | ||
| Hui Y Sinirath | Registered representative | Dec 2015 (11y) | ||
| Aubrey Wolfe | Registered representative | Dec 2015 (11y) | ||
| Sean Carleton Glaede | Registered representative | Dec 2015 (11y) | ||
| Danny Cruz Delacruz | Registered representative | Jan 2016 (11y) | ||
| Todd James Mullen | Registered representative | Jan 2016 (11y) | ||
| Asha Marie Gales | Registered representative | Jan 2016 (11y) | ||
| Franklin Lee Rogers | Registered representative | CFP | Jan 2016 (11y) | |
| Jennifer Leigh Howard | Registered representative | Jan 2016 (11y) | ||
| Philip Edward Cowen | Registered representative | CFA | Jan 2016 (11y) | |
| Ronald David Parrish | Registered representative | Jan 2016 (11y) | ||
| Mark A. Grimsrud | Registered representative | Jan 2016 (11y) | ||
| Raquel Renee Peregrin | Registered representative | Jan 2016 (11y) | ||
| Anthony Stanius | Registered representative | Jan 2016 (11y) | ||
| Howard Underwood | Registered representative | Jan 2016 (11y) | ||
| Jason Harry Lewis | Registered representative | Jan 2016 (11y) | ||
| Jennyliz Hernandez | Registered representative | Jan 2016 (11y) | ||
| John Thomas Zensen | Registered representative | Jan 2016 (11y) | ||
| Michele Messmer | Registered representative | Jan 2016 (11y) | ||
| Sean Rayner | Registered representative | Jan 2016 (11y) | ||
| Chad Bolen | Registered representative | Jan 2016 (11y) | ||
| Gerald Hannah | Registered representative | CFP | Jan 2016 (11y) | |
| Dzenana Palalija | Registered representative | Jan 2016 (11y) | ||
| Kimberly Kay Townes | Registered representative | Jan 2016 (11y) | ||
| Leif M Quinlan | Registered representative | Jan 2016 (11y) | ||
| Richard Joseph Kirsch | Registered representative | Jan 2016 (11y) | ||
| Jeffrey Lee Peterson | Registered representative | Jan 2016 (11y) | ||
| Ronald E Medaris | Registered representative | Jan 2016 (11y) | ||
| Daniel Philip Madura | Registered representative | Jan 2016 (11y) | ||
| George Thomas Gillen | Registered representative | Jan 2016 (11y) | ||
| Jeffrey Robert Stewart | Registered representative | CFP | Jan 2016 (11y) | |
| Anthony Louis Celentano | Registered representative | Jan 2016 (11y) | ||
| Charles David Kurtzman | Registered representative | Jan 2016 (11y) | ||
| Christopher Hunter Atlee | Registered representative | Jan 2016 (11y) | ||
| Jeffrey Alan Kidd | Registered representative | CFP | Jan 2016 (11y) | |
| Jodi Nozoe Chang | Registered representative | CFP | Jan 2016 (11y) | |
| Susan Alice Kokat | Registered representative | Jan 2016 (11y) | ||
| Thomas Edward Stapleton | Registered representative | Jan 2016 (11y) | ||
| John Gregory Yuzzolin | Registered representative | Jan 2016 (11y) | ||
| Samuel Nathan Tenenbaum | Registered representative | Jan 2016 (11y) | ||
| John Tomas Mccauley | Registered representative | CFP | Jan 2016 (11y) | |
| Gary Stephen Gounaris | Registered representative | Jan 2016 (11y) | ||
| Joseph Richard Godwin | Registered representative | Jan 2016 (11y) | ||
| Katie L Hemmert | Registered representative | Jan 2016 (11y) | ||
| Timothy J Mairs | Registered representative | Jan 2016 (11y) | ||
| Alfred Erwin Braun | Registered representative | Jan 2016 (11y) | ||
| Brian Scot Stevenson | Registered representative | Jan 2016 (11y) | ||
| Jason Samuel Knapp | Registered representative | Jan 2016 (11y) | ||
| Julie C Kayser | Registered representative | Jan 2016 (11y) | ||
| Karen Joanne Neff | Registered representative | Jan 2016 (11y) | ||
| Craig Alan Beattie | Registered representative | Jan 2016 (11y) | ||
| Patricia Marianne Bebber | Registered representative | Jan 2016 (11y) | ||
| Chase Lyn Van Dam | Registered representative | Jan 2016 (11y) | ||
| John C Lillywhite | Registered representative | Jan 2016 (11y) | ||
| Andrew Adam Mazlin | Registered representative | Feb 2016 (11y) | ||
| Andrew L. Mccormick | Registered representative | Feb 2016 (11y) | ||
| Angela Chepchirchir Kigen | Registered representative | Feb 2016 (11y) | ||
| Anthony Vito Demarco | Registered representative | Feb 2016 (11y) | ||
| Christy Higgins Hooper | Registered representative | Feb 2016 (11y) | ||
| Kirsten Herring Clark | Registered representative | Feb 2016 (11y) | ||
| Mark William Naso | Registered representative | CFP | Feb 2016 (11y) | |
| Michael Cenci | Registered representative | Feb 2016 (11y) | ||
| Christopher Scott Mergardt | Registered representative | Feb 2016 (10y) | ||
| Joseph Amato Anastasio | Registered representative | Feb 2016 (10y) | ||
| Marcella Lane Mccachren | Registered representative | Feb 2016 (10y) | ||
| Richard Dickran Kurjian | Registered representative | CFP | Feb 2016 (10y) | |
| John Katsigiorgis | Registered representative | Feb 2016 (10y) | ||
| Christian Jude Harcsar | Registered representative | Feb 2016 (10y) | ||
| Hadi Durali | Registered representative | Feb 2016 (10y) | ||
| Jonathan Stewart Hoot | Registered representative | Feb 2016 (10y) | ||
| Scott C Pedvis | Registered representative | Feb 2016 (10y) | ||
| Timothy John Sheehan | Registered representative | Feb 2016 (10y) | ||
| Carl I Kawabe | Registered representative | Feb 2016 (10y) | ||
| Mark Preston Shelton | Registered representative | Feb 2016 (10y) | ||
| Victor John Puglio | Registered representative | Feb 2016 (10y) | ||
| Jeff Hall Peterson | Registered representative | Feb 2016 (10y) | ||
| Geoffrey Scott Fishman | Registered representative | Feb 2016 (10y) | ||
| Timothy Randall Eitreim | Registered representative | CFP | Feb 2016 (10y) | |
| Daisy Karika | Registered representative | Feb 2016 (10y) | ||
| Susan J Pye | Registered representative | CFP | Feb 2016 (10y) | |
| Michael Kevin Brangle | Registered representative | Feb 2016 (10y) | ||
| Ashley Ringgold Davy | Registered representative | Feb 2016 (10y) | ||
| David Jesser Rohrbach | Registered representative | Feb 2016 (10y) | ||
| Elizabeth Sara Mccoy | Registered representative | Feb 2016 (10y) | ||
| Kelly Anne Meister | Registered representative | Feb 2016 (10y) | ||
| Michael Dale Dodge | Registered representative | Feb 2016 (10y) | ||
| William Lara | Registered representative | Feb 2016 (10y) | ||
| Elishah Winchester Mcdaniel | Registered representative | Feb 2016 (10y) | ||
| James Raymond Gross | Registered representative | Feb 2016 (10y) | ||
| Robert John Decker | Registered representative | Feb 2016 (10y) | ||
| Thomas Melvin Bryant | Registered representative | Feb 2016 (10y) | ||
| Glenn Paul Wittpenn | Registered representative | Feb 2016 (10y) | ||
| Michael Scott Smith | Registered representative | Feb 2016 (10y) | ||
| Scott Hall Bennett | Registered representative | Feb 2016 (10y) | ||
| Robert Henry Cairns | Registered representative | Feb 2016 (10y) | ||
| Patrick Joseph Downey | Registered representative | CFP | Feb 2016 (10y) | |
| Wayne Christopher Brannan | Registered representative | Feb 2016 (10y) | ||
| David Jay Stark | Registered representative | Feb 2016 (10y) | ||
| Jason Michael Holyszko | Registered representative | Feb 2016 (10y) | ||
| Scott Edward Wendelin | Registered representative | Feb 2016 (10y) | ||
| Andrew Jason Smith | Registered representative | Feb 2016 (10y) | ||
| Denise Marie Kohler | Registered representative | Feb 2016 (10y) | ||
| Cory J Taylor | Registered representative | Feb 2016 (10y) | ||
| Emily Maney Vanhille | Registered representative | Feb 2016 (10y) | ||
| Jay Brian Boddicker | Registered representative | Feb 2016 (10y) | ||
| Lucy Christel Matthews | Registered representative | Feb 2016 (10y) | ||
| Maricela Luevanos | Registered representative | Feb 2016 (10y) | ||
| Andrew Rory Preddy | Registered representative | Mar 2016 (10y) | ||
| Christopher John Jewell | Registered representative | Mar 2016 (10y) | ||
| James Alfred Oliver | Registered representative | Mar 2016 (10y) | ||
| Kellie L Anderson | Registered representative | Mar 2016 (10y) | ||
| Mark Stephen Kaschenbach | Registered representative | Mar 2016 (10y) | ||
| Morris Alan Franco | Registered representative | Mar 2016 (10y) | ||
| Robert Brian Sklar | Registered representative | Mar 2016 (10y) | ||
| Sirena Marjorie Hamel | Registered representative | Mar 2016 (10y) | ||
| Liliana Nunez | Registered representative | Mar 2016 (10y) | ||
| Vaishali Ketan Trivedi | Registered representative | Mar 2016 (10y) | ||
| Glenn Warren Mcwherter | Registered representative | Mar 2016 (10y) | ||
| H Kelly Priess | Registered representative | Mar 2016 (10y) | ||
| Jay Robert Beaulieu | Registered representative | Mar 2016 (10y) | ||
| Jennifer Guarino | Registered representative | Mar 2016 (10y) | ||
| Kyle Leland Radley | Registered representative | Mar 2016 (10y) | ||
| Robert Joseph Suchocki | Registered representative | Mar 2016 (10y) | ||
| Tammy Kay Mentel | Registered representative | Mar 2016 (10y) | ||
| Wayne James Londregan | Registered representative | Mar 2016 (10y) | ||
| Bryan Wilson Lloyd | Registered representative | Mar 2016 (10y) | ||
| David Douglas Arndt | Registered representative | CFP | Mar 2016 (10y) | |
| John Mejia | Registered representative | Mar 2016 (10y) | ||
| Frank E Robinson | Registered representative | Mar 2016 (10y) | ||
| Stephen Michael Brown | Registered representative | Mar 2016 (10y) | ||
| Bruce William Theuerkauf | Registered representative | Mar 2016 (10y) | ||
| Christopher Kirk Cheatheam | Registered representative | Mar 2016 (10y) | ||
| Craig Daniel Lindquist | Registered representative | Mar 2016 (10y) | ||
| Darryl H Tombacher | Registered representative | Mar 2016 (10y) | ||
| David Brett Horowitz | Registered representative | Mar 2016 (10y) | ||
| James Formato | Registered representative | Mar 2016 (10y) | ||
| Roby D Mize | Registered representative | Mar 2016 (10y) | ||
| Ryan Mitchell Golden | Registered representative | Mar 2016 (10y) | ||
| Karen Ann Blanchard | Registered representative | Mar 2016 (10y) | ||
| Sakuntala Nilmini Jayatilaka | Registered representative | Mar 2016 (10y) | ||
| Donna Marie Perez | Registered representative | Mar 2016 (10y) | ||
| Bridget Marie Bokum | Registered representative | Mar 2016 (10y) | ||
| Stacey Anne Pagan Walker | Registered representative | Mar 2016 (10y) | ||
| Charles Andrew Wallace | Registered representative | Mar 2016 (10y) | ||
| Rebecca A Hutchens | Registered representative | Mar 2016 (10y) | ||
| George Joseph Schietinger | Registered representative | Mar 2016 (10y) | ||
| Michael Joseph Marino | Registered representative | Mar 2016 (10y) | ||
| Amy M Banks | Registered representative | Mar 2016 (10y) | ||
| Connie Rodriguez Garcia | Registered representative | Mar 2016 (10y) | ||
| Eric Ray Garcia | Registered representative | CFP | Mar 2016 (10y) | |
| Gregory Vincent Sullivan | Registered representative | Mar 2016 (10y) | ||
| Shelley Dakan | Registered representative | Mar 2016 (10y) | ||
| Todd Anthony Showalter | Registered representative | Mar 2016 (10y) | ||
| Nadezhda Vladlenovna Leake | Registered representative | Mar 2016 (10y) | ||
| Joseph Bret Reynolds | Registered representative | Mar 2016 (10y) | ||
| Paul D Sieben | Registered representative | CFP | Mar 2016 (10y) | |
| Tuan Minh Peter Pham | Registered representative | Mar 2016 (10y) | ||
| Kenneth Scott Sparling | Registered representative | Mar 2016 (10y) | ||
| Jeri Leigh Uhrich | Registered representative | Mar 2016 (10y) | ||
| Lisa A Testa | Registered representative | Mar 2016 (10y) | ||
| Thomas Aidan Gutterman | Registered representative | Mar 2016 (10y) | ||
| Glenn Eric Caldwell | Registered representative | CFP | Mar 2016 (10y) | |
| Jonathan Ryan Joplin | Registered representative | Mar 2016 (10y) | ||
| Kory Alan Johanning | Registered representative | Mar 2016 (10y) | ||
| Scott Anthony Swillinger | Registered representative | Mar 2016 (10y) | ||
| Travis Ryan Tam | Registered representative | CFP | Mar 2016 (10y) | |
| Vicki M Russell | Registered representative | Mar 2016 (10y) | ||
| David Francis Tracy | Registered representative | Mar 2016 (10y) | ||
| Leslie S Esposito | Registered representative | Mar 2016 (10y) | ||
| Roberto Leyva | Registered representative | Mar 2016 (10y) | ||
| Stephen Francis Len | Registered representative | Chartered Financial Consultant | Mar 2016 (10y) | |
| Daniel Reid Horowitz | Registered representative | Apr 2016 (10y) | ||
| Donald Edward Mangen | Registered representative | Apr 2016 (10y) | ||
| Jared Andrew Crouse | Registered representative | CFP | Apr 2016 (10y) | |
| Kelly Coughlin Decourcy | Registered representative | Apr 2016 (10y) | ||
| Loren Gene Biggs | Registered representative | Apr 2016 (10y) | ||
| Michael Thomas Meyers | Registered representative | Apr 2016 (10y) | ||
| Thomas Allen Nowalis | Registered representative | CFP | Apr 2016 (10y) | |
| Kirk Pacatte | Registered representative | Apr 2016 (10y) | ||
| Paul R Favours Ii | Registered representative | Apr 2016 (10y) | ||
| Levanza Breeland | Registered representative | Apr 2016 (10y) | ||
| Heather Michelle Brissette | Registered representative | CFP | Apr 2016 (10y) | |
| John Ohara | Registered representative | Apr 2016 (10y) | ||
| Kurt R Miller | Registered representative | CFP | Apr 2016 (10y) | |
| Howard William Colgan | Registered representative | Apr 2016 (10y) | ||
| Martin James Quantz | Registered representative | Apr 2016 (10y) | ||
| Stefanee Rachel Taylor Wells | Registered representative | Apr 2016 (10y) | ||
| Jennifer Delgadillo | Registered representative | Apr 2016 (10y) | ||
| Jeremy Loyd Vance | Registered representative | CFP | Apr 2016 (10y) | |
| Timothy Reynolds Stalsberg | Registered representative | Apr 2016 (10y) | ||
| Angela Aida Gonzalez Herico | Registered representative | Apr 2016 (10y) | ||
| Jerry Michael Mcvean | Registered representative | Apr 2016 (10y) | ||
| Philip W Kinney | Registered representative | CFP | Apr 2016 (10y) | |
| Steven Michael Lehman | Registered representative | CFP | Apr 2016 (10y) | |
| Richard Scott Wilhelmi | Registered representative | CFP | Apr 2016 (10y) | |
| Araripe Ferreira Souza | Registered representative | Apr 2016 (10y) | ||
| Chase Michael Nadell | Registered representative | Apr 2016 (10y) | ||
| Richard Kincheloe | Registered representative | Apr 2016 (10y) | ||
| Brian Craig Lunceford | Registered representative | Apr 2016 (10y) | ||
| Chad Mitchell | Registered representative | Apr 2016 (10y) | ||
| Christopher R Soutas | Registered representative | Apr 2016 (10y) | ||
| Coree L Sullivan | Registered representative | Apr 2016 (10y) | ||
| Mathew Jay Hufford | Registered representative | CFP | Apr 2016 (10y) | |
| Robel Tesfay Hagos | Registered representative | Apr 2016 (10y) | ||
| Judy Ann Visciano | Registered representative | Apr 2016 (10y) | ||
| Kristin L O'brien | Registered representative | Apr 2016 (10y) | ||
| Mary Ann Hintz | Registered representative | Apr 2016 (10y) | ||
| Michael W Burch | Registered representative | Apr 2016 (10y) | ||
| Randall Collin Fawcett | Registered representative | Apr 2016 (10y) | ||
| Tracy Ann Munge | Registered representative | Apr 2016 (10y) | ||
| Trent Luby | Registered representative | Apr 2016 (10y) | ||
| Joshua Greg Nordfelt | Registered representative | Apr 2016 (10y) | ||
| Karen S. Davis | Registered representative | Apr 2016 (10y) | ||
| Wynn Erik Hebdon | Registered representative | Apr 2016 (10y) | ||
| Jordan Taylor Komendowski | Registered representative | Apr 2016 (10y) | ||
| Kyle Scott Moe | Registered representative | Apr 2016 (10y) | ||
| Mikel Ortiz | Registered representative | Apr 2016 (10y) | ||
| Taylor Henry Cheney | Registered representative | Apr 2016 (10y) | ||
| Alexander Steven Healy | Registered representative | Apr 2016 (10y) | ||
| Doroteo Cabral | Registered representative | Apr 2016 (10y) | ||
| Kyle Taylor Melling | Registered representative | Apr 2016 (10y) | ||
| Patrick M Boldischar | Registered representative | Apr 2016 (10y) | ||
| Steven William Baller | Registered representative | Apr 2016 (10y) | ||
| Nicholas Lee Guzzardo | Registered representative | Apr 2016 (10y) | ||
| T.J. Cheriaparampil | Registered representative | Apr 2016 (10y) | ||
| Bruce Dale Carter | Registered representative | Apr 2016 (10y) | ||
| Jocelyn Merisa Fante Yim | Registered representative | Apr 2016 (10y) | ||
| Kristi Ann Crisman | Registered representative | CFP | Apr 2016 (10y) | |
| Matthew Graeme Seto | Registered representative | Apr 2016 (10y) | ||
| Michelle Lee Kreda | Registered representative | Apr 2016 (10y) | ||
| Randall James Logan | Registered representative | CFP | Apr 2016 (10y) | |
| Jason Alan Prestwood | Registered representative | Apr 2016 (10y) | ||
| Shari Lee Hilliard | Registered representative | Apr 2016 (10y) | ||
| Daniel James Darlak | Registered representative | Apr 2016 (10y) | ||
| Gregg Lawrence Haglund | Registered representative | Apr 2016 (10y) | ||
| William Brian Avery | Registered representative | Apr 2016 (10y) | ||
| Jacob Bradley Marrs | Registered representative | CFP | May 2016 (10y) | |
| Laura Filice | Registered representative | May 2016 (10y) | ||
| Jeffrey Steven Williams | Registered representative | May 2016 (10y) | ||
| Joseph Lee Miller | Registered representative | May 2016 (10y) | ||
| Marc Lawrence Zupicich | Registered representative | May 2016 (10y) | ||
| Mark David Goodstein | Registered representative | May 2016 (10y) | ||
| Scott Michael Carmody | Registered representative | May 2016 (10y) | ||
| Sean Gannon | Registered representative | May 2016 (10y) | ||
| Weston Michael Millner | Registered representative | May 2016 (10y) | ||
| William David Burke | Registered representative | May 2016 (10y) | ||
| Jelmena Hudson | Registered representative | May 2016 (10y) | ||
| Jordan David Samelson | Registered representative | May 2016 (10y) | ||
| Kimberly Wheeler Goodman | Registered representative | May 2016 (10y) | ||
| Kerri Amanda Baggarley Kanoy | Registered representative | May 2016 (10y) | ||
| Kyle Christopher Poplawski | Registered representative | May 2016 (10y) | ||
| Michael Robert Hodan | Registered representative | May 2016 (10y) | ||
| Nava Goldenberg Spivak | Registered representative | CFP | May 2016 (10y) | |
| Une K Enyenihi | Registered representative | May 2016 (10y) | ||
| Christopher Alan Selke | Registered representative | May 2016 (10y) | ||
| James Burkey | Registered representative | May 2016 (10y) | ||
| Patrick Joseph Walsh | Registered representative | May 2016 (10y) | ||
| Sharon Mine Hidaka | Registered representative | May 2016 (10y) | ||
| Christopher David Schwab | Registered representative | CFP | May 2016 (10y) | |
| Todd Wilson Davis | Registered representative | May 2016 (10y) | ||
| Michael Anthony Nelson | Registered representative | May 2016 (10y) | ||
| Phillip Scott Holder | Registered representative | May 2016 (10y) | ||
| Deborah Susan Popp | Registered representative | May 2016 (10y) | ||
| Larissa Diane Myers | Registered representative | May 2016 (10y) | ||
| Craig Koehmstedt | Registered representative | May 2016 (10y) | ||
| Howard George Mitchell | Registered representative | May 2016 (10y) | ||
| James Els | Registered representative | May 2016 (10y) | ||
| Zachery Thomas Wyatt | Registered representative | May 2016 (10y) | ||
| Chad F Manning | Registered representative | May 2016 (10y) | ||
| Peta Michelle Hunte | Registered representative | May 2016 (10y) | ||
| Matthew Todd Arnold | Registered representative | May 2016 (10y) | ||
| Mark Amedee Bolduc | Registered representative | May 2016 (10y) | ||
| Alexander Martin Quinn | Registered representative | May 2016 (10y) | ||
| Celeste P Reck | Registered representative | May 2016 (10y) | ||
| Jeffrey Saster | Registered representative | May 2016 (10y) | ||
| David Lloyd Morton | Registered representative | May 2016 (10y) | ||
| Gary Robert Cummings | Registered representative | CFP | May 2016 (10y) | |
| Steven Maclen Bonavita | Registered representative | May 2016 (10y) | ||
| Willard H Pease | Registered representative | May 2016 (10y) | ||
| James Michael Rogers | Registered representative | May 2016 (10y) | ||
| Christopher Anthony Russo | Registered representative | May 2016 (10y) | ||
| Michael Salus | Registered representative | May 2016 (10y) | ||
| Travis Eugene Wilson | Registered representative | May 2016 (10y) | ||
| Kathleen Hogan Mckee | Registered representative | Jun 2016 (10y) | ||
| Stephanie Sue Clay | Registered representative | Jun 2016 (10y) | ||
| David Wilson Drullard | Registered representative | Jun 2016 (10y) | ||
| Richard Warren Joseph Meier | Registered representative | Jun 2016 (10y) | ||
| Shawn Jacobowitz | Registered representative | CFP | Jun 2016 (10y) | |
| Darin L Dunham | Registered representative | Jun 2016 (10y) | ||
| Michael Suruda Parker | Registered representative | Jun 2016 (10y) | ||
| Charles Milton | Registered representative | Jun 2016 (10y) | ||
| Bryan James Spalding | Registered representative | Jun 2016 (10y) | ||
| Jennifer Eileen Gonzales | Registered representative | Jun 2016 (10y) | ||
| Krista Nicole Whitley Mcgee | Registered representative | Jun 2016 (10y) | ||
| Larry Edward Smith | Registered representative | Jun 2016 (10y) | ||
| Thomas James Faley | Registered representative | Jun 2016 (10y) | ||
| William Boyer | Registered representative | Jun 2016 (10y) | ||
| Hernan Cardenas | Registered representative | Jun 2016 (10y) | ||
| Johnny Hill Coble | Registered representative | CFP | Jun 2016 (10y) | |
| Paul Anderson Newman | Registered representative | Jun 2016 (10y) | ||
| Rey Castro Diano | Registered representative | Jun 2016 (10y) | ||
| Daniel Mark Beruvides | Registered representative | Jun 2016 (10y) | ||
| Daniel Edward Grandstaff | Registered representative | CFP | Jun 2016 (10y) | |
| Katelyn Owen Giampaoli | Registered representative | Jun 2016 (10y) | ||
| Megan Haynes Breneman | Registered representative | Jun 2016 (10y) | ||
| Dave Paul Steinbeck | Registered representative | Jun 2016 (10y) | ||
| Christopher M Clark | Registered representative | Jun 2016 (10y) | ||
| Lisa C Patton | Registered representative | Jun 2016 (10y) | ||
| William Albert Angelos | Registered representative | Jun 2016 (10y) | ||
| Alan Lui | Registered representative | Jun 2016 (10y) | ||
| Christina Michelle Torrez | Registered representative | Jun 2016 (10y) | ||
| Heidi Beth Kipnis | Registered representative | Jun 2016 (10y) | ||
| Hubert Reinarz | Registered representative | Jun 2016 (10y) | ||
| Katherine Jennie Degeorge | Registered representative | Jun 2016 (10y) | ||
| Tyler David Pearce | Registered representative | Jun 2016 (10y) | ||
| Stephanie C Brice | Registered representative | Jun 2016 (10y) | ||
| Alice Ann Zemelman | Registered representative | Jun 2016 (10y) | ||
| Perry A. Armand Novak | Registered representative | Jun 2016 (10y) | ||
| Rigoberto Javier Pena Rankin | Registered representative | Jun 2016 (10y) | ||
| Shirley Keller Cantu | Registered representative | Jun 2016 (10y) | ||
| Alexandra Dooley | Registered representative | Jun 2016 (10y) | ||
| Casey Deciutiis | Registered representative | Jun 2016 (10y) | ||
| John Hamilton Pounds | Registered representative | Jun 2016 (10y) | ||
| Michael Clark Shore | Registered representative | Jun 2016 (10y) | ||
| Brian Nick Guzzardo | Registered representative | Jun 2016 (10y) | ||
| Nathaniel Dean Hoehn | Registered representative | Jun 2016 (10y) | ||
| William Robert Fisher | Registered representative | Jun 2016 (10y) | ||
| Anthony Pellarin | Registered representative | CFP | Jun 2016 (10y) | |
| Daniel Matthew Latham | Registered representative | CFP | Jun 2016 (10y) | |
| David Jeffrey Birnbaum | Registered representative | Jun 2016 (10y) | ||
| James Eugene Corcoran | Registered representative | Jun 2016 (10y) | ||
| John Charles Persons | Registered representative | Jun 2016 (10y) | ||
| Karl F Hueglin | Registered representative | Jun 2016 (10y) | ||
| Kirk J Stensrud | Registered representative | CFP | Jun 2016 (10y) | |
| Matthew Kai Wing Chang | Registered representative | Jun 2016 (10y) | ||
| Michael Thomas Berardi | Registered representative | Jun 2016 (10y) | ||
| Miroslava Madarova | Registered representative | Jun 2016 (10y) | ||
| Christopher George Lundberg | Registered representative | Jul 2016 (10y) | ||
| Stephanie Lynn Klausing | Registered representative | Jul 2016 (10y) | ||
| Stephen Michael Von Clausburg | Registered representative | Jul 2016 (10y) | ||
| Russell G Pierce | Registered representative | Jul 2016 (10y) | ||
| Jason Alexander Eckerman | Registered representative | Jul 2016 (10y) | ||
| Karyn Lynn Harris | Registered representative | Jul 2016 (10y) | ||
| Robert Philip Maltzahn | Registered representative | Jul 2016 (10y) | ||
| Todd Hamilton Chase | Registered representative | Jul 2016 (10y) | ||
| Tony Larry Smith | Registered representative | Jul 2016 (10y) | ||
| Brandon Travis Fidler | Registered representative | Jul 2016 (10y) | ||
| Brendan Austin Reynolds | Registered representative | Jul 2016 (10y) | ||
| Jessica Leigh Marlowe | Registered representative | Jul 2016 (10y) | ||
| Joshua Michael Carr | Registered representative | Jul 2016 (10y) | ||
| Ann H Farrar | Registered representative | Jul 2016 (10y) | ||
| Jacob Solomon Suberman | Registered representative | CFP | Jul 2016 (10y) | |
| Lisa Marie Gambill | Registered representative | Jul 2016 (10y) | ||
| Dallen Lee Atwood | Registered representative | Jul 2016 (10y) | ||
| Brian Lincoln Quinn | Registered representative | CFP | Jul 2016 (10y) | |
| James M Carlo | Registered representative | Jul 2016 (10y) | ||
| John Charles Chiarenza | Registered representative | Jul 2016 (10y) | ||
| Katherine Ann Kartsimas Miller | Registered representative | Jul 2016 (10y) | ||
| Sondra James | Registered representative | Jul 2016 (10y) | ||
| Thomas Connor Fleury | Registered representative | Jul 2016 (10y) | ||
| Katie Marie Rozen | Registered representative | CFP | Jul 2016 (10y) | |
| Daniel Craig Daggett | Registered representative | Jul 2016 (10y) | ||
| Richard Edward Tanner | Registered representative | Jul 2016 (10y) | ||
| Michael Alex Hauger | Registered representative | Jul 2016 (10y) | ||
| Stephen Edward Brady | Registered representative | Jul 2016 (10y) | ||
| Matthew Dean Peters | Registered representative | Jul 2016 (10y) | ||
| Peter John Perfetti | Registered representative | CFP | Jul 2016 (10y) | |
| Daniel P Kelleher | Registered representative | Jul 2016 (10y) | ||
| Kelsey Marrissa Belsito | Registered representative | Jul 2016 (10y) | ||
| Jeffrey Scott Cohen | Registered representative | CFP | Jul 2016 (10y) | |
| Alex Stolper | Registered representative | Jul 2016 (10y) | ||
| Alexander Kaminaris | Registered representative | Jul 2016 (10y) | ||
| Stefanie Nicole Strother | Registered representative | Jul 2016 (10y) | ||
| Angelica Lopez Montesino | Registered representative | Jul 2016 (10y) | ||
| Mark Christopher Jones | Registered representative | Jul 2016 (10y) | ||
| Nathan Lee Travis | Registered representative | Jul 2016 (10y) | ||
| Matthew Robert Wacker | Registered representative | Jul 2016 (10y) | ||
| Vicki Rene' Stovall | Registered representative | Jul 2016 (10y) | ||
| Crystal Lynn Deaver | Registered representative | Jul 2016 (10y) | ||
| Deborah Akers | Registered representative | Jul 2016 (10y) | ||
| George Winston Lawer | Registered representative | Jul 2016 (10y) | ||
| Jaime Marks Fredman | Registered representative | Jul 2016 (10y) | ||
| Jason W Rogers | Registered representative | Jul 2016 (10y) | ||
| John F Deluca | Registered representative | Jul 2016 (10y) | ||
| John Robert Fabris | Registered representative | Jul 2016 (10y) | ||
| Joshua David Donaldson | Registered representative | CFP | Jul 2016 (10y) | |
| Tammy Lynne Mauriello | Registered representative | Jul 2016 (10y) | ||
| Tomokazu Maquiling Kuwamoto | Registered representative | CFP | Jul 2016 (10y) | |
| Adam Haluska | Registered representative | Aug 2016 (10y) | ||
| Joanie T Liu | Registered representative | Aug 2016 (10y) | ||
| Michael Anthony Tutino | Registered representative | Aug 2016 (10y) | ||
| Michael Richard Meads | Registered representative | Aug 2016 (10y) | ||
| George Alexander Porreca | Registered representative | Aug 2016 (10y) | ||
| Joseph John Ossi | Registered representative | Aug 2016 (10y) | ||
| Konnor Jacob Wildfeuer | Registered representative | Aug 2016 (10y) | ||
| Teresa M Carper Espino | Registered representative | Aug 2016 (10y) | ||
| John Michael Carter | Registered representative | Aug 2016 (10y) | ||
| Riley Charles Clark | Registered representative | Aug 2016 (10y) | ||
| Thomas Harold Clark | Registered representative | Aug 2016 (10y) | ||
| William R Green | Registered representative | CFP | Aug 2016 (10y) | |
| Angelo Tramontelli | Registered representative | Aug 2016 (10y) | ||
| Brad Christopher Mcbrair | Registered representative | Aug 2016 (10y) | ||
| Bryant Wynn Griffiths | Registered representative | Aug 2016 (10y) | ||
| David Tranum | Registered representative | CFP | Aug 2016 (10y) | |
| Jessica Grace Lenihan | Registered representative | Aug 2016 (10y) | ||
| Kyle Tomik | Registered representative | CFP | Aug 2016 (10y) | |
| Nathan Peter Strode | Registered representative | Aug 2016 (10y) | ||
| Nga Ying Chan | Registered representative | Aug 2016 (10y) | ||
| Alexander Thomas Wood | Registered representative | Aug 2016 (10y) | ||
| Kelli Michelle Thomas | Registered representative | Aug 2016 (10y) | ||
| Jessica Ann Heath | Registered representative | Aug 2016 (10y) | ||
| Jonathan Joseph Zeminski | Registered representative | CFP | Aug 2016 (10y) | |
| Samantha Nicole Power | Registered representative | Aug 2016 (10y) | ||
| Jason S Digirolamo | Registered representative | Aug 2016 (10y) | ||
| Dustin Scott Thatcher | Registered representative | Aug 2016 (10y) | ||
| Maria Gail Garner | Registered representative | Aug 2016 (10y) | ||
| Sylvia Rose Rivera | Registered representative | Aug 2016 (10y) | ||
| Frank Devito | Registered representative | Aug 2016 (10y) | ||
| Robert Stokes Wise | Registered representative | Aug 2016 (10y) | ||
| Lisa Marie Fisher | Registered representative | Aug 2016 (10y) | ||
| Rebecca Jill Gutches | Registered representative | Aug 2016 (10y) | ||
| Craig Bennett Schwartz | Registered representative | Aug 2016 (10y) | ||
| Harrilyn Collins | Registered representative | Aug 2016 (10y) | ||
| John Michael Levendoski | Registered representative | Aug 2016 (10y) | ||
| Rick Alan Blankenship | Registered representative | Aug 2016 (10y) | ||
| Robert G Hayden | Registered representative | Aug 2016 (10y) | ||
| Sherry Leigh Halopoff | Registered representative | Aug 2016 (10y) | ||
| Tyson Boyd Smith | Registered representative | Aug 2016 (10y) | ||
| James Jake Morton | Registered representative | Aug 2016 (10y) | ||
| Kenneth David Ibbetson | Registered representative | Aug 2016 (10y) | ||
| Carl Williams | Registered representative | Aug 2016 (10y) | ||
| Gregory Steven Bennett | Registered representative | Aug 2016 (10y) | ||
| Ryan Daniel Windhorst | Registered representative | Aug 2016 (10y) | ||
| Traci V Bennett | Registered representative | Aug 2016 (10y) | ||
| Nathaniel Perry Cohen | Registered representative | CFP | Aug 2016 (10y) | |
| Lynne Nicholson Ming | Registered representative | Aug 2016 (10y) | ||
| Mark Conrad Lajoie | Registered representative | Aug 2016 (10y) | ||
| Paul Anthony Morgan | Registered representative | Aug 2016 (10y) | ||
| Sonja L Ryan | Registered representative | Aug 2016 (10y) | ||
| Thomas Frank Morrison | Registered representative | Aug 2016 (10y) | ||
| Chad Michael Patton | Registered representative | Aug 2016 (10y) | ||
| Enrique Galang | Registered representative | Aug 2016 (10y) | ||
| Gregory Ellis Hill | Registered representative | Aug 2016 (10y) | ||
| Robbie Smith White | Registered representative | Aug 2016 (10y) | ||
| Ryan Michael Desarno | Registered representative | Aug 2016 (10y) | ||
| Samuel C Bookbinder | Registered representative | Aug 2016 (10y) | ||
| Albert Naseeb Masood | Registered representative | Aug 2016 (10y) | ||
| John Joseph Ripoll | Registered representative | Aug 2016 (10y) | ||
| Jonathan Henry Shevlin | Registered representative | Aug 2016 (10y) | ||
| Alannah Marie Chartier | Registered representative | Sep 2016 (10y) | ||
| Brent Alan Frank | Registered representative | Sep 2016 (10y) | ||
| Brian Christopher Latz | Registered representative | CFP | Sep 2016 (10y) | |
| Daniel Mitchell | Registered representative | Sep 2016 (10y) | ||
| John Anthony Cicillini | Registered representative | Sep 2016 (10y) | ||
| John Walter Higgins | Registered representative | Sep 2016 (10y) | ||
| Kenneth John Cariota | Registered representative | Sep 2016 (10y) | ||
| Mark Eustis Pyper | Registered representative | CFP | Sep 2016 (10y) | |
| Michael Daniel Cohen | Registered representative | Sep 2016 (10y) | ||
| Patricia Horne Woodie | Registered representative | Sep 2016 (10y) | ||
| Shannon Kelly Walker | Registered representative | CFP | Sep 2016 (10y) | |
| Stephanie J Daigle | Registered representative | Sep 2016 (10y) | ||
| Steven Feng | Registered representative | Sep 2016 (10y) | ||
| Thomas Wayne Grierson | Registered representative | CFP | Sep 2016 (10y) | |
| Todd E Barton | Registered representative | CFP | Sep 2016 (10y) | |
| Tyler Ronald Kjesbo | Registered representative | Sep 2016 (10y) | ||
| Elizabeth A Mccarthy | Registered representative | Sep 2016 (10y) | ||
| John Leo Williams | Registered representative | Sep 2016 (10y) | ||
| Michael Amundson | Registered representative | Sep 2016 (10y) | ||
| Alisha Kay Leone | Registered representative | CFP | Sep 2016 (10y) | |
| Douglas Alexander Harper | Registered representative | Sep 2016 (10y) | ||
| Patricia Dunne Mcnamara | Registered representative | CFP | Sep 2016 (10y) | |
| Travis Webb Callaway | Registered representative | CFP | Sep 2016 (10y) | |
| Bharati Chanchani | Registered representative | Sep 2016 (10y) | ||
| Lawrence David Borger | Registered representative | Sep 2016 (10y) | ||
| Alphonse Michael Lucibello | Registered representative | Sep 2016 (10y) | ||
| Anthony Laurence Arico | Registered representative | Sep 2016 (10y) | ||
| Christine Stelmack | Registered representative | Sep 2016 (10y) | ||
| Christopher Robert Hanshaw | Registered representative | Sep 2016 (10y) | ||
| David Richard Walley | Registered representative | Sep 2016 (10y) | ||
| Dean Constantinos Vetsikas | Registered representative | CFP | Sep 2016 (10y) | |
| Gary Sidney Jameson | Registered representative | CFP | Sep 2016 (10y) | |
| Harry Eugene Reidenbach | Registered representative | Sep 2016 (10y) | ||
| Jane Frances Lamay | Registered representative | Sep 2016 (10y) | ||
| Joseph Francis Hornig | Registered representative | Sep 2016 (10y) | ||
| Michael Emmerett Harnden | Registered representative | Sep 2016 (10y) | ||
| Michael John Dechiario | Registered representative | CFP | Sep 2016 (10y) | |
| Shawn David Cunningham | Registered representative | Sep 2016 (10y) | ||
| Stephen Paul Patrick | Registered representative | Sep 2016 (10y) | ||
| Suzette Anne Hippert | Registered representative | Sep 2016 (10y) | ||
| Brenda Lee Pepper | Registered representative | Sep 2016 (10y) | ||
| Evelyn Aleen Sullivan | Registered representative | Sep 2016 (10y) | ||
| Francine Marie Porter | Registered representative | Sep 2016 (10y) | ||
| Michael Steven Kinstler | Registered representative | CFP | Sep 2016 (10y) | |
| Robert Neff Sackerson | Registered representative | Sep 2016 (10y) | ||
| Dario Orosco | Registered representative | Sep 2016 (10y) | ||
| Joseph William Neal | Registered representative | CFP | Sep 2016 (10y) | |
| Kim L E Shearer | Registered representative | Sep 2016 (10y) | ||
| Thomas Paul Charmley | Registered representative | Sep 2016 (10y) | ||
| Charles Victor Stoelker | Registered representative | Sep 2016 (10y) | ||
| Marcus Wacker | Registered representative | Sep 2016 (10y) | ||
| Steven James Depaul | Registered representative | Sep 2016 (10y) | ||
| Stratis Paul Zaferiou | Registered representative | Sep 2016 (10y) | ||
| Jiaihdi Turner | Registered representative | Sep 2016 (10y) | ||
| Mario Zambrano | Registered representative | Sep 2016 (10y) | ||
| Elizabeth C Cordiano | Registered representative | Sep 2016 (10y) | ||
| Jerrold Gavin Clarke | Registered representative | Sep 2016 (10y) | ||
| Shahnaz Sarlak | Registered representative | Sep 2016 (10y) | ||
| Amy E Baker | Registered representative | CFP | Sep 2016 (10y) | |
| Anthony George Kondracki | Registered representative | Sep 2016 (10y) | ||
| Carter Payne Atkins | Registered representative | Sep 2016 (10y) | ||
| James Lawrence Stotter | Registered representative | Sep 2016 (10y) | ||
| John Agos Solis Cohen | Registered representative | Sep 2016 (10y) | ||
| Jonathan Aaron Isaacson | Registered representative | Sep 2016 (10y) | ||
| Kenneth Stuart Mintz | Registered representative | Sep 2016 (10y) | ||
| Laurisa Jean Anderson | Registered representative | Sep 2016 (10y) | ||
| Rachel A Kurtz | Registered representative | Sep 2016 (10y) | ||
| William Francis Denniston | Registered representative | Sep 2016 (10y) | ||
| Kimberly Ann Warner | Registered representative | Sep 2016 (10y) | ||
| Burt Gary Derman | Registered representative | CFP | Sep 2016 (10y) | |
| John Andrew Mohr | Registered representative | Sep 2016 (10y) | ||
| Nathan Franklin Babb | Registered representative | Sep 2016 (10y) | ||
| Paul Tsutomu Carr | Registered representative | Sep 2016 (10y) | ||
| Rosanna Vizzoni | Registered representative | Sep 2016 (10y) | ||
| William Wright King | Registered representative | CFP | Sep 2016 (10y) | |
| Vernon Duane Brown | Registered representative | Oct 2016 (10y) | ||
| Brian Henry Waters | Registered representative | Oct 2016 (10y) | ||
| Naomi Camilla Lynn | Registered representative | Oct 2016 (10y) | ||
| Scott Thomas Farmer | Registered representative | Oct 2016 (10y) | ||
| Matthew Lewis Flynt | Registered representative | Oct 2016 (10y) | ||
| Robert John Kurchena | Registered representative | Oct 2016 (10y) | ||
| Marcos Jarquien Mccorristin | Registered representative | Oct 2016 (10y) | ||
| Francis X Roche | Registered representative | Oct 2016 (10y) | ||
| Kari Rice Kuykendall | Registered representative | Oct 2016 (10y) | ||
| Peter Michael Harlin | Registered representative | Oct 2016 (10y) | ||
| Albert Kurt Hecht | Registered representative | Oct 2016 (10y) | ||
| Sean Taylor Buckley | Registered representative | Oct 2016 (10y) | ||
| John Michael Giovannini | Registered representative | Oct 2016 (10y) | ||
| Clyde Everett Turpin | Registered representative | Oct 2016 (10y) | ||
| David Duane Jacobsen | Registered representative | Oct 2016 (10y) | ||
| John Kukich | Registered representative | Oct 2016 (10y) | ||
| Matt Husted | Registered representative | Oct 2016 (10y) | ||
| Nicole White | Registered representative | Oct 2016 (10y) | ||
| Rosemary Altuna | Registered representative | Oct 2016 (10y) | ||
| Tammy Sue Austin | Registered representative | Oct 2016 (10y) | ||
| Carrie Christine Kline | Registered representative | Oct 2016 (10y) | ||
| Charles Hal Kramer | Registered representative | Oct 2016 (10y) | ||
| Jeremy Grazzini | Registered representative | Oct 2016 (10y) | ||
| Kyle James Stoutland | Registered representative | Oct 2016 (10y) | ||
| Lindsay K Hughes | Registered representative | Oct 2016 (10y) | ||
| Matthew Edward Wheeler | Registered representative | Oct 2016 (10y) | ||
| Cheryl Colleen Galloway | Registered representative | Oct 2016 (10y) | ||
| Eric Charles Dieringer | Registered representative | Oct 2016 (10y) | ||
| James Winfield Phillips | Registered representative | Oct 2016 (10y) | ||
| Lucy Williams Thomas | Registered representative | Oct 2016 (10y) | ||
| Stephen Ralph Johnson | Registered representative | Oct 2016 (10y) | ||
| Kyle Alan Herrman | Registered representative | Oct 2016 (10y) | ||
| Marc Nolan Cohn | Registered representative | CFP | Oct 2016 (10y) | |
| Ravishankar Balasubramaniam | Registered representative | Oct 2016 (10y) | ||
| Brian Robert Fuchs | Registered representative | Oct 2016 (10y) | ||
| John C Adcock | Registered representative | Oct 2016 (10y) | ||
| Anne Marie Tobyne | Registered representative | Oct 2016 (10y) | ||
| Marc Fredrick Zarro | Registered representative | CFP Chartered Financial Consultant | Oct 2016 (10y) | |
| Mark Walden Hutchison | Registered representative | Oct 2016 (10y) | ||
| Matthew Scott Ligon | Registered representative | Oct 2016 (10y) | ||
| Sean Sar Muth | Registered representative | CFP | Oct 2016 (10y) | |
| Ivan Enrique Mata | Registered representative | Oct 2016 (10y) | ||
| John Edward Shuster | Registered representative | Oct 2016 (10y) | ||
| Kody Vern Damron | Registered representative | Oct 2016 (10y) | ||
| Rebecca Duckworth Kernan | Registered representative | Oct 2016 (10y) | ||
| Jonathan Robert Catlin | Registered representative | CFP | Nov 2016 (10y) | |
| Leysa Yinnett Turner | Registered representative | Nov 2016 (10y) | ||
| Linda Teresa Handley | Registered representative | Nov 2016 (10y) | ||
| Renee Lee Crittenden | Registered representative | Nov 2016 (10y) | ||
| Amos Lingyuan Yu | Registered representative | Nov 2016 (10y) | ||
| Anthony Scott Mcmahan | Registered representative | Nov 2016 (10y) | ||
| Benedetto John D'alessandro | Registered representative | Nov 2016 (10y) | ||
| Jeffrey Lawrence White | Registered representative | Nov 2016 (10y) | ||
| John Russell Graham | Registered representative | Nov 2016 (10y) | ||
| Joseph P Cahill | Registered representative | Nov 2016 (10y) | ||
| William Reineman Forbes | Registered representative | Nov 2016 (10y) | ||
| Brent Mcintosh | Registered representative | Nov 2016 (10y) | ||
| Charlee L Shadoan | Registered representative | Nov 2016 (10y) | ||
| Darla Jean Johnson | Registered representative | Nov 2016 (10y) | ||
| Jason Adam Matthews | Registered representative | Nov 2016 (10y) | ||
| Jeffrey A. Rogles | Registered representative | CFP | Nov 2016 (10y) | |
| Peter A. Delgreco | Registered representative | CFA | Nov 2016 (10y) | |
| Peter Bruce Lurier | Registered representative | Nov 2016 (10y) | ||
| Julie Kay Anderson | Registered representative | Nov 2016 (10y) | ||
| Marc Jay Beshany | Registered representative | Nov 2016 (10y) | ||
| Steven James Barbas | Registered representative | Nov 2016 (10y) | ||
| Thomas Clark Rackley | Registered representative | Nov 2016 (10y) | ||
| Andrea Brown Molavi | Registered representative | CFP | Nov 2016 (10y) | |
| Grady Shane Huke | Registered representative | Nov 2016 (10y) | ||
| James Keith Williamson | Registered representative | Nov 2016 (10y) | ||
| Roy Steven Kimberlin | Registered representative | Nov 2016 (10y) | ||
| Zoe Jeanne Gerard | Registered representative | Nov 2016 (10y) | ||
| Ann Bolton | Registered representative | Nov 2016 (10y) | ||
| Gabriela Margarita Sanchez | Registered representative | Nov 2016 (10y) | ||
| George Hugh Covert | Registered representative | Nov 2016 (10y) | ||
| Paul Brian Toomey | Registered representative | Nov 2016 (10y) | ||
| Stasia Domagalski Krahling | Registered representative | Nov 2016 (10y) | ||
| Yvonne Edwards | Registered representative | Nov 2016 (10y) | ||
| Andrew Malone Ewing | Registered representative | Nov 2016 (10y) | ||
| Nicholas Brueggeman | Registered representative | Nov 2016 (10y) | ||
| Wesley James Mantle | Registered representative | Nov 2016 (10y) | ||
| Emily Bast | Registered representative | Nov 2016 (10y) | ||
| Susan Clare Thompson | Registered representative | Nov 2016 (10y) | ||
| Brian E. Powell | Registered representative | Nov 2016 (10y) | ||
| Dorian Gordan Enhelder | Registered representative | CFP | Nov 2016 (10y) | |
| Elizabeth Ann Apking | Registered representative | Nov 2016 (10y) | ||
| Katherine Joanne Moore | Registered representative | Nov 2016 (10y) | ||
| Melissa Ann King | Registered representative | Nov 2016 (10y) | ||
| Tina Annette Giallanza | Registered representative | Nov 2016 (10y) | ||
| Gregory James Price | Registered representative | Nov 2016 (10y) | ||
| Lori Lynn Huston Dinga | Registered representative | CFP | Nov 2016 (10y) | |
| Alexander Lade | Registered representative | Nov 2016 (10y) | ||
| Melody Lynn Wiley | Registered representative | Nov 2016 (10y) | ||
| Ryan Clint Norris | Registered representative | Nov 2016 (10y) | ||
| Jenny Carbonilla Bandigan | Registered representative | Nov 2016 (10y) | ||
| Kelly Tse | Registered representative | Nov 2016 (10y) | ||
| Lisa Devers | Registered representative | Nov 2016 (10y) | ||
| Julio Cesar Delsalto | Registered representative | Dec 2016 (10y) | ||
| Steven Tran | Registered representative | Dec 2016 (10y) | ||
| Carrie Lynn Fornof | Registered representative | Dec 2016 (10y) | ||
| Christine Lewis | Registered representative | Dec 2016 (10y) | ||
| Grant David Cherry | Registered representative | Dec 2016 (10y) | ||
| Judy Mathew | Registered representative | Dec 2016 (10y) | ||
| Sherri Lynn Fichtner | Registered representative | Dec 2016 (10y) | ||
| Christopher H You | Registered representative | Dec 2016 (10y) | ||
| Charles David Minnick | Registered representative | Dec 2016 (10y) | ||
| Ashley Baker Carter | Registered representative | CFP | Dec 2016 (10y) | |
| Joshua James Mathews | Registered representative | Dec 2016 (10y) | ||
| Brenda Darlene Quinn | Registered representative | Dec 2016 (10y) | ||
| Jared Lee Ruppert | Registered representative | CFP | Dec 2016 (10y) | |
| John Arthur Locher | Registered representative | Dec 2016 (10y) | ||
| Kyle Pierce Warehime | Registered representative | Dec 2016 (10y) | ||
| Robert Sullivan | Registered representative | Dec 2016 (10y) | ||
| Barry Mark Halpern | Registered representative | Dec 2016 (10y) | ||
| Phillip J Kostantas | Registered representative | Dec 2016 (10y) | ||
| Ryan Anthony Williams | Registered representative | Dec 2016 (10y) | ||
| Christopher Harold Larson | Registered representative | Dec 2016 (10y) | ||
| Robert Steven Meadows | Registered representative | Dec 2016 (10y) | ||
| Elizabeth Julia Barradas | Registered representative | Dec 2016 (10y) | ||
| Conni Kohlenberg Wise | Registered representative | Dec 2016 (10y) | ||
| Amy Rosen Rice | Registered representative | Dec 2016 (10y) | ||
| David Andrew Shaver | Registered representative | Dec 2016 (10y) | ||
| David Royce Hansen | Registered representative | Dec 2016 (10y) | ||
| Andrew Paul Dellinger | Registered representative | Dec 2016 (10y) | ||
| Daniel R Heu Weller | Registered representative | Dec 2016 (10y) | ||
| Erich Miles Pickelhaupt | Registered representative | Dec 2016 (10y) | ||
| William Gerard Carroll | Registered representative | Dec 2016 (10y) | ||
| John Alan Knowles | Registered representative | Dec 2016 (10y) | ||
| Ryan Edward Orr | Registered representative | Dec 2016 (10y) | ||
| Michael Henry Rosenberg | Registered representative | CFP | Dec 2016 (10y) | |
| Eric James Fox | Registered representative | Dec 2016 (10y) | ||
| Adam Thomas Barbee | Registered representative | Dec 2016 (10y) | ||
| Stephanie B Werden | Registered representative | CFP | Dec 2016 (10y) | |
| Terrence J Duffy | Registered representative | Dec 2016 (10y) | ||
| Jeffrey Mcmillian | Registered representative | Jan 2017 (10y) | ||
| Kenneth James Houck | Registered representative | Jan 2017 (10y) | ||
| Jenaro Tabunda Centeno | Registered representative | Jan 2017 (10y) | ||
| Julie Dana Bochicchio | Registered representative | Jan 2017 (10y) | ||
| Jon David Ardell | Registered representative | Jan 2017 (10y) | ||
| Kelly Rae Mayton | Registered representative | Jan 2017 (10y) | ||
| Laura L Kevrick | Registered representative | Jan 2017 (10y) | ||
| Michael Wesley Bernard | Registered representative | Jan 2017 (10y) | ||
| Paul Joseph Clever | Registered representative | Jan 2017 (10y) | ||
| Timothy James Smirniotis | Registered representative | Jan 2017 (10y) | ||
| Charles Gerard Grbcich | Registered representative | Jan 2017 (10y) | ||
| Kristina Vladimirovna Bibbo | Registered representative | Jan 2017 (10y) | ||
| Bradley Wayne Smith | Registered representative | Jan 2017 (10y) | ||
| Alex W Morris | Registered representative | Jan 2017 (10y) | ||
| Alexander Martin Tovar | Registered representative | CFP | Jan 2017 (10y) | |
| John Breckenridge Light | Registered representative | Jan 2017 (10y) | ||
| John Stephen Crlencic | Registered representative | Jan 2017 (10y) | ||
| Melissa Toon Smith | Registered representative | Jan 2017 (10y) | ||
| Travis Jonathan Mull | Registered representative | Jan 2017 (10y) | ||
| Jonathan William Berry | Registered representative | Jan 2017 (10y) | ||
| Guadalupe Murillo | Registered representative | Jan 2017 (10y) | ||
| Armando Simoni | Registered representative | Jan 2017 (10y) | ||
| Chad Randall Wegner | Registered representative | Jan 2017 (10y) | ||
| Donald Lee Monroe | Registered representative | Jan 2017 (10y) | ||
| Gilbert Valtierra | Registered representative | Jan 2017 (10y) | ||
| Michael Olsen | Registered representative | Jan 2017 (10y) | ||
| Cooper Keith Guthrie | Registered representative | Jan 2017 (10y) | ||
| Kattie Yein Pham | Registered representative | CFP | Jan 2017 (10y) | |
| Lisa Little | Registered representative | Jan 2017 (10y) | ||
| Marlene Smikle | Registered representative | Jan 2017 (10y) | ||
| Robin Henry Rodermund | Registered representative | Jan 2017 (10y) | ||
| Stephen Doeschot | Registered representative | Jan 2017 (10y) | ||
| Timothy Michael Ferguson | Registered representative | Jan 2017 (10y) | ||
| Eric Maximilian Koenker | Registered representative | Jan 2017 (10y) | ||
| Patrick Leonard Neel | Registered representative | Jan 2017 (10y) | ||
| Theodore William Wood | Registered representative | Jan 2017 (10y) | ||
| Margaret Catherine Bordoni | Registered representative | Jan 2017 (10y) | ||
| Tarik Trako | Registered representative | Jan 2017 (10y) | ||
| Derek Lindsey | Registered representative | Jan 2017 (10y) | ||
| David Barwick | Registered representative | Jan 2017 (10y) | ||
| Patrick Michael Peterson | Registered representative | CFP | Jan 2017 (10y) | |
| Thomas Robert Guignon | Registered representative | Jan 2017 (10y) | ||
| Lisa Verkin Hachigian | Registered representative | Feb 2017 (9y) | ||
| Jamie Renee Evans | Registered representative | Feb 2017 (9y) | ||
| David Jordan England | Registered representative | Feb 2017 (9y) | ||
| Kari Ann Kilgore | Registered representative | Feb 2017 (9y) | ||
| Patrick Brendan O'connor | Registered representative | Feb 2017 (9y) | ||
| Reid Johnson Twine | Registered representative | CFP | Feb 2017 (9y) | |
| Adam Lyon | Registered representative | Feb 2017 (9y) | ||
| Gregory Guy Voss | Registered representative | Feb 2017 (9y) | ||
| Ian Northcott | Registered representative | Feb 2017 (9y) | ||
| Thomas Spitler | Registered representative | Feb 2017 (9y) | ||
| Kimberly Mcintosh | Registered representative | Feb 2017 (9y) | ||
| Alicia Anderson | Registered representative | Feb 2017 (9y) | ||
| Lindsay Fawcett | Registered representative | Feb 2017 (9y) | ||
| Peter Bredo Stabell | Registered representative | Feb 2017 (9y) | ||
| Andree Marie Blain | Registered representative | Feb 2017 (9y) | ||
| Marcus John Lerman | Registered representative | CFP | Feb 2017 (9y) | |
| Richard Ian Oneill | Registered representative | Feb 2017 (9y) | ||
| Vanessa Toms Glass | Registered representative | CFP | Feb 2017 (9y) | |
| Jamie Marc Pickard | Registered representative | Feb 2017 (9y) | ||
| Zackary John Lechner | Registered representative | Feb 2017 (9y) | ||
| Adam Jay Levine | Registered representative | Feb 2017 (9y) | ||
| James Michael Scaltz | Registered representative | Feb 2017 (9y) | ||
| Rebecca Lynn Shea | Registered representative | Feb 2017 (9y) | ||
| Joanne Dorris | Registered representative | Feb 2017 (9y) | ||
| Gerald Joseph Laudicina | Registered representative | Feb 2017 (9y) | ||
| Marika Ann Husovsky | Registered representative | Feb 2017 (9y) | ||
| Amanda Renee Foskey | Registered representative | CFP | Feb 2017 (9y) | |
| Brian Mcguinness | Registered representative | Feb 2017 (9y) | ||
| Stephen Francis Jeffers | Registered representative | Feb 2017 (9y) | ||
| Georgi Ivanov Gintchin | Registered representative | Feb 2017 (9y) | ||
| Peter M Talluto | Registered representative | Feb 2017 (9y) | ||
| Thomas Windsor | Registered representative | Feb 2017 (9y) | ||
| Christian Vinicio Corado | Registered representative | Feb 2017 (9y) | ||
| Gary Francis Basler | Registered representative | Feb 2017 (9y) | ||
| Dana Jean Fenili | Registered representative | Mar 2017 (9y) | ||
| Jerry Demar Eldridge | Registered representative | Mar 2017 (9y) | ||
| Lori Anne Wellins | Registered representative | Mar 2017 (9y) | ||
| Steven Jodlowski | Registered representative | Mar 2017 (9y) | ||
| Spencer Cole Madden | Registered representative | Mar 2017 (9y) | ||
| David Deforest Thomas | Registered representative | Mar 2017 (9y) | ||
| Lorraine Gerra | Registered representative | Mar 2017 (9y) | ||
| Michael Joseph Germana | Registered representative | Mar 2017 (9y) | ||
| Jacob Clay Westlund | Registered representative | Mar 2017 (9y) | ||
| Miglena Guleva | Registered representative | Mar 2017 (9y) | ||
| Cindy Lou Ryhn Bakke | Registered representative | Mar 2017 (9y) | ||
| Jason Joseph Santowski | Registered representative | Mar 2017 (9y) | ||
| Maria Ingrid Musgrove | Registered representative | Mar 2017 (9y) | ||
| Coty Allen Heiser | Registered representative | Mar 2017 (9y) | ||
| Mario Trevino | Registered representative | Mar 2017 (9y) | ||
| Tou Yang | Registered representative | Mar 2017 (9y) | ||
| Ali Rose Boop Nilsen | Registered representative | Mar 2017 (9y) | ||
| Regina Bennett | Registered representative | Mar 2017 (9y) | ||
| Cynthia Lynn Wheeler | Registered representative | Mar 2017 (9y) | ||
| Justin Graham Gormley | Registered representative | Mar 2017 (9y) | ||
| Randy Bracken Berger | Registered representative | Mar 2017 (9y) | ||
| Aaron C Wrigley | Registered representative | Mar 2017 (9y) | ||
| Paige Kadlec | Registered representative | Mar 2017 (9y) | ||
| Matthew Ames Maultsby | Registered representative | Mar 2017 (9y) | ||
| Shannon Marie Parker | Registered representative | Mar 2017 (9y) | ||
| Kyle Robert Plassmeyer | Registered representative | Mar 2017 (9y) | ||
| Nathaniel Luke Minor | Registered representative | Mar 2017 (9y) | ||
| Lindsey Marie Marlowe | Registered representative | Mar 2017 (9y) | ||
| Brittney Marie Gunning | Registered representative | CFP | Mar 2017 (9y) | |
| Beth Trueman | Registered representative | Mar 2017 (9y) | ||
| Donald Jeffrey Bradley | Registered representative | Mar 2017 (9y) | ||
| James Garland Haynes | Registered representative | Mar 2017 (9y) | ||
| Matthew Michael Duhon | Registered representative | Mar 2017 (9y) | ||
| Michael Lewis Kantrowitz | Registered representative | Mar 2017 (9y) | ||
| Timothy Joseph Haas | Registered representative | Mar 2017 (9y) | ||
| Vickie Lynn Lacroix | Registered representative | Mar 2017 (9y) | ||
| Andrew Thomas Beck | Registered representative | Apr 2017 (9y) | ||
| Jackson Patrick Neal | Registered representative | Apr 2017 (9y) | ||
| Michael Manuel Arriaga | Registered representative | Apr 2017 (9y) | ||
| Reynold Jimenez | Registered representative | Apr 2017 (9y) | ||
| Vincent Cuomo Dicarlo | Registered representative | Apr 2017 (9y) | ||
| Brian Timothy Suozzi | Registered representative | Apr 2017 (9y) | ||
| Derick Lee Pantoja | Registered representative | Apr 2017 (9y) | ||
| Kyle Goeke | Registered representative | Apr 2017 (9y) | ||
| Christina Giraldi | Registered representative | Apr 2017 (9y) | ||
| Donavan Paul Mayes | Registered representative | Apr 2017 (9y) | ||
| Holly Elaine Kogan | Registered representative | Apr 2017 (9y) | ||
| Taylre Lynne Herman | Registered representative | Apr 2017 (9y) | ||
| Angela Reiersonlapensky | Registered representative | Apr 2017 (9y) | ||
| Charles Langston Gassaway | Registered representative | Apr 2017 (9y) | ||
| Michael Anthony Grisaffi | Registered representative | Apr 2017 (9y) | ||
| Zachary Oliver Scoggin | Registered representative | Apr 2017 (9y) | ||
| Joshua Michael Standifer | Registered representative | Apr 2017 (9y) | ||
| Rodrick A Fowler | Registered representative | Apr 2017 (9y) | ||
| Thomas Monroe Walton | Registered representative | Apr 2017 (9y) | ||
| Daniel Duane Jones | Registered representative | Apr 2017 (9y) | ||
| Garrett Russell Voge | Registered representative | Apr 2017 (9y) | ||
| Joseph Ryan Regan | Registered representative | Apr 2017 (9y) | ||
| Yun Choi Risher | Registered representative | Apr 2017 (9y) | ||
| Andrew Muncy | Registered representative | Apr 2017 (9y) | ||
| Neal Governor | Registered representative | Apr 2017 (9y) | ||
| Suzanne Galatoire | Registered representative | Apr 2017 (9y) | ||
| Angela Joy Casper | Registered representative | Apr 2017 (9y) | ||
| Kurt Michael Schroyer | Registered representative | Apr 2017 (9y) | ||
| Blaze Tatananni | Registered representative | Apr 2017 (9y) | ||
| Jane N Chen | Registered representative | Apr 2017 (9y) | ||
| Cynthia Theis | Registered representative | Apr 2017 (9y) | ||
| Mark Francis Monaghan | Registered representative | Apr 2017 (9y) | ||
| Matthew James Wise | Registered representative | Apr 2017 (9y) | ||
| Edward Sherril Cheek | Registered representative | Apr 2017 (9y) | ||
| Joey Mcintyre | Registered representative | Apr 2017 (9y) | ||
| Karly Regin Gatchet | Registered representative | Apr 2017 (9y) | ||
| Jean Carol Dutt | Registered representative | Apr 2017 (9y) | ||
| Patrick James Gracin | Registered representative | Apr 2017 (9y) | ||
| William John Paynter | Registered representative | Apr 2017 (9y) | ||
| Amir Alishahi | Registered representative | Apr 2017 (9y) | ||
| Michael Edward Gish | Registered representative | Apr 2017 (9y) | ||
| Stacy Lee Hennessee | Registered representative | Apr 2017 (9y) | ||
| Evan Whitehead | Registered representative | May 2017 (9y) | ||
| Ignacio Bonilla Ortiz | Registered representative | May 2017 (9y) | ||
| Kelly Parkinson | Registered representative | May 2017 (9y) | ||
| Ryan Bradley Callaham | Registered representative | May 2017 (9y) | ||
| Samuel Cowan Price | Registered representative | May 2017 (9y) | ||
| Lan Huong Nguyen | Registered representative | May 2017 (9y) | ||
| Yuriko Coil | Registered representative | May 2017 (9y) | ||
| Brian Crocker | Registered representative | May 2017 (9y) | ||
| Brian James Kessler | Registered representative | May 2017 (9y) | ||
| Brian Mcniff | Registered representative | May 2017 (9y) | ||
| David James Bolten | Registered representative | May 2017 (9y) | ||
| Thomas Einar Gunnersen | Registered representative | May 2017 (9y) | ||
| Jose Valdez | Registered representative | May 2017 (9y) | ||
| Renee Finney | Registered representative | May 2017 (9y) | ||
| Andrew Charles Peters | Registered representative | May 2017 (9y) | ||
| Jean Ann Fisher | Registered representative | May 2017 (9y) | ||
| Ken Ho | Registered representative | May 2017 (9y) | ||
| Samantha Rose Gill | Registered representative | May 2017 (9y) | ||
| Teague C Mathews | Registered representative | May 2017 (9y) | ||
| Walter M Stucker | Registered representative | May 2017 (9y) | ||
| Nathan Lee Parrish | Registered representative | May 2017 (9y) | ||
| David Gerald Taylor | Registered representative | May 2017 (9y) | ||
| James Richard Pratt | Registered representative | May 2017 (9y) | ||
| Forrest Tanner Fox | Registered representative | May 2017 (9y) | ||
| Jacob Franco | Registered representative | May 2017 (9y) | ||
| Jessica Lynn Bilby | Registered representative | May 2017 (9y) | ||
| Ryan Elwood Goodson | Registered representative | May 2017 (9y) | ||
| Amy Mohnsam | Registered representative | May 2017 (9y) | ||
| Christopher Mills | Registered representative | May 2017 (9y) | ||
| Colleen Marie Glavin Beiner | Registered representative | May 2017 (9y) | ||
| Dino Viggiano | Registered representative | May 2017 (9y) | ||
| Jesse Isaac Creem | Registered representative | May 2017 (9y) | ||
| Kathryn Teresa Bascom | Registered representative | May 2017 (9y) | ||
| Marlon Profeta | Registered representative | May 2017 (9y) | ||
| Donna Gail Smothermon | Registered representative | May 2017 (9y) | ||
| Robert Joseph Wieczorek | Registered representative | May 2017 (9y) | ||
| Sandy B Hernandez | Registered representative | CFP | May 2017 (9y) | |
| Robert Alan Proctor | Registered representative | CFP | May 2017 (9y) | |
| Annette Louise Connors | Registered representative | May 2017 (9y) | ||
| Darshi Lakshanthi Jayawardena | Registered representative | May 2017 (9y) | ||
| Derek Jason Allsup | Registered representative | May 2017 (9y) | ||
| John Dyer | Registered representative | May 2017 (9y) | ||
| Rashmi Dhankhar | Registered representative | May 2017 (9y) | ||
| Ariana Hanley Jordan | Registered representative | May 2017 (9y) | ||
| Charles Louis Robbins | Registered representative | May 2017 (9y) | ||
| Conor Thomas Mccoy | Registered representative | May 2017 (9y) | ||
| Devon Catherine Mackinnon | Registered representative | May 2017 (9y) | ||
| John Michael Price | Registered representative | May 2017 (9y) | ||
| Lisa Verweire Bush | Registered representative | May 2017 (9y) | ||
| Michael Connors Price | Registered representative | May 2017 (9y) | ||
| Scott Charles Meine | Registered representative | May 2017 (9y) | ||
| Sharon Elzena Griffith | Registered representative | May 2017 (9y) | ||
| Amy Lynn Hoesli | Registered representative | May 2017 (9y) | ||
| David James Codella | Registered representative | May 2017 (9y) | ||
| Karina Marisol Carpio | Registered representative | May 2017 (9y) | ||
| Richard Darrin White | Registered representative | May 2017 (9y) | ||
| Richard Marshall Bagley | Registered representative | May 2017 (9y) | ||
| Ryan Michael Black | Registered representative | CFP | May 2017 (9y) | |
| Joseph Thomas Bayse | Registered representative | May 2017 (9y) | ||
| Kylie Elizabeth Cusick | Registered representative | CFP | May 2017 (9y) | |
| Benjamin David Bringolf | Registered representative | May 2017 (9y) | ||
| Jason Scott Clark | Registered representative | May 2017 (9y) | ||
| Scott Charles Andress | Registered representative | May 2017 (9y) | ||
| Brandon Saito | Registered representative | Jun 2017 (9y) | ||
| David Jacob Salus | Registered representative | Jun 2017 (9y) | ||
| Gerald Wayne Doerr | Registered representative | Jun 2017 (9y) | ||
| Cody Allen Wells | Registered representative | Jun 2017 (9y) | ||
| David Drew Dillingham | Registered representative | Jun 2017 (9y) | ||
| Michael Eugene Palazzo | Registered representative | Jun 2017 (9y) | ||
| Richard P Treu | Registered representative | Jun 2017 (9y) | ||
| Troy Michael Cochran | Registered representative | Jun 2017 (9y) | ||
| Aaron Michael Mccubbin | Registered representative | Jun 2017 (9y) | ||
| Ethan Travis Powell | Registered representative | Jun 2017 (9y) | ||
| Shannon Rene Jackson | Registered representative | Jun 2017 (9y) | ||
| Ali Nick Sadaghiani | Registered representative | Jun 2017 (9y) | ||
| Arthur Quan Chan | Registered representative | Jun 2017 (9y) | ||
| Ehud Rinot | Registered representative | Jun 2017 (9y) | ||
| Jammie Leanne Powell | Registered representative | Jun 2017 (9y) | ||
| Kevin W Paquet | Registered representative | Jun 2017 (9y) | ||
| Kimberly Morse | Registered representative | Jun 2017 (9y) | ||
| Maurice Orlando Young | Registered representative | Jun 2017 (9y) | ||
| Purnima Mahindrakar | Registered representative | Jun 2017 (9y) | ||
| Michael James Muehl | Registered representative | Jun 2017 (9y) | ||
| Carol Lynn Cress | Registered representative | Jun 2017 (9y) | ||
| Charles Finlay Moyer | Registered representative | Jun 2017 (9y) | ||
| Matthew Miles Shaw | Registered representative | Jun 2017 (9y) | ||
| Patrick Reilly Mooney | Registered representative | Jun 2017 (9y) | ||
| Randi P Mccann Rowland | Registered representative | Jun 2017 (9y) | ||
| Susan Marie Greene | Registered representative | Jun 2017 (9y) | ||
| Yifeng Tong | Registered representative | Jun 2017 (9y) | ||
| Noah Shawn Berryman | Registered representative | Jun 2017 (9y) | ||
| Joseph Michael Guerriero | Registered representative | Jun 2017 (9y) | ||
| Michael Dutton | Registered representative | Jun 2017 (9y) | ||
| Antoinette Marie Chakif | Registered representative | Jun 2017 (9y) | ||
| Marc Campanaro | Registered representative | CFP Chartered Financial Consultant | Jun 2017 (9y) | |
| Robert Raymond Brueggeman | Registered representative | Jun 2017 (9y) | ||
| Brian Michael Quinn | Registered representative | Jun 2017 (9y) | ||
| Jeffrey Steven Herman | Registered representative | Jun 2017 (9y) | ||
| Jose L Raya | Registered representative | Jun 2017 (9y) | ||
| Tabrenia Lynn Davidson | Registered representative | CFP | Jun 2017 (9y) | |
| Stephen Daniel Fair | Registered representative | Jun 2017 (9y) | ||
| David Werner | Registered representative | Jun 2017 (9y) | ||
| Kyle Mark Kronlokken | Registered representative | Jun 2017 (9y) | ||
| Lewis Joseph Nameth | Registered representative | Jun 2017 (9y) | ||
| Charles Kregg Hanowell | Registered representative | Jun 2017 (9y) | ||
| William Andrew Brinkmeyer | Registered representative | CFP | Jun 2017 (9y) | |
| Scott Robert Johnson | Registered representative | Jun 2017 (9y) | ||
| Chris Kent Meyers | Registered representative | Jun 2017 (9y) | ||
| Christopher Albert Lord | Registered representative | Jun 2017 (9y) | ||
| Laurie Ann Brown | Registered representative | Jun 2017 (9y) | ||
| Nathan Donald Kinney | Registered representative | Jun 2017 (9y) | ||
| Alejandro Flores | Registered representative | Jun 2017 (9y) | ||
| David W Reineking | Registered representative | Jun 2017 (9y) | ||
| Michael Benjamin Jones | Registered representative | Jun 2017 (9y) | ||
| Robert Alan Jacobson | Registered representative | Jun 2017 (9y) | ||
| Michael Richard Brown | Registered representative | Jul 2017 (9y) | ||
| Amber Michelle Meger | Registered representative | Jul 2017 (9y) | ||
| Ciera Janiece Carson | Registered representative | Jul 2017 (9y) | ||
| Erin M Earle | Registered representative | Jul 2017 (9y) | ||
| John Mark Johnston | Registered representative | Jul 2017 (9y) | ||
| Susana Mastroianni | Registered representative | Jul 2017 (9y) | ||
| Amy Jeanne Sullivan | Registered representative | Jul 2017 (9y) | ||
| Christopher Neff | Registered representative | Jul 2017 (9y) | ||
| Donna Jeeun Kim | Registered representative | Jul 2017 (9y) | ||
| Florencio Gilberto Sandoval | Registered representative | Jul 2017 (9y) | ||
| Jeffrey Donald Roman | Registered representative | Jul 2017 (9y) | ||
| William Joseph Meyer | Registered representative | Jul 2017 (9y) | ||
| Cara Kinowski | Registered representative | Jul 2017 (9y) | ||
| Sheila Gill Mcelhinney | Registered representative | Jul 2017 (9y) | ||
| Aaron Matthew Johnson | Registered representative | Jul 2017 (9y) | ||
| Benjamin Mark Wilson | Registered representative | Jul 2017 (9y) | ||
| Jonathan David Moore | Registered representative | Jul 2017 (9y) | ||
| Kimberly Ann Zeppelin | Registered representative | Jul 2017 (9y) | ||
| Veronica Aguirre Vasquez | Registered representative | Jul 2017 (9y) | ||
| Kristin Seay | Registered representative | Jul 2017 (9y) | ||
| Lawrence David Birnbaum | Registered representative | Jul 2017 (9y) | ||
| Qani Dalab Elmi | Registered representative | Jul 2017 (9y) | ||
| Aaron Wayne Vinson | Registered representative | Jul 2017 (9y) | ||
| Jeffrey Tsz Ching Buk | Registered representative | Jul 2017 (9y) | ||
| Kayla Wilde Payne | Registered representative | Jul 2017 (9y) | ||
| Robert Joseph Mclane | Registered representative | CFP | Jul 2017 (9y) | |
| George Collins Mcclintock | Registered representative | Jul 2017 (9y) | ||
| Rory Mcvey | Registered representative | Jul 2017 (9y) | ||
| Angela Paige Krumme | Registered representative | CFP | Jul 2017 (9y) | |
| Bradford Stanley Walsh | Registered representative | Jul 2017 (9y) | ||
| Christine Marie Moody | Registered representative | Jul 2017 (9y) | ||
| John Eugene Kane | Registered representative | Jul 2017 (9y) | ||
| Johnny Fabian Cortes | Registered representative | Jul 2017 (9y) | ||
| Kelly Potter | Registered representative | Jul 2017 (9y) | ||
| Hui Chin Kim | Registered representative | Jul 2017 (9y) | ||
| Rebecca Cooper | Registered representative | Jul 2017 (9y) | ||
| Adam Douglas Garretson | Registered representative | CFP | Jul 2017 (9y) | |
| Donna Bowler | Registered representative | Jul 2017 (9y) | ||
| Sharon Colleen Phelan | Registered representative | Jul 2017 (9y) | ||
| Sheryl Stoneking | Registered representative | Jul 2017 (9y) | ||
| Steven John Hoffman | Registered representative | Jul 2017 (9y) | ||
| Laura Catherine Wood | Registered representative | Chartered Financial Consultant | Jul 2017 (9y) | |
| Courtenay Leigh Yeager | Registered representative | Jul 2017 (9y) | ||
| David Paul Jonas | Registered representative | Jul 2017 (9y) | ||
| Mary W. Basili | Registered representative | Jul 2017 (9y) | ||
| William Dudley Peyton | Registered representative | Jul 2017 (9y) | ||
| Alexander Fields | Registered representative | Jul 2017 (9y) | ||
| Adam Joseph Pilialoha Mcmahon | Registered representative | Jul 2017 (9y) | ||
| Anh Kim To | Registered representative | Jul 2017 (9y) | ||
| Gary Nicholas Selecky | Registered representative | Jul 2017 (9y) | ||
| David C Green | Registered representative | Aug 2017 (9y) | ||
| Matthew Robert D'addario | Registered representative | Aug 2017 (9y) | ||
| Heather Rene Sickler | Registered representative | Aug 2017 (9y) | ||
| Jason Huan Nguyen | Registered representative | Aug 2017 (9y) | ||
| Kristen Lee Dixon | Registered representative | Aug 2017 (9y) | ||
| Anthony Shane Carpenter | Registered representative | Aug 2017 (9y) | ||
| John Andrew Mcleod | Registered representative | Aug 2017 (9y) | ||
| Melanie Diane Gilmore | Registered representative | Aug 2017 (9y) | ||
| Kazi Kaisar Mahmud | Registered representative | Aug 2017 (9y) | ||
| Brandon Alan Kuhn | Registered representative | Aug 2017 (9y) | ||
| Eddie Mondaeo Jones | Registered representative | Aug 2017 (9y) | ||
| Matthew Tipton | Registered representative | Aug 2017 (9y) | ||
| Robert John Palatella | Registered representative | Aug 2017 (9y) | ||
| Caitlin Quirey Erickson | Registered representative | Aug 2017 (9y) | ||
| Nicholas James Grimm | Registered representative | Aug 2017 (9y) | ||
| Cheryl L Silver | Registered representative | Aug 2017 (9y) | ||
| Gregory Dale Schlitter | Registered representative | Aug 2017 (9y) | ||
| James Edward Harris | Registered representative | Aug 2017 (9y) | ||
| Tiffany Lynn Sims | Registered representative | Aug 2017 (9y) | ||
| Jeffrey Todd Timonen | Registered representative | Aug 2017 (9y) | ||
| Colleen Baldeh | Registered representative | CFP | Aug 2017 (9y) | |
| Jeffrey John Mckee | Registered representative | Aug 2017 (9y) | ||
| Gregg Bradley Harmeyer | Registered representative | Aug 2017 (9y) | ||
| Jonathon James Marosi | Registered representative | Aug 2017 (9y) | ||
| Brandon B Knutson | Registered representative | Aug 2017 (9y) | ||
| Curtis Morrow | Registered representative | Aug 2017 (9y) | ||
| Erik Hernandez Ramos | Registered representative | Aug 2017 (9y) | ||
| Gwen Tyler | Registered representative | Aug 2017 (9y) | ||
| Scott Anthony Collins | Registered representative | CFP | Aug 2017 (9y) | |
| Carolyn Starkweather | Registered representative | Aug 2017 (9y) | ||
| Douglas Scott Russell | Registered representative | Aug 2017 (9y) | ||
| Gregory E Bruno | Registered representative | Aug 2017 (9y) | ||
| Jennifer Marie Cincotta | Registered representative | Aug 2017 (9y) | ||
| Kathleen Anne Bostroem | Registered representative | Aug 2017 (9y) | ||
| David Louis Gross | Registered representative | CFP | Aug 2017 (9y) | |
| Steven Edward Silvey | Registered representative | Aug 2017 (9y) | ||
| Timothy Frederick Shoji | Registered representative | Aug 2017 (9y) | ||
| Cheryl Ann Straatmann | Registered representative | Aug 2017 (9y) | ||
| Joseph J Flego | Registered representative | Aug 2017 (9y) | ||
| Daniel Robert Tenney | Registered representative | Aug 2017 (9y) | ||
| Edgar Galicia | Registered representative | Aug 2017 (9y) | ||
| Andrew Paul Horton | Registered representative | Aug 2017 (9y) | ||
| Herbert Joel Segall | Registered representative | Aug 2017 (9y) | ||
| Jakob Benjamin Vachal | Registered representative | Aug 2017 (9y) | ||
| Melynda Crozier | Registered representative | Aug 2017 (9y) | ||
| Ricky Bryce Young | Registered representative | Aug 2017 (9y) | ||
| Alexander Thomas Murphy | Registered representative | Sep 2017 (9y) | ||
| Daniel Aaron Doan | Registered representative | Sep 2017 (9y) | ||
| Debora Faulkner Mock | Registered representative | Sep 2017 (9y) | ||
| Jeffrey Jacob Frashuer | Registered representative | Sep 2017 (9y) | ||
| Judson Chenet Mock | Registered representative | Sep 2017 (9y) | ||
| Kelen Crossland | Registered representative | Sep 2017 (9y) | ||
| Michael William Hanlon | Registered representative | Sep 2017 (9y) | ||
| Peter Haselhoff | Registered representative | Sep 2017 (9y) | ||
| Randy Jacob Snyder | Registered representative | CFP | Sep 2017 (9y) | |
| Valerie Renee Collins | Registered representative | Sep 2017 (9y) | ||
| William Tanner Miller | Registered representative | Sep 2017 (9y) | ||
| Zane Edward Schreiber | Registered representative | Sep 2017 (9y) | ||
| Amy Lynn Clouser | Registered representative | Sep 2017 (9y) | ||
| Jerry Dale Brewster | Registered representative | Sep 2017 (9y) | ||
| Dana Judson Brown | Registered representative | Sep 2017 (9y) | ||
| Jeffrey Martin Brown | Registered representative | CFP | Sep 2017 (9y) | |
| Melinda Paige Jones | Registered representative | Sep 2017 (9y) | ||
| Michael Arson Jack Lakovich | Registered representative | Sep 2017 (9y) | ||
| Thomas Michael Jeszeck | Registered representative | Sep 2017 (9y) | ||
| William Bradley Landschoot | Registered representative | Sep 2017 (9y) | ||
| Dillon Peter Freer | Registered representative | Sep 2017 (9y) | ||
| Eric Sacks | Registered representative | Sep 2017 (9y) | ||
| John Hauhan Liu | Registered representative | Sep 2017 (9y) | ||
| Rena Rae Grimes | Registered representative | Sep 2017 (9y) | ||
| Robert Frosch | Registered representative | Sep 2017 (9y) | ||
| Scott Jeffrey Gill | Registered representative | Sep 2017 (9y) | ||
| Stacy Lynn Alfonso | Registered representative | Sep 2017 (9y) | ||
| William Orrill | Registered representative | Sep 2017 (9y) | ||
| Ashley Nicole Pigg | Registered representative | Sep 2017 (9y) | ||
| Ellen Catherine Mcgill | Registered representative | CFP | Sep 2017 (9y) | |
| Gregory Bulva | Registered representative | Sep 2017 (9y) | ||
| Kathleen Maria Collins Funk | Registered representative | Sep 2017 (9y) | ||
| Scott Gregory Bowman | Registered representative | Chartered Financial Consultant | Sep 2017 (9y) | |
| Adrian Dustin Przyboro | Registered representative | Sep 2017 (9y) | ||
| Anna Genevieve Sandall | Registered representative | Sep 2017 (9y) | ||
| Eric Michael Corsini | Registered representative | Sep 2017 (9y) | ||
| Joseph P Plyler | Registered representative | Sep 2017 (9y) | ||
| Lily Pryce | Registered representative | CFP | Sep 2017 (9y) | |
| Earl Micklewright | Registered representative | CFP | Sep 2017 (9y) | |
| Yuriy Royzman | Registered representative | Sep 2017 (9y) | ||
| Zachary Lowell Yocum | Registered representative | Sep 2017 (9y) | ||
| Christopher Michael Webb | Registered representative | Sep 2017 (9y) | ||
| Jeretha Harvey Tabor | Registered representative | Sep 2017 (9y) | ||
| John Parks | Registered representative | Sep 2017 (9y) | ||
| Sarah Alicia Sotomayor | Registered representative | Sep 2017 (9y) | ||
| Toby Lee Powell | Registered representative | Sep 2017 (9y) | ||
| Cindy Outlaw Johnson | Registered representative | Sep 2017 (9y) | ||
| David Allen Adam | Registered representative | CFP | Sep 2017 (9y) | |
| Gregory Vernon | Registered representative | Sep 2017 (9y) | ||
| Leonard Anshelevich | Registered representative | Sep 2017 (9y) | ||
| Amanda Frasier Skotarczak | Registered representative | Sep 2017 (9y) | ||
| Anthony Roger Felix Boriel | Registered representative | Sep 2017 (9y) | ||
| Lisa Michelle Hunter Roberts | Registered representative | Sep 2017 (9y) | ||
| Richard Armstrong Haye | Registered representative | Sep 2017 (9y) | ||
| Adrian James Sparks | Registered representative | Sep 2017 (9y) | ||
| Christina Lynn Riffle | Registered representative | Sep 2017 (9y) | ||
| Claxton Ray West | Registered representative | Sep 2017 (9y) | ||
| Danielle Brooke Eime | Registered representative | CFP | Sep 2017 (9y) | |
| James Cole Watson | Registered representative | Sep 2017 (9y) | ||
| Kyle Lee Hanlon | Registered representative | CFP | Sep 2017 (9y) | |
| Patrick Christopher Stropes | Registered representative | Sep 2017 (9y) | ||
| Ashley L Barker | Registered representative | Sep 2017 (9y) | ||
| Debra Ann Huff | Registered representative | Sep 2017 (9y) | ||
| Ray Franklin Kauffman | Registered representative | Sep 2017 (9y) | ||
| Zeiry Yannuen Barillas | Registered representative | Sep 2017 (9y) | ||
| Daniel Alcantar | Registered representative | Sep 2017 (9y) | ||
| George Lombardi | Registered representative | Sep 2017 (9y) | ||
| James N. Hong | Registered representative | Sep 2017 (9y) | ||
| Stephen Benincasa | Registered representative | Sep 2017 (9y) | ||
| Eric Joseph Juckem | Registered representative | Oct 2017 (9y) | ||
| Matthew Roffers | Registered representative | Oct 2017 (9y) | ||
| Seth Thomas Koestler | Registered representative | Oct 2017 (9y) | ||
| Dharav Niranjan Vyas | Registered representative | Oct 2017 (9y) | ||
| Iliasser Robin Arias | Registered representative | Oct 2017 (9y) | ||
| Jeremy Ryan Mast | Registered representative | Oct 2017 (9y) | ||
| Jeremy Ryan Ray | Registered representative | CFA | Oct 2017 (9y) | |
| Anthony Samuel Grazziano | Registered representative | Oct 2017 (9y) | ||
| Kevin Brzezinski | Registered representative | Oct 2017 (9y) | ||
| Andrew Paul Kousouros | Registered representative | CFP | Oct 2017 (9y) | |
| Alexander Leaming Bartol | Registered representative | CFP | Oct 2017 (9y) | |
| Chris S Blentzas | Registered representative | CFP | Oct 2017 (9y) | |
| John Patrick Hoile | Registered representative | Oct 2017 (9y) | ||
| Sean David Gauss | Registered representative | Oct 2017 (9y) | ||
| Karen Ashley Whitlock | Registered representative | Oct 2017 (9y) | ||
| My Hoang Truc Nguyen | Registered representative | Oct 2017 (9y) | ||
| John Klayton Kennedy | Registered representative | Oct 2017 (9y) | ||
| Philip J Desanto | Registered representative | Oct 2017 (9y) | ||
| Adrian Ioan Ozarchievici | Registered representative | CFP | Oct 2017 (9y) | |
| Anthony Christopher Parente | Registered representative | Oct 2017 (9y) | ||
| Charles Cowart | Registered representative | Oct 2017 (9y) | ||
| Joseph Michael Connelly | Registered representative | Oct 2017 (9y) | ||
| Reginald Alan Hammonds | Registered representative | Oct 2017 (9y) | ||
| Kimberly Rosse Hernandez | Registered representative | Oct 2017 (9y) | ||
| Samantha Davalos | Registered representative | Oct 2017 (9y) | ||
| Tara Dawn Hutchins | Registered representative | Oct 2017 (9y) | ||
| Thomas Malcolm Orourke | Registered representative | Oct 2017 (9y) | ||
| Kelley Lee West | Registered representative | Oct 2017 (9y) | ||
| Robert Brian Burnett | Registered representative | Oct 2017 (9y) | ||
| Scott Michael Bowman | Registered representative | Oct 2017 (9y) | ||
| Rose Gabrielle Odland | Registered representative | Oct 2017 (9y) | ||
| Glenn Johnson | Registered representative | Oct 2017 (9y) | ||
| Joseph Noel | Registered representative | Oct 2017 (9y) | ||
| Charles Kyriacos Anastasiou | Registered representative | Oct 2017 (9y) | ||
| Nicholas Alexander Sleiman | Registered representative | Oct 2017 (9y) | ||
| David John Morochnick | Registered representative | Oct 2017 (9y) | ||
| Mark Louis Labriola | Registered representative | Oct 2017 (9y) | ||
| Matthew Cafferata | Registered representative | Oct 2017 (9y) | ||
| Katelyn Elizabeth Sutterer | Registered representative | Oct 2017 (9y) | ||
| Nathan Foster | Registered representative | Oct 2017 (9y) | ||
| Steve Chrisman | Registered representative | Oct 2017 (9y) | ||
| Dennis Samade | Registered representative | Oct 2017 (9y) | ||
| Corey Ray Rodahl | Registered representative | Nov 2017 (9y) | ||
| Joanne Carey Esfahani | Registered representative | Nov 2017 (9y) | ||
| Xavier Alexander Rigail Checa | Registered representative | Nov 2017 (9y) | ||
| Elizabeth Ann Ford | Registered representative | Nov 2017 (9y) | ||
| Lawrence Miguel Cervantes | Registered representative | Nov 2017 (9y) | ||
| Scott Alan Lang | Registered representative | CFP | Nov 2017 (9y) | |
| Neerja Bhargava | Registered representative | Nov 2017 (9y) | ||
| Philip John Welch | Registered representative | Nov 2017 (9y) | ||
| Baktash Ahmad Rashidi | Registered representative | Nov 2017 (9y) | ||
| Keith Scott Crabtree | Registered representative | Nov 2017 (9y) | ||
| Anthony Nicholas Hsiao | Registered representative | Nov 2017 (9y) | ||
| Kevin Michael New | Registered representative | Nov 2017 (9y) | ||
| Krista Murray Clarke | Registered representative | Nov 2017 (9y) | ||
| David D Hamlin | Registered representative | Nov 2017 (9y) | ||
| Hope M. Salin | Registered representative | Nov 2017 (9y) | ||
| Julia R Truslow | Registered representative | CFP | Nov 2017 (9y) | |
| Alec Acosta | Registered representative | Nov 2017 (9y) | ||
| Christopher Benjamin Steele | Registered representative | Nov 2017 (9y) | ||
| James Conor Andrew | Registered representative | Nov 2017 (9y) | ||
| Robert Keith Glass | Registered representative | Nov 2017 (9y) | ||
| Alexander Scott Elger | Registered representative | Nov 2017 (9y) | ||
| Brandon Lee Cory | Registered representative | Nov 2017 (9y) | ||
| Brooke Rene Melton | Registered representative | Nov 2017 (9y) | ||
| Mea Lynnette Epps | Registered representative | Nov 2017 (9y) | ||
| Scott Kenneth Elger | Registered representative | Nov 2017 (9y) | ||
| Thomas Edward Brown | Registered representative | Nov 2017 (9y) | ||
| Ross Michael Plunkett | Registered representative | Nov 2017 (9y) | ||
| Xay Thao | Registered representative | Nov 2017 (9y) | ||
| Ann Patrice Mccarthy Hackney | Registered representative | Nov 2017 (9y) | ||
| Courtney Ann Altringer | Registered representative | CFP | Nov 2017 (9y) | |
| Roxanne Larsen | Registered representative | Nov 2017 (9y) | ||
| Megan Michellee Grahn | Registered representative | Nov 2017 (9y) | ||
| Ryan Francis Horner | Registered representative | Nov 2017 (9y) | ||
| Sanjay Gangadharan Menon | Registered representative | Nov 2017 (9y) | ||
| Jeremiah Michael Muryasz | Registered representative | Nov 2017 (9y) | ||
| Lisa Joan Vanderheyden | Registered representative | Nov 2017 (9y) | ||
| Timothy Mccalla | Registered representative | Nov 2017 (9y) | ||
| Maura Patricia Guthrie | Registered representative | CFP | Nov 2017 (9y) | |
| Aaron Michael Tillinger | Registered representative | Nov 2017 (9y) | ||
| Donna Magrino | Registered representative | Nov 2017 (9y) | ||
| Sean Michael Mcbride | Registered representative | Nov 2017 (9y) | ||
| Tammy Terri Lau | Registered representative | Nov 2017 (9y) | ||
| Karen Phuong Lam | Registered representative | Dec 2017 (9y) | ||
| Lixanelle Roman Valentin | Registered representative | Dec 2017 (9y) | ||
| Akash Pravin Patel | Registered representative | Dec 2017 (9y) | ||
| Erik Whitworth Bird | Registered representative | Dec 2017 (9y) | ||
| Jeffrey Kenneth Lund | Registered representative | Dec 2017 (9y) | ||
| Jimmy Lee Meadows | Registered representative | Dec 2017 (9y) | ||
| Lyndon Charles Palfrey | Registered representative | Dec 2017 (9y) | ||
| Meenakshi Sharma | Registered representative | Dec 2017 (9y) | ||
| Nadine Of Gatas | Registered representative | Dec 2017 (9y) | ||
| Robert T Montgomery | Registered representative | Dec 2017 (9y) | ||
| April Lynn Bingel | Registered representative | Dec 2017 (9y) | ||
| Brady Nelson | Registered representative | Dec 2017 (9y) | ||
| Christopher William Lucky | Registered representative | Dec 2017 (9y) | ||
| Johnathan Dodd Tarancon | Registered representative | Dec 2017 (9y) | ||
| Jose Angel Vinalay Rodriguez | Registered representative | Dec 2017 (9y) | ||
| Lorena Rubio | Registered representative | Dec 2017 (9y) | ||
| Michael John Greene | Registered representative | Dec 2017 (9y) | ||
| Wesley Kelsey | Registered representative | Dec 2017 (9y) | ||
| Bruce William Chapman | Registered representative | Dec 2017 (9y) | ||
| Jill L Conda Jacobson | Registered representative | Dec 2017 (9y) | ||
| Bari Bridges | Registered representative | CFP | Dec 2017 (9y) | |
| Benjamin Alexander Oxnard | Registered representative | Dec 2017 (9y) | ||
| Brian Edward Campbell | Registered representative | Dec 2017 (9y) | ||
| Candace Marie Lieber | Registered representative | Dec 2017 (9y) | ||
| Carol Elizabeth Marks | Registered representative | Dec 2017 (9y) | ||
| Joshua Duane Burrows | Registered representative | Dec 2017 (9y) | ||
| J Douglas Riva | Registered representative | CFP Chartered Financial Consultant | Dec 2017 (9y) | |
| Joshua C Woodby | Registered representative | Dec 2017 (9y) | ||
| Michael Harris Woods | Registered representative | Dec 2017 (9y) | ||
| David Alex Mastro | Registered representative | Dec 2017 (9y) | ||
| Nicholas Glen Johnson | Registered representative | Dec 2017 (9y) | ||
| Annie Marie Bienvenu | Registered representative | Dec 2017 (9y) | ||
| Froilan Anthony Brittingham | Registered representative | Dec 2017 (9y) | ||
| Justin Joseph Mckay | Registered representative | Dec 2017 (9y) | ||
| Yolanda Cobb | Registered representative | Dec 2017 (9y) | ||
| Asheet K Yagnik | Registered representative | Dec 2017 (9y) | ||
| Brian Patrick Meeks | Registered representative | Dec 2017 (9y) | ||
| Jaikishan Madhu Daryanani | Registered representative | Dec 2017 (9y) | ||
| Joseph Eric Swaro | Registered representative | Dec 2017 (9y) | ||
| Richard Anthony Williamson | Registered representative | Dec 2017 (9y) | ||
| Pamela Marie Buehne | Registered representative | Dec 2017 (9y) | ||
| Kristel Karen Aquino Jocson | Registered representative | Dec 2017 (9y) | ||
| Simona Anschutz | Registered representative | Dec 2017 (9y) | ||
| Vinh Phuong | Registered representative | Dec 2017 (9y) | ||
| Larry Steven Wankel | Registered representative | Dec 2017 (9y) | ||
| Merrianne Tocco | Registered representative | Jan 2018 (9y) | ||
| Steven P Morse | Registered representative | Jan 2018 (9y) | ||
| Benjamin L Taylor | Registered representative | Jan 2018 (9y) | ||
| Natalie Anne Gross | Registered representative | Jan 2018 (9y) | ||
| Anthony Kenneth Greier | Registered representative | Jan 2018 (9y) | ||
| Emmanuel Angelopoulos | Registered representative | Jan 2018 (9y) | ||
| Jason I Witrock | Registered representative | Jan 2018 (9y) | ||
| Jordan David Frank | Registered representative | Jan 2018 (9y) | ||
| Christopher M Nassan | Registered representative | Jan 2018 (9y) | ||
| Brian Kyle Gallagher | Registered representative | Jan 2018 (9y) | ||
| Christina Louise Wisneski | Registered representative | Jan 2018 (9y) | ||
| Jason Taylor Smith | Registered representative | Jan 2018 (9y) | ||
| Karen Elaine Middleton | Registered representative | Jan 2018 (9y) | ||
| Lisa Lynn Werner | Registered representative | Jan 2018 (9y) | ||
| Melissa Stone | Registered representative | Jan 2018 (9y) | ||
| Paula Marie Poisson | Registered representative | Jan 2018 (9y) | ||
| Elizabeth Catherine Haley | Registered representative | Jan 2018 (9y) | ||
| Erica Rae Newton | Registered representative | Jan 2018 (9y) | ||
| Peter Damian Rohn | Registered representative | Jan 2018 (9y) | ||
| Peter Lawrence Rohn | Registered representative | Jan 2018 (9y) | ||
| John Stephen Piontek | Registered representative | Jan 2018 (9y) | ||
| David Felipe Hernandez | Registered representative | CFP | Jan 2018 (9y) | |
| Adam Aitken | Registered representative | Jan 2018 (9y) | ||
| Duane K Hoffinger | Registered representative | Jan 2018 (9y) | ||
| Jacob Robinson | Registered representative | Jan 2018 (9y) | ||
| Samnang Huot | Registered representative | Jan 2018 (9y) | ||
| April Sandoval | Registered representative | Jan 2018 (9y) | ||
| Maureen Kay Eddy Dye | Registered representative | Jan 2018 (9y) | ||
| Curtis Joseph Kroll | Registered representative | Jan 2018 (9y) | ||
| Anthony Tyronne Kemp | Registered representative | Jan 2018 (9y) | ||
| Marcos Antonio Franco | Registered representative | Jan 2018 (9y) | ||
| Garrett Wayne Ganey | Registered representative | Jan 2018 (9y) | ||
| Gregg Rosh | Registered representative | Jan 2018 (9y) | ||
| Robert Braden | Registered representative | Jan 2018 (9y) | ||
| Jeffrey Warne | Registered representative | Jan 2018 (9y) | ||
| Paulo Andre Quintana | Registered representative | Jan 2018 (9y) | ||
| Anna Ammana Zentner | Registered representative | Feb 2018 (9y) | ||
| Michael Joseph Zadlo | Registered representative | Feb 2018 (9y) | ||
| Fatima Romo | Registered representative | Feb 2018 (8y) | ||
| Matthew Pflueger | Registered representative | Feb 2018 (8y) | ||
| Allison Sim | Registered representative | Feb 2018 (8y) | ||
| Amit Rajendrakumar Thakkar | Registered representative | Feb 2018 (8y) | ||
| David Nicholas Nelson | Registered representative | Feb 2018 (8y) | ||
| David Malcolm Lee Harris | Registered representative | Feb 2018 (8y) | ||
| Patrick Murphy | Registered representative | Feb 2018 (8y) | ||
| Suzan Marie Horvatinovich | Registered representative | Feb 2018 (8y) | ||
| Garrett Lee Gibson | Registered representative | Feb 2018 (8y) | ||
| Kelly Lawrence Rosenthal | Registered representative | Feb 2018 (8y) | ||
| Kimberly Page Mazziotti | Registered representative | Feb 2018 (8y) | ||
| Megan Devine | Registered representative | Feb 2018 (8y) | ||
| Zachary Edward Giese | Registered representative | Feb 2018 (8y) | ||
| Gregory Joseph Difani | Registered representative | Feb 2018 (8y) | ||
| Kimberly Shores | Registered representative | Feb 2018 (8y) | ||
| Bryant Patrick Dawson | Registered representative | Feb 2018 (8y) | ||
| Brian Ruziecki | Registered representative | Feb 2018 (8y) | ||
| Chad Baker | Registered representative | Feb 2018 (8y) | ||
| Ethan Dennis Clark | Registered representative | Feb 2018 (8y) | ||
| Jeffrey Dean Walls | Registered representative | CFP | Feb 2018 (8y) | |
| Jeffrey Thomas Gensheimer | Registered representative | Feb 2018 (8y) | ||
| Kirsten Celeste Medina | Registered representative | Feb 2018 (8y) | ||
| Leo Fredrick Lauterbach | Registered representative | Feb 2018 (8y) | ||
| Marcia Ann Smith | Registered representative | Feb 2018 (8y) | ||
| William Todd Frey | Registered representative | Feb 2018 (8y) | ||
| Daria Farkondepay | Registered representative | Feb 2018 (8y) | ||
| Brandon Watson | Registered representative | Feb 2018 (8y) | ||
| Jacob Wyatt Funkhouser | Registered representative | Feb 2018 (8y) | ||
| Kristina Anne Walden | Registered representative | Feb 2018 (8y) | ||
| Lee Dubinsky | Registered representative | Feb 2018 (8y) | ||
| Stephanie Deal Johnson | Registered representative | Feb 2018 (8y) | ||
| Virgil Burch | Registered representative | Feb 2018 (8y) | ||
| Andrew Eastwick Longman | Registered representative | Feb 2018 (8y) | ||
| Anthony Sicari | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| H Ruben Weisson | Registered representative | CFP | Feb 2018 (8y) | |
| Christopher Bryan Hardware | Registered representative | CFP | Feb 2018 (8y) | |
| Jack Dewayne Kendall | Registered representative | Feb 2018 (8y) | ||
| Krista Lea Cartwright | Registered representative | Feb 2018 (8y) | ||
| Phil Hung Nguyen | Registered representative | CFP | Feb 2018 (8y) | |
| Raquel B Pacheco | Registered representative | CFP | Feb 2018 (8y) | |
| Robert Osdieck | Registered representative | Feb 2018 (8y) | ||
| Elizabeth Galarza | Registered representative | Feb 2018 (8y) | ||
| Hasan Quadir Nock | Registered representative | Feb 2018 (8y) | ||
| Henock Shawul Cannon | Registered representative | Feb 2018 (8y) | ||
| Johnny Bhupendra Patel | Registered representative | Feb 2018 (8y) | ||
| Rafal Tomasz Fafara | Registered representative | Feb 2018 (8y) | ||
| David Aaron Reiss | Registered representative | Feb 2018 (8y) | ||
| Erick Szczap | Registered representative | Feb 2018 (8y) | ||
| Karlee Nicole Kerr Hill | Registered representative | Mar 2018 (8y) | ||
| David Charles Garcia | Registered representative | Mar 2018 (8y) | ||
| Denise Darnell Moana Thomas Murphy | Registered representative | Mar 2018 (8y) | ||
| Gary Jon Sampson | Registered representative | CFP | Mar 2018 (8y) | |
| Jay Bernard Ericsson | Registered representative | Mar 2018 (8y) | ||
| Jon Arthur Sampson | Registered representative | CFP | Mar 2018 (8y) | |
| David Armand Ventura | Registered representative | Mar 2018 (8y) | ||
| Ronald Andrew Murad | Registered representative | Mar 2018 (8y) | ||
| William Thomas Jones | Registered representative | Mar 2018 (8y) | ||
| Ann Caroline Hintz | Registered representative | Mar 2018 (8y) | ||
| Jonathan Corey Marks | Registered representative | Mar 2018 (8y) | ||
| Kevin Thomas Keeley | Registered representative | Mar 2018 (8y) | ||
| Michael Edward Kalas | Registered representative | Mar 2018 (8y) | ||
| Michael Thomas Jesionowski | Registered representative | Mar 2018 (8y) | ||
| Daniel Macgregor Kiley | Registered representative | Mar 2018 (8y) | ||
| Jennifer Kay Shulman | Registered representative | Mar 2018 (8y) | ||
| Walter E. Hernandez | Registered representative | Mar 2018 (8y) | ||
| Cody Tyler Daniels | Registered representative | CFP | Mar 2018 (8y) | |
| Julie Lankford | Registered representative | Mar 2018 (8y) | ||
| Paul Anthony Swope | Registered representative | Mar 2018 (8y) | ||
| Jennifer Ann Yanulavich | Registered representative | CFP | Mar 2018 (8y) | |
| Bogdan Traian Gard | Registered representative | Mar 2018 (8y) | ||
| Erik Andre Nels Nelson | Registered representative | Mar 2018 (8y) | ||
| John Allen Lee | Registered representative | Mar 2018 (8y) | ||
| Valentin Abel Arroyo | Registered representative | Mar 2018 (8y) | ||
| Nathan Paul Hofer | Registered representative | Mar 2018 (8y) | ||
| Brandon Naser Mowfy | Registered representative | CFP | Mar 2018 (8y) | |
| Chase Austin Stacker | Registered representative | Mar 2018 (8y) | ||
| Max Elijah Lewis | Registered representative | Mar 2018 (8y) | ||
| Robert Joseph Gatyas | Registered representative | Mar 2018 (8y) | ||
| Shane J Walock | Registered representative | Mar 2018 (8y) | ||
| Dawn Denigmann O'rourke | Registered representative | CFP | Mar 2018 (8y) | |
| Robert Harold Meyers | Registered representative | Mar 2018 (8y) | ||
| Francis Joseph Correale | Registered representative | Mar 2018 (8y) | ||
| Jacob Ian Weichert | Registered representative | CFP | Mar 2018 (8y) | |
| Clifford Kenneth Wichmann | Registered representative | Apr 2018 (8y) | ||
| Raphael Rojo | Registered representative | Apr 2018 (8y) | ||
| Samantha Kramer | Registered representative | Apr 2018 (8y) | ||
| Cynthia Lynn Watson | Registered representative | Apr 2018 (8y) | ||
| Erick Humberto Ortez | Registered representative | Apr 2018 (8y) | ||
| Jeffrey Scott Gordon | Registered representative | Apr 2018 (8y) | ||
| Matthew Fiss | Registered representative | Apr 2018 (8y) | ||
| Ann Elizabeth Harty | Registered representative | Apr 2018 (8y) | ||
| John Dominic Wright | Registered representative | Apr 2018 (8y) | ||
| Matthew Pomerantz | Registered representative | Apr 2018 (8y) | ||
| Kristen Risher | Registered representative | Apr 2018 (8y) | ||
| Dean Brandon Hasen | Registered representative | Apr 2018 (8y) | ||
| Frank Paul Hellriegel | Registered representative | Apr 2018 (8y) | ||
| John Andersen Kirtland | Registered representative | CFP | Apr 2018 (8y) | |
| Amie Shereen Williams Garner | Registered representative | Apr 2018 (8y) | ||
| Erin Tobin Locke | Registered representative | Apr 2018 (8y) | ||
| Kombiz Momtaz | Registered representative | Apr 2018 (8y) | ||
| Susanna Kim Bracke | Registered representative | Apr 2018 (8y) | ||
| Daniel Lee Weidenhammer | Registered representative | Apr 2018 (8y) | ||
| Haley Moriah Carey | Registered representative | Apr 2018 (8y) | ||
| Karen A Sloan | Registered representative | Apr 2018 (8y) | ||
| Shawn Delatorre | Registered representative | Apr 2018 (8y) | ||
| Jared Lee Sanborn | Registered representative | Apr 2018 (8y) | ||
| Sabrina Maree Perez | Registered representative | Apr 2018 (8y) | ||
| Barbara R Gapinski | Registered representative | Apr 2018 (8y) | ||
| John Andrew Mcadoo | Registered representative | Apr 2018 (8y) | ||
| Urandari Naranbat | Registered representative | Apr 2018 (8y) | ||
| Benjamin Drew Watts | Registered representative | CFP | Apr 2018 (8y) | |
| Christopher James Phillips | Registered representative | Apr 2018 (8y) | ||
| Peter Douglas Mccolgan | Registered representative | Apr 2018 (8y) | ||
| Travis May | Registered representative | Apr 2018 (8y) | ||
| Victoria Krylov | Registered representative | Apr 2018 (8y) | ||
| Falina Ann Mendenall | Registered representative | Apr 2018 (8y) | ||
| Kevin Vavreck | Registered representative | Apr 2018 (8y) | ||
| Lee Ann Hodapp | Registered representative | Apr 2018 (8y) | ||
| Monique Sherrie Durham | Registered representative | Apr 2018 (8y) | ||
| Steve Freedman | Registered representative | Apr 2018 (8y) | ||
| Tracy Lee Kendrick | Registered representative | Apr 2018 (8y) | ||
| David Kirkman | Registered representative | CFP | Apr 2018 (8y) | |
| Dominique Tedesco | Registered representative | Apr 2018 (8y) | ||
| Samuel Unwin | Registered representative | Apr 2018 (8y) | ||
| David Michael Simpson | Registered representative | Apr 2018 (8y) | ||
| Roger Turner | Registered representative | Apr 2018 (8y) | ||
| Derek Mingtao Yu | Registered representative | Apr 2018 (8y) | ||
| Louisa Ramona Hofman | Registered representative | Apr 2018 (8y) | ||
| Lori Ann Dummann | Registered representative | Apr 2018 (8y) | ||
| Stephen Patire | Registered representative | Apr 2018 (8y) | ||
| James Woodrow Gillespie | Registered representative | Apr 2018 (8y) | ||
| Hugo Pedro Guerola | Registered representative | May 2018 (8y) | ||
| Mary Heather Gravelle | Registered representative | May 2018 (8y) | ||
| Stephanie Nicole Kennedy | Registered representative | May 2018 (8y) | ||
| Bethany Nicole Strunk | Registered representative | May 2018 (8y) | ||
| Grant Daniel Huttel | Registered representative | May 2018 (8y) | ||
| Gregory Ryan Scott | Registered representative | May 2018 (8y) | ||
| Anthony Israel Valle | Registered representative | May 2018 (8y) | ||
| Ethan Cody Fesperman | Registered representative | May 2018 (8y) | ||
| Ian Penny | Registered representative | May 2018 (8y) | ||
| L Calvin Decker | Registered representative | May 2018 (8y) | ||
| Lorenzo William Perez | Registered representative | May 2018 (8y) | ||
| Magdalena Villalvazo | Registered representative | May 2018 (8y) | ||
| Nicholas Daniel Foster | Registered representative | May 2018 (8y) | ||
| Ryan Samuel Likowski | Registered representative | May 2018 (8y) | ||
| Bryant Stephen Bienz | Registered representative | May 2018 (8y) | ||
| Christopher Huy Do | Registered representative | May 2018 (8y) | ||
| Lindy Dawn Rangel | Registered representative | May 2018 (8y) | ||
| Matthew David Vetsch | Registered representative | May 2018 (8y) | ||
| Sonya Elmontaser Sandage | Registered representative | May 2018 (8y) | ||
| Benjamin Neil Cohen | Registered representative | May 2018 (8y) | ||
| Matthew John Baer | Registered representative | May 2018 (8y) | ||
| Sandra Delgado | Registered representative | May 2018 (8y) | ||
| Andrew Jessup | Registered representative | May 2018 (8y) | ||
| Chirag Patel | Registered representative | May 2018 (8y) | ||
| Elizabeth Ann Ryan | Registered representative | CFP | May 2018 (8y) | |
| Natalya Kogan | Registered representative | May 2018 (8y) | ||
| Tania Cristina Licata | Registered representative | May 2018 (8y) | ||
| Jonathan Lawrence Hurd | Registered representative | May 2018 (8y) | ||
| Katherine Margaret King | Registered representative | May 2018 (8y) | ||
| Arthur Clayton Zediker | Registered representative | May 2018 (8y) | ||
| Amanda Frances Bumgarner | Registered representative | May 2018 (8y) | ||
| Christopher John Howard | Registered representative | May 2018 (8y) | ||
| Christopher Michael Keegan | Registered representative | May 2018 (8y) | ||
| Eric Parker Chidester | Registered representative | May 2018 (8y) | ||
| Thomas L Scott | Registered representative | May 2018 (8y) | ||
| Marc Michael Cohen | Registered representative | May 2018 (8y) | ||
| Michael Mcclain Svec | Registered representative | May 2018 (8y) | ||
| Joseph William Rahall | Registered representative | May 2018 (8y) | ||
| Martina Leshay Beckford | Registered representative | May 2018 (8y) | ||
| Matthew George Haddad | Registered representative | May 2018 (8y) | ||
| Gates Mcdonald Smallwood | Registered representative | May 2018 (8y) | ||
| Clarissa Marie Engelbrecht | Registered representative | May 2018 (8y) | ||
| Leslie A Ashton | Registered representative | May 2018 (8y) | ||
| Clayton Harvey Riddell | Registered representative | CFP | May 2018 (8y) | |
| David Arquilla | Registered representative | May 2018 (8y) | ||
| David Tk Garcia | Registered representative | May 2018 (8y) | ||
| Jason Luis Rodriguez | Registered representative | May 2018 (8y) | ||
| Jennifer J Arquilla | Registered representative | May 2018 (8y) | ||
| Louis Anthony Montana | Registered representative | CFP | May 2018 (8y) | |
| Natalie Renee Vaswani | Registered representative | May 2018 (8y) | ||
| Ronald Joseph Lambke | Registered representative | May 2018 (8y) | ||
| Xi Zou | Registered representative | May 2018 (8y) | ||
| Colin Bennett Evans | Registered representative | May 2018 (8y) | ||
| Eric Mathew Long | Registered representative | May 2018 (8y) | ||
| Ting Ting Patricia Chan | Registered representative | May 2018 (8y) | ||
| William A Cashel | Registered representative | May 2018 (8y) | ||
| Nathan Scott Young | Registered representative | Jun 2018 (8y) | ||
| William Francis Schaeneman | Registered representative | Jun 2018 (8y) | ||
| Jessica Lee Louisiana | Registered representative | Jun 2018 (8y) | ||
| Adrian Victor Avelar | Registered representative | Jun 2018 (8y) | ||
| David Michael Liu | Registered representative | Jun 2018 (8y) | ||
| Michael Barnes | Registered representative | Jun 2018 (8y) | ||
| Sharon Yu | Registered representative | Jun 2018 (8y) | ||
| Toraj Nowkhasteh | Registered representative | Jun 2018 (8y) | ||
| Kelly Anne Jacobs | Registered representative | Jun 2018 (8y) | ||
| Melissa Leann Williams | Registered representative | Jun 2018 (8y) | ||
| Robert Matthew Shorr | Registered representative | Jun 2018 (8y) | ||
| Ashley Marie Stutzmann | Registered representative | Jun 2018 (8y) | ||
| Nick Durst | Registered representative | Jun 2018 (8y) | ||
| Brook Elizabeth Hutson | Registered representative | Jun 2018 (8y) | ||
| John Abadiotakis | Registered representative | Jun 2018 (8y) | ||
| James Duane Becker | Registered representative | Jun 2018 (8y) | ||
| Jeremy Hill | Registered representative | Jun 2018 (8y) | ||
| Elizabeth Ashley Panos | Registered representative | Jun 2018 (8y) | ||
| Gregory Patrick Fater | Registered representative | Jun 2018 (8y) | ||
| Thomas Boyd | Registered representative | Jun 2018 (8y) | ||
| Daniel Shaw | Registered representative | Jun 2018 (8y) | ||
| Dustin R Alexander | Registered representative | Jun 2018 (8y) | ||
| Maxwell Mischkulnig | Registered representative | CFP | Jun 2018 (8y) | |
| Shane Kristian Karr | Registered representative | Jun 2018 (8y) | ||
| Darrick William Duenwald | Registered representative | Jun 2018 (8y) | ||
| Matthew Robert Frakes | Registered representative | Jun 2018 (8y) | ||
| Robert Frederick Frakes | Registered representative | Jun 2018 (8y) | ||
| Marla Lopez Bosset | Registered representative | Jun 2018 (8y) | ||
| Michael Riera | Registered representative | Jun 2018 (8y) | ||
| Alison Bowman Jones | Registered representative | Jun 2018 (8y) | ||
| Crystal Batchelor Hardee | Registered representative | Jun 2018 (8y) | ||
| Michael James Bock | Registered representative | Jun 2018 (8y) | ||
| Steven Joseph Hoag | Registered representative | CFP | Jun 2018 (8y) | |
| Daniel Glenn Freed | Registered representative | CFP | Jun 2018 (8y) | |
| Kevin Neal Keefe | Registered representative | Jun 2018 (8y) | ||
| Cory Scott Kerznar | Registered representative | Jun 2018 (8y) | ||
| Kelly Lynn Babineaux | Registered representative | Jun 2018 (8y) | ||
| Cornelio Cole Koehler | Registered representative | Jun 2018 (8y) | ||
| Jonathan Brian Gonifas | Registered representative | Jun 2018 (8y) | ||
| Nicholas Peker | Registered representative | Jun 2018 (8y) | ||
| Rafael Jose Mcfarland | Registered representative | Jun 2018 (8y) | ||
| Tad Allen Stolley | Registered representative | Jun 2018 (8y) | ||
| Dane Michael Lee Morse | Registered representative | Jun 2018 (8y) | ||
| Heather May Grapes | Registered representative | Jun 2018 (8y) | ||
| James Rejas | Registered representative | Jun 2018 (8y) | ||
| Anne Mary Bui | Registered representative | Jun 2018 (8y) | ||
| John Paul Wackowski | Registered representative | Jun 2018 (8y) | ||
| Kenneth Szulczewski | Registered representative | CFP | Jun 2018 (8y) | |
| Nicholas Kassimis | Registered representative | Jun 2018 (8y) | ||
| Thomas Patrick Kirwan | Registered representative | Jun 2018 (8y) | ||
| Bret Stephen Carter | Registered representative | CFP | Jul 2018 (8y) | |
| Crystal Kimberly Antwanette Pinnix | Registered representative | Jul 2018 (8y) | ||
| John Thomas Jacobs | Registered representative | Jul 2018 (8y) | ||
| Siripond Siriwandee | Registered representative | Jul 2018 (8y) | ||
| Josiah Paul Fernandez | Registered representative | Jul 2018 (8y) | ||
| Peter Stewart | Registered representative | Jul 2018 (8y) | ||
| Thomas Carlyle Coppersmith | Registered representative | Jul 2018 (8y) | ||
| Paul Michael Heslinga | Registered representative | CFP | Jul 2018 (8y) | |
| Steven Thomas Megaloudis | Registered representative | Jul 2018 (8y) | ||
| Alwa Kazuri Gordon | Registered representative | Jul 2018 (8y) | ||
| Jeffrey Allen Pitzer | Registered representative | Jul 2018 (8y) | ||
| Anais Prado | Registered representative | Jul 2018 (8y) | ||
| Chelsey Mulloy Jarzin | Registered representative | Jul 2018 (8y) | ||
| Edwin Anthony Koenen | Registered representative | Jul 2018 (8y) | ||
| Matthew Thomas Noble | Registered representative | Jul 2018 (8y) | ||
| Patricia Antonia Perez Espichan | Registered representative | Jul 2018 (8y) | ||
| Thomas Richard Irvine | Registered representative | Jul 2018 (8y) | ||
| Karen Elaine Paolozzi | Registered representative | Jul 2018 (8y) | ||
| Nicholas Mitchell Golz | Registered representative | Jul 2018 (8y) | ||
| Brian Patrick Hackmeister | Registered representative | Jul 2018 (8y) | ||
| Gwen Linette Bradley | Registered representative | Jul 2018 (8y) | ||
| Israrul Haq Amir | Registered representative | Jul 2018 (8y) | ||
| Ryan D Horner | Registered representative | CFP | Jul 2018 (8y) | |
| Zachary Paul Frazier | Registered representative | Jul 2018 (8y) | ||
| Ryan Edward Graves | Registered representative | Jul 2018 (8y) | ||
| Theodore Morrison | Registered representative | Jul 2018 (8y) | ||
| Antonio Carlos Lopez | Registered representative | Jul 2018 (8y) | ||
| Christopher Felts | Registered representative | Jul 2018 (8y) | ||
| Nataliya Tsytsarova | Registered representative | Jul 2018 (8y) | ||
| James Lata | Registered representative | Jul 2018 (8y) | ||
| Kent William Jasperse | Registered representative | Jul 2018 (8y) | ||
| Brian Boris Carrion | Registered representative | CFP | Jul 2018 (8y) | |
| Caleb M Wendzel | Registered representative | Jul 2018 (8y) | ||
| Della Morley Prather | Registered representative | Jul 2018 (8y) | ||
| Fatima Angela Arevalo | Registered representative | Jul 2018 (8y) | ||
| Jeffrey Allan Ockwood | Registered representative | Jul 2018 (8y) | ||
| Omar Elmi Osman | Registered representative | Jul 2018 (8y) | ||
| Esperanza Medina Carter | Registered representative | Jul 2018 (8y) | ||
| Timothy Vijay Wardell | Registered representative | Jul 2018 (8y) | ||
| Juan Simon Santini | Registered representative | Jul 2018 (8y) | ||
| Paul Matthew Swanson | Registered representative | Jul 2018 (8y) | ||
| Francesco Federico | Registered representative | Jul 2018 (8y) | ||
| Paul Bonifant | Registered representative | Jul 2018 (8y) | ||
| Joseph P Rich | Registered representative | Jul 2018 (8y) | ||
| Laura Lynette Drummond | Registered representative | Jul 2018 (8y) | ||
| L Bernard Walker | Registered representative | Jul 2018 (8y) | ||
| Paula Gallagher Moseley | Registered representative | Jul 2018 (8y) | ||
| William Ladd Storey | Registered representative | Jul 2018 (8y) | ||
| David B Stewart | Registered representative | Aug 2018 (8y) | ||
| Kyle Fuehne | Registered representative | Aug 2018 (8y) | ||
| Andrew Paul Goulson | Registered representative | Aug 2018 (8y) | ||
| Gloria Vanessa Ramirez | Registered representative | Aug 2018 (8y) | ||
| James Clardy | Registered representative | Aug 2018 (8y) | ||
| Jeffrey Creech | Registered representative | Aug 2018 (8y) | ||
| Eileen Jinjoo Son | Registered representative | Aug 2018 (8y) | ||
| Golda Antokol | Registered representative | CFP | Aug 2018 (8y) | |
| Sean David Navage | Registered representative | Aug 2018 (8y) | ||
| George Greyson Bow | Registered representative | Aug 2018 (8y) | ||
| Jair De Jesus Ramirez | Registered representative | Aug 2018 (8y) | ||
| Jonathan Kirk Hammond | Registered representative | Aug 2018 (8y) | ||
| Samuel Phillip Vonfeldt | Registered representative | Aug 2018 (8y) | ||
| Terrence Roosevelt Cook | Registered representative | Aug 2018 (8y) | ||
| Christopher M Adams | Registered representative | Aug 2018 (8y) | ||
| Jerome Belkin | Registered representative | Aug 2018 (8y) | ||
| Lindsey Dawn Seymore | Registered representative | Aug 2018 (8y) | ||
| Valencia Leonette Spooner | Registered representative | Aug 2018 (8y) | ||
| David Anthony Sheldon | Registered representative | Aug 2018 (8y) | ||
| Gina Evelyn Shumway | Registered representative | Aug 2018 (8y) | ||
| Michael John Lemarbre | Registered representative | Aug 2018 (8y) | ||
| Michele Anne Casey | Registered representative | Aug 2018 (8y) | ||
| Stephanie Marissa Ward | Registered representative | Aug 2018 (8y) | ||
| Christi E Dennis | Registered representative | Aug 2018 (8y) | ||
| David Sheets | Registered representative | Aug 2018 (8y) | ||
| Eric Michael Stoneking | Registered representative | Aug 2018 (8y) | ||
| Thoa Ngoc Tran Algan | Registered representative | Aug 2018 (8y) | ||
| William Thomas Bishop | Registered representative | Aug 2018 (8y) | ||
| Adam Gerald Mastromarino | Registered representative | Aug 2018 (8y) | ||
| Charles Douglas Worrell | Registered representative | Aug 2018 (8y) | ||
| Anastasio Suarez | Registered representative | Aug 2018 (8y) | ||
| Michael Christopher Landis | Registered representative | Aug 2018 (8y) | ||
| Shannon Virginia Currell | Registered representative | Aug 2018 (8y) | ||
| Willard Henry Pease | Registered representative | CFP | Aug 2018 (8y) | |
| Zackary Mario Hernandez | Registered representative | Aug 2018 (8y) | ||
| Elicka Oberdick | Registered representative | Aug 2018 (8y) | ||
| Jamie Lyn Chmielewski | Registered representative | Aug 2018 (8y) | ||
| Rakan Fares Sawalha | Registered representative | Aug 2018 (8y) | ||
| Roger Wayne Burton | Registered representative | Aug 2018 (8y) | ||
| Apryl Kay Halstead | Registered representative | Aug 2018 (8y) | ||
| Khan Phoung Kammerer | Registered representative | Aug 2018 (8y) | ||
| Joseph Michael Candito | Registered representative | Aug 2018 (8y) | ||
| Marilee Ann Wieland | Registered representative | Aug 2018 (8y) | ||
| Sean Seabolt | Registered representative | Aug 2018 (8y) | ||
| Danelis Libertad Romero Del Sol Padron | Registered representative | Aug 2018 (8y) | ||
| Darrell Steven Little | Registered representative | Aug 2018 (8y) | ||
| Karen Mooradian Reed | Registered representative | Aug 2018 (8y) | ||
| Chris Allen Beeman | Registered representative | Aug 2018 (8y) | ||
| Jason Mclaughlin | Registered representative | Aug 2018 (8y) | ||
| Joseph L Karam | Registered representative | Aug 2018 (8y) | ||
| Joleen Ann Christine | Registered representative | Aug 2018 (8y) | ||
| Trent Doty | Registered representative | CFP | Aug 2018 (8y) | |
| Andrew Sipala | Registered representative | Aug 2018 (8y) | ||
| Nicholas Woravka | Registered representative | Aug 2018 (8y) | ||
| Rosanna Tokar | Registered representative | Aug 2018 (8y) | ||
| Shawn David Pearson | Registered representative | Aug 2018 (8y) | ||
| Alexandra Papazian Telaro | Registered representative | Aug 2018 (8y) | ||
| James Aloysius Diepenbrock | Registered representative | Aug 2018 (8y) | ||
| Jennifer Ann Miller | Registered representative | Aug 2018 (8y) | ||
| Kyle Pablo O'keefe | Registered representative | Aug 2018 (8y) | ||
| Mark Joseph Chapman | Registered representative | Aug 2018 (8y) | ||
| Alyssa Martin | Registered representative | Aug 2018 (8y) | ||
| Deborah Lynn Key | Registered representative | Aug 2018 (8y) | ||
| Heather Brooke Djuric | Registered representative | Aug 2018 (8y) | ||
| Lisa Marie Timmer | Registered representative | CFP | Aug 2018 (8y) | |
| Melissa Christina Bausley | Registered representative | Aug 2018 (8y) | ||
| Robert Kaluza | Registered representative | Aug 2018 (8y) | ||
| Stephen Eric Wiedemann | Registered representative | Aug 2018 (8y) | ||
| Victoria Sommerville | Registered representative | Aug 2018 (8y) | ||
| John Wayne Wittenburg | Registered representative | Sep 2018 (8y) | ||
| Oluwatoyin Orebiyi | Registered representative | Sep 2018 (8y) | ||
| Swati Mahapatra | Registered representative | Sep 2018 (8y) | ||
| Shannon Diane Reid | Registered representative | Sep 2018 (8y) | ||
| Victor Criswell Nzioka | Registered representative | Sep 2018 (8y) | ||
| Anne Michelle Naval Salinda | Registered representative | Sep 2018 (8y) | ||
| Hiram Gomez | Registered representative | Sep 2018 (8y) | ||
| Michelle Leigh Bowen | Registered representative | Sep 2018 (8y) | ||
| Aaron Randall Stieb | Registered representative | Sep 2018 (8y) | ||
| Elizabeth Marie Stewart | Registered representative | Sep 2018 (8y) | ||
| Kaitlin Renee Weisser | Registered representative | Sep 2018 (8y) | ||
| David Lynn Theriault | Registered representative | Sep 2018 (8y) | ||
| Nicci Marie Churchman | Registered representative | Sep 2018 (8y) | ||
| Ryan Bezek | Registered representative | Sep 2018 (8y) | ||
| Sarah Kathleen Orlando | Registered representative | Sep 2018 (8y) | ||
| Tammy S Childress | Registered representative | Sep 2018 (8y) | ||
| Bethany Klaus | Registered representative | Sep 2018 (8y) | ||
| Cynthia Cruz Fermin | Registered representative | Sep 2018 (8y) | ||
| David Bradley Wendel | Registered representative | Sep 2018 (8y) | ||
| David James Mescher | Registered representative | Sep 2018 (8y) | ||
| Michael Levine | Registered representative | Sep 2018 (8y) | ||
| Ashley A Abraham | Registered representative | Sep 2018 (8y) | ||
| Jordan Dean Callahan | Registered representative | Sep 2018 (8y) | ||
| Alain Richard Gardner | Registered representative | Sep 2018 (8y) | ||
| David Michael Kolter | Registered representative | Sep 2018 (8y) | ||
| Michael Keller | Registered representative | Sep 2018 (8y) | ||
| Christopher Lee Dias | Registered representative | Sep 2018 (8y) | ||
| Darren Duane Gothard | Registered representative | Sep 2018 (8y) | ||
| Kristin M Arena | Registered representative | Sep 2018 (8y) | ||
| Paul Eckmann | Registered representative | Sep 2018 (8y) | ||
| Robert Garza Beltran | Registered representative | Sep 2018 (8y) | ||
| Michael David Vorlop | Registered representative | Sep 2018 (8y) | ||
| Michael Joshua Obrien | Registered representative | CFP | Sep 2018 (8y) | |
| Andrew Craig Mahnken | Registered representative | Sep 2018 (8y) | ||
| John Gregg | Registered representative | CFP | Sep 2018 (8y) | |
| Katherine A Gregg | Registered representative | Sep 2018 (8y) | ||
| Corrie Bush Crawford | Registered representative | Sep 2018 (8y) | ||
| Darrick Joseph Brooks | Registered representative | Sep 2018 (8y) | ||
| Jeffrey John Fink | Registered representative | Sep 2018 (8y) | ||
| Fady Samir Nagiub Hanna | Registered representative | Sep 2018 (8y) | ||
| Richard Matthew Hendl | Registered representative | CFP | Sep 2018 (8y) | |
| Hilary A Barnett | Registered representative | Sep 2018 (8y) | ||
| Patrick Aidan Murphy | Registered representative | Sep 2018 (8y) | ||
| Patrick Martin | Registered representative | Sep 2018 (8y) | ||
| Stephen Joseph Donovan | Registered representative | Sep 2018 (8y) | ||
| Estefania Ruiz | Registered representative | Sep 2018 (8y) | ||
| Darren Leonard Bishop | Registered representative | CFP | Sep 2018 (8y) | |
| Kasaunya Mckel Powell | Registered representative | Sep 2018 (8y) | ||
| Matthew Joshua Smith | Registered representative | CFP | Sep 2018 (8y) | |
| Andrew Alexander Bevan | Registered representative | CFA | Oct 2018 (8y) | |
| David Chaim Sendowski | Registered representative | Oct 2018 (8y) | ||
| Donald Shane Howat | Registered representative | Oct 2018 (8y) | ||
| Harlan Garrett Sytsma | Registered representative | Oct 2018 (8y) | ||
| Nick Anthony Mazzurco | Registered representative | Oct 2018 (8y) | ||
| Jeriah Lakesha Williams | Registered representative | Oct 2018 (8y) | ||
| Monty Ray Pollard | Registered representative | Oct 2018 (8y) | ||
| Cosette Marie Cole | Registered representative | Oct 2018 (8y) | ||
| Robert A Read | Registered representative | Oct 2018 (8y) | ||
| Christa Leigh Bouchard | Registered representative | CFP | Oct 2018 (8y) | |
| Kyle Griffiths | Registered representative | Oct 2018 (8y) | ||
| Melinda K Harrity | Registered representative | Oct 2018 (8y) | ||
| Karina Silvestri | Registered representative | Oct 2018 (8y) | ||
| Justin Hall | Registered representative | Oct 2018 (8y) | ||
| Victoria Gherman | Registered representative | Oct 2018 (8y) | ||
| Benjamin Thomas Smitley | Registered representative | Oct 2018 (8y) | ||
| John Joseph D'annunzio | Registered representative | CFP | Oct 2018 (8y) | |
| Natalie Michelle Glenn | Registered representative | Oct 2018 (8y) | ||
| Brendan Ryan Friss | Registered representative | Oct 2018 (8y) | ||
| Paul D Bender | Registered representative | Oct 2018 (8y) | ||
| Robert Anthony Devereux | Registered representative | CFP | Oct 2018 (8y) | |
| Steven Hatley | Registered representative | Oct 2018 (8y) | ||
| Nichole Runions | Registered representative | Oct 2018 (8y) | ||
| Grant Michael James | Registered representative | Oct 2018 (8y) | ||
| Daniel Kenefick Fryer | Registered representative | Oct 2018 (8y) | ||
| Lloyd Baxter Hahn | Registered representative | Oct 2018 (8y) | ||
| Nikayla Sierra Petta | Registered representative | Oct 2018 (8y) | ||
| Anthony Francisco Petisco | Registered representative | Oct 2018 (8y) | ||
| Stephen Nzerem | Registered representative | Oct 2018 (8y) | ||
| Stephen Slater Page | Registered representative | Oct 2018 (8y) | ||
| Lia Christina Schnell | Registered representative | Oct 2018 (8y) | ||
| Matthew L Miller | Registered representative | Oct 2018 (8y) | ||
| Aishah Smith | Registered representative | Oct 2018 (8y) | ||
| Jeremy Taylor Lurier | Registered representative | Oct 2018 (8y) | ||
| Kendel Lou Corkins Shapses | Registered representative | Oct 2018 (8y) | ||
| Rupesh Nepal | Registered representative | Oct 2018 (8y) | ||
| Franklin Yeep | Registered representative | Oct 2018 (8y) | ||
| Laith M Khalaf | Registered representative | CFP Chartered Financial Consultant | Oct 2018 (8y) | |
| Yemewedish Girma | Registered representative | Oct 2018 (8y) | ||
| Karen A Johnson | Registered representative | Oct 2018 (8y) | ||
| Kristin Jones | Registered representative | Oct 2018 (8y) | ||
| Teresa Noles | Registered representative | Oct 2018 (8y) | ||
| Courtney Shea Diaz | Registered representative | Oct 2018 (8y) | ||
| Rhonda Valeria Oliver | Registered representative | Oct 2018 (8y) | ||
| Antonio Deniro Mcdonald | Registered representative | Nov 2018 (8y) | ||
| April D Aschemeier | Registered representative | Nov 2018 (8y) | ||
| Eddie Gassaway | Registered representative | Nov 2018 (8y) | ||
| Joseph Peter Panfil | Registered representative | Nov 2018 (8y) | ||
| Ryan Carl Thomas Bibler | Registered representative | Nov 2018 (8y) | ||
| Vince Warren Finney | Registered representative | Nov 2018 (8y) | ||
| Andrew William Zvanut | Registered representative | Nov 2018 (8y) | ||
| Deborah Sanguinette | Registered representative | Nov 2018 (8y) | ||
| Garrett Joseph Mayoral Avila | Registered representative | Nov 2018 (8y) | ||
| Todd M Soucy | Registered representative | Nov 2018 (8y) | ||
| Nicole Elaine Olson | Registered representative | Nov 2018 (8y) | ||
| Richard Vega | Registered representative | Nov 2018 (8y) | ||
| Michael Anthony Williams | Registered representative | CFP | Nov 2018 (8y) | |
| Steven Alan Press | Registered representative | Nov 2018 (8y) | ||
| Christina Louise Mcdonough | Registered representative | Nov 2018 (8y) | ||
| Harout John Khatchoyan | Registered representative | Nov 2018 (8y) | ||
| Aidan Mccarthy | Registered representative | Nov 2018 (8y) | ||
| Andrew Brian Cole | Registered representative | Nov 2018 (8y) | ||
| Justin Stewart Satinover | Registered representative | Nov 2018 (8y) | ||
| Melissa Ann Barnes | Registered representative | Nov 2018 (8y) | ||
| Tyler Sheridan Franks | Registered representative | Nov 2018 (8y) | ||
| Christopher Dean Owens | Registered representative | Nov 2018 (8y) | ||
| Jerron Denard Green | Registered representative | CFP | Nov 2018 (8y) | |
| William Robert Buckley | Registered representative | Nov 2018 (8y) | ||
| Derek Hawk | Registered representative | CFP | Nov 2018 (8y) | |
| Derek Matthew Hahn | Registered representative | Nov 2018 (8y) | ||
| Elizabeth Ellen Swart | Registered representative | CFP | Nov 2018 (8y) | |
| John F Waller | Registered representative | Nov 2018 (8y) | ||
| Renee Kellogg | Registered representative | Nov 2018 (8y) | ||
| Eric Frampton Jones | Registered representative | Nov 2018 (8y) | ||
| Ross Sterling Wolff | Registered representative | Nov 2018 (8y) | ||
| Colton F Hurley | Registered representative | Nov 2018 (8y) | ||
| John Brandon Lawrence | Registered representative | Nov 2018 (8y) | ||
| Alfred Isaac Petross | Registered representative | Nov 2018 (8y) | ||
| Chad Devore | Registered representative | Nov 2018 (8y) | ||
| Amber Leigh Fife | Registered representative | Nov 2018 (8y) | ||
| Benjamin Taylor Blue | Registered representative | Nov 2018 (8y) | ||
| Frank Stephen Freni | Registered representative | CFP Chartered Financial Consultant | Nov 2018 (8y) | |
| Krista Lee Young | Registered representative | Nov 2018 (8y) | ||
| Paula Thibodeaux | Registered representative | Nov 2018 (8y) | ||
| Stephanie Fries | Registered representative | Nov 2018 (8y) | ||
| Stephen J Rataj | Registered representative | Nov 2018 (8y) | ||
| Zachary Glen Wilburn | Registered representative | Nov 2018 (8y) | ||
| Kevin Michael Robb | Registered representative | Nov 2018 (8y) | ||
| Stephen Barton | Registered representative | Nov 2018 (8y) | ||
| William G O'brien | Registered representative | Nov 2018 (8y) | ||
| Allen R Rosenberg | Registered representative | Nov 2018 (8y) | ||
| Samantha Hoiwan Chan | Registered representative | Nov 2018 (8y) | ||
| Deitra Lynne Novacek | Registered representative | Nov 2018 (8y) | ||
| James Greg Gorton | Registered representative | Nov 2018 (8y) | ||
| Jennifer L Monaco | Registered representative | CFP | Nov 2018 (8y) | |
| Brian Franzen | Registered representative | Dec 2018 (8y) | ||
| Jennifer Michelle Kantowski | Registered representative | Dec 2018 (8y) | ||
| John Joseph Cahill | Registered representative | Dec 2018 (8y) | ||
| Mark Piety Catron | Registered representative | Dec 2018 (8y) | ||
| Matthew Biggie | Registered representative | Dec 2018 (8y) | ||
| Patrick Joseph Abatiell | Registered representative | Dec 2018 (8y) | ||
| Tanzima Ashrafi | Registered representative | Dec 2018 (8y) | ||
| William Anthony Arnold | Registered representative | Dec 2018 (8y) | ||
| Martin Edward Wilhelmy | Registered representative | Dec 2018 (8y) | ||
| Tisha Renee Cummings | Registered representative | Dec 2018 (8y) | ||
| Cecilio Urquiza Marquez | Registered representative | Dec 2018 (8y) | ||
| James Elliott | Registered representative | Dec 2018 (8y) | ||
| Stokes Andrew Baird | Registered representative | Dec 2018 (8y) | ||
| Mario Popaj | Registered representative | Dec 2018 (8y) | ||
| Michael Patrick Schiffer | Registered representative | CFP | Dec 2018 (8y) | |
| David Beldon | Registered representative | Dec 2018 (8y) | ||
| Joseph Paul Steiner | Registered representative | Dec 2018 (8y) | ||
| Kimberly Kay Beeney | Registered representative | Dec 2018 (8y) | ||
| Sugeil Milagros Perez | Registered representative | Dec 2018 (8y) | ||
| Sarah Jane Pendleton | Registered representative | Dec 2018 (8y) | ||
| Heather Diane Townsley | Registered representative | Jan 2019 (8y) | ||
| Jodi Allen Slinkard | Registered representative | Jan 2019 (8y) | ||
| John Bruce Sportsman | Registered representative | Jan 2019 (8y) | ||
| John Patrick Meyer | Registered representative | Jan 2019 (8y) | ||
| Judy Ann Meyer | Registered representative | Jan 2019 (8y) | ||
| Ryan Wayne Stull | Registered representative | Jan 2019 (8y) | ||
| Eric T Loiselle | Registered representative | Jan 2019 (8y) | ||
| Lee Stirling Minsk | Registered representative | Jan 2019 (8y) | ||
| Matthew A Iversen | Registered representative | Jan 2019 (8y) | ||
| Orlando Campos | Registered representative | Jan 2019 (8y) | ||
| Angela Denise Smith Waggoner | Registered representative | Jan 2019 (8y) | ||
| Audoro Mellin | Registered representative | Jan 2019 (8y) | ||
| Carlie Ann Hausmann | Registered representative | Jan 2019 (8y) | ||
| Christopher Wayne Bekker | Registered representative | Jan 2019 (8y) | ||
| Eric Edward Gradwohl | Registered representative | Jan 2019 (8y) | ||
| John Joseph Welker | Registered representative | Jan 2019 (8y) | ||
| Pauline Ann Schwartz | Registered representative | Jan 2019 (8y) | ||
| Mitchell Andrew Burns | Registered representative | Jan 2019 (8y) | ||
| Brandon James Botts | Registered representative | Jan 2019 (8y) | ||
| Hannah Burdek Sweeney | Registered representative | Jan 2019 (8y) | ||
| Robert Levinson | Registered representative | Jan 2019 (8y) | ||
| Stephen Brown | Registered representative | Jan 2019 (8y) | ||
| Karin Christine Huber | Registered representative | Jan 2019 (8y) | ||
| Peter Robert Mero | Registered representative | Jan 2019 (8y) | ||
| Robert Alan Kinslow | Registered representative | Jan 2019 (8y) | ||
| Todd Brian Newell | Registered representative | Jan 2019 (8y) | ||
| Dominick Palumbo | Registered representative | Jan 2019 (8y) | ||
| David Roger Rabinaw | Registered representative | Jan 2019 (8y) | ||
| Brian Michael Pelling | Registered representative | CFA | Jan 2019 (8y) | |
| Rachel Ann Boyda | Registered representative | Jan 2019 (8y) | ||
| Baoli Guo | Registered representative | Jan 2019 (8y) | ||
| Nazir Ahmad Samadyar | Registered representative | Jan 2019 (8y) | ||
| Anastassia Faber | Registered representative | Jan 2019 (8y) | ||
| Andrew P Lewis | Registered representative | Jan 2019 (8y) | ||
| Jeffrey Eugene Gautier | Registered representative | Jan 2019 (8y) | ||
| Kelly Ann Johnson | Registered representative | Jan 2019 (8y) | ||
| Nolan Haake | Registered representative | Jan 2019 (8y) | ||
| Sarah Ellianna Werner | Registered representative | Jan 2019 (8y) | ||
| Zachary Myers | Registered representative | Jan 2019 (8y) | ||
| Rebecca Marie Pinch | Registered representative | Jan 2019 (8y) | ||
| David Joseph Ameen | Registered representative | Jan 2019 (8y) | ||
| Erich Joseph Krzyzak | Registered representative | CFP | Jan 2019 (8y) | |
| Robert Kamya | Registered representative | Chartered Financial Consultant | Jan 2019 (8y) | |
| Steven Philip Andelman | Registered representative | Jan 2019 (8y) | ||
| Anthony Joseph Biscotto | Registered representative | Feb 2019 (8y) | ||
| Joshua Kyle Walck | Registered representative | Feb 2019 (7y) | ||
| Richard Donald Stout | Registered representative | Feb 2019 (7y) | ||
| Joseph Stewart Bradley | Registered representative | Feb 2019 (7y) | ||
| Kirsten Erickson | Registered representative | Feb 2019 (7y) | ||
| Timothy R Newman | Registered representative | CFP | Feb 2019 (7y) | |
| Arash Ahmadpour | Registered representative | Feb 2019 (7y) | ||
| Kyle Davis Whittemore | Registered representative | Feb 2019 (7y) | ||
| Tyler Andrew Chormicle | Registered representative | Feb 2019 (7y) | ||
| Holly Flores | Registered representative | CFP | Feb 2019 (7y) | |
| Karen Butler | Registered representative | Feb 2019 (7y) | ||
| Amanda Bedgood Collins | Registered representative | CFP | Feb 2019 (7y) | |
| Amerissa Eckloff | Registered representative | Feb 2019 (7y) | ||
| Howard Williams | Registered representative | Feb 2019 (7y) | ||
| Jonathan Bennion Spencer | Registered representative | CFP | Feb 2019 (7y) | |
| Lori Kirkner | Registered representative | Feb 2019 (7y) | ||
| Steven Andrew Rodman | Registered representative | Feb 2019 (7y) | ||
| T Scott Robertson | Registered representative | Feb 2019 (7y) | ||
| Thomas Michael Dellise | Registered representative | Feb 2019 (7y) | ||
| David Andrew Dunmire | Registered representative | Feb 2019 (7y) | ||
| Louis Abraham Brody | Registered representative | Feb 2019 (7y) | ||
| Robert A Deblasio | Registered representative | Feb 2019 (7y) | ||
| Vitaliy Vladimirovich Romanyuk | Registered representative | Feb 2019 (7y) | ||
| Trudell James Kolpack | Registered representative | Feb 2019 (7y) | ||
| Bartholomew T Mikulski | Registered representative | Feb 2019 (7y) | ||
| Brian Joseph Bello | Registered representative | Feb 2019 (7y) | ||
| Brian P Scanlon | Registered representative | Feb 2019 (7y) | ||
| Mario Daniel Duenas | Registered representative | Feb 2019 (7y) | ||
| Matthew Robert Holmes | Registered representative | Feb 2019 (7y) | ||
| Sandra Milena Bonilla | Registered representative | Feb 2019 (7y) | ||
| Sarah V Man | Registered representative | Feb 2019 (7y) | ||
| Fahad Ismail | Registered representative | Feb 2019 (7y) | ||
| Nancy Bentum Botchway | Registered representative | Feb 2019 (7y) | ||
| Bryan Scott Locher | Registered representative | Feb 2019 (7y) | ||
| Julian F Pace | Registered representative | Feb 2019 (7y) | ||
| Thomas John Oley | Registered representative | Feb 2019 (7y) | ||
| Alison Lehman | Registered representative | Feb 2019 (7y) | ||
| Anne M Shore | Registered representative | Feb 2019 (7y) | ||
| Christopher Rush | Registered representative | Feb 2019 (7y) | ||
| John Marshall | Registered representative | Feb 2019 (7y) | ||
| Kerry Goodnight Kain | Registered representative | Feb 2019 (7y) | ||
| Mary Ellen Defazio Damico | Registered representative | Feb 2019 (7y) | ||
| Miroslava Altay | Registered representative | Feb 2019 (7y) | ||
| Matthew Scott Paulsell | Registered representative | Mar 2019 (7y) | ||
| Peter A Georgelakos | Registered representative | Mar 2019 (7y) | ||
| Rick Allen Nunley | Registered representative | Mar 2019 (7y) | ||
| Ronald Edward Bender | Registered representative | Mar 2019 (7y) | ||
| Thomas Owen Ansel | Registered representative | CFP | Mar 2019 (7y) | |
| Lara Chami | Registered representative | Mar 2019 (7y) | ||
| Peter Frederick Angle | Registered representative | Mar 2019 (7y) | ||
| Tracey Ann Herring | Registered representative | Mar 2019 (7y) | ||
| Kenneth Craven | Registered representative | Mar 2019 (7y) | ||
| Michael Brian Seidenfrau | Registered representative | Mar 2019 (7y) | ||
| Robert Timothy Higgins | Registered representative | Mar 2019 (7y) | ||
| Heather Alicia Shaeffer | Registered representative | Mar 2019 (7y) | ||
| Mark John Giese | Registered representative | Mar 2019 (7y) | ||
| Sandrine Goble | Registered representative | Mar 2019 (7y) | ||
| James Dietrich Waltman | Registered representative | Mar 2019 (7y) | ||
| Luke Alexander Cardenas | Registered representative | Mar 2019 (7y) | ||
| Devashish M. Shah | Registered representative | Mar 2019 (7y) | ||
| Eugene Cho | Registered representative | Mar 2019 (7y) | ||
| Scott William Allerton | Registered representative | Mar 2019 (7y) | ||
| Tiffanie Monique Hinson | Registered representative | Mar 2019 (7y) | ||
| William Aldred | Registered representative | Mar 2019 (7y) | ||
| Bryon Dangerfield | Registered representative | Mar 2019 (7y) | ||
| Steven Patrick Meyer | Registered representative | CFP | Mar 2019 (7y) | |
| George Cook Howell | Registered representative | CFA | Mar 2019 (7y) | |
| James Dennis Yarbrough | Registered representative | Mar 2019 (7y) | ||
| James Richard Alperin | Registered representative | Mar 2019 (7y) | ||
| Joseph Gilbert | Registered representative | Mar 2019 (7y) | ||
| Kiefer Welch Ogburn | Registered representative | Mar 2019 (7y) | ||
| Haley Brooke Stockstill | Registered representative | Mar 2019 (7y) | ||
| Nataliya I Chernopiski | Registered representative | Mar 2019 (7y) | ||
| Rachelle Wagner | Registered representative | Mar 2019 (7y) | ||
| John Francis Braca | Registered representative | Mar 2019 (7y) | ||
| Matthew Kinard Glenn | Registered representative | Mar 2019 (7y) | ||
| Isai Salvador Turcios Cristales | Registered representative | Mar 2019 (7y) | ||
| Brett Gaylen Grimes | Registered representative | Mar 2019 (7y) | ||
| Cameron Roy Macconnachie | Registered representative | Mar 2019 (7y) | ||
| Drew Richard Dusebout | Registered representative | Mar 2019 (7y) | ||
| Jorge Eduardo Garcia | Registered representative | Mar 2019 (7y) | ||
| Kevin Lewis | Registered representative | Mar 2019 (7y) | ||
| Mitchell Lawrence Direnzi | Registered representative | Mar 2019 (7y) | ||
| Renee Sue Mancinelli | Registered representative | Mar 2019 (7y) | ||
| Ricci Joseph Mancinelli | Registered representative | Mar 2019 (7y) | ||
| Victor Charles Cisneros | Registered representative | Mar 2019 (7y) | ||
| Joseph Roland Ramirez | Registered representative | Mar 2019 (7y) | ||
| Barry Elijah Womble | Registered representative | Mar 2019 (7y) | ||
| Douglas Joseph Mattliano | Registered representative | Mar 2019 (7y) | ||
| Jeffrey Scott Berg | Registered representative | Mar 2019 (7y) | ||
| Michael Jacob Montano | Registered representative | Mar 2019 (7y) | ||
| Allan Harold Crudale | Registered representative | Mar 2019 (7y) | ||
| Anne Murray Lloyd | Registered representative | Mar 2019 (7y) | ||
| Jesse Diaz | Registered representative | CFP Chartered Financial Consultant | Mar 2019 (7y) | |
| John David Mahoney | Registered representative | CFP | Mar 2019 (7y) | |
| John P Cullen | Registered representative | CFP | Mar 2019 (7y) | |
| Jonathan Allan Crudale | Registered representative | Mar 2019 (7y) | ||
| Jordan Krawec | Registered representative | Mar 2019 (7y) | ||
| Nicholas Nejad | Registered representative | Mar 2019 (7y) | ||
| Noelle Christina Milestone | Registered representative | Mar 2019 (7y) | ||
| Thomas Lynn Stotz | Registered representative | Mar 2019 (7y) | ||
| Kaleb Daniel Katzenberger | Registered representative | Apr 2019 (7y) | ||
| Najla Hisham Arekat | Registered representative | Apr 2019 (7y) | ||
| Salvatore Giacalone | Registered representative | Apr 2019 (7y) | ||
| Ryan Manning Ashton | Registered representative | Apr 2019 (7y) | ||
| Ciara Lace Sutton | Registered representative | Apr 2019 (7y) | ||
| Robin Gardner | Registered representative | Apr 2019 (7y) | ||
| Terry Freeman | Registered representative | Apr 2019 (7y) | ||
| Ardis Jeffery Stephens | Registered representative | Apr 2019 (7y) | ||
| Scott Francis Cunningham | Registered representative | Apr 2019 (7y) | ||
| Travis Duane Richens | Registered representative | Apr 2019 (7y) | ||
| Jean Gospodinov Olivier | Registered representative | Apr 2019 (7y) | ||
| Brittany Lynn Mote | Registered representative | Apr 2019 (7y) | ||
| Lisa Ann Jordison | Registered representative | Apr 2019 (7y) | ||
| Bruce Rivera | Registered representative | Apr 2019 (7y) | ||
| Jeffrey Lee Layman | Registered representative | Apr 2019 (7y) | ||
| Wallace Hunter Caudill | Registered representative | Apr 2019 (7y) | ||
| Peter Shaw Johnson | Registered representative | Apr 2019 (7y) | ||
| Soheil Zamanianpour | Registered representative | Apr 2019 (7y) | ||
| Robert Lee Martinez | Registered representative | Apr 2019 (7y) | ||
| Samuel Christopher Stephens | Registered representative | Apr 2019 (7y) | ||
| Andrew J Cook | Registered representative | Apr 2019 (7y) | ||
| Brandie Mulligan | Registered representative | CFP | Apr 2019 (7y) | |
| Gerard J Mehan | Registered representative | Apr 2019 (7y) | ||
| Sean Michael Sponsler | Registered representative | Apr 2019 (7y) | ||
| Yoil S Awabdeh | Registered representative | Apr 2019 (7y) | ||
| Jessica Lynn Slagel | Registered representative | Apr 2019 (7y) | ||
| Adrian Richard Smigiel | Registered representative | Apr 2019 (7y) | ||
| David Kenneth Janus | Registered representative | CFP | Apr 2019 (7y) | |
| Jeannie Quan Chan | Registered representative | Apr 2019 (7y) | ||
| Stacey Wiedenmeier | Registered representative | Apr 2019 (7y) | ||
| David Slakter Sherline | Registered representative | Apr 2019 (7y) | ||
| Douglas Karl Casale | Registered representative | CFP | Apr 2019 (7y) | |
| Kirk James Ottenbacher | Registered representative | Apr 2019 (7y) | ||
| Michael Bruce Alsup | Registered representative | Apr 2019 (7y) | ||
| Timothy Wayne Prevo | Registered representative | Apr 2019 (7y) | ||
| Tyler Keyes | Registered representative | Apr 2019 (7y) | ||
| Christy Lorraine Josephs | Registered representative | Apr 2019 (7y) | ||
| Ken David Terranova | Registered representative | Apr 2019 (7y) | ||
| Tammy Milling | Registered representative | Apr 2019 (7y) | ||
| Christopher John Dorgler | Registered representative | Apr 2019 (7y) | ||
| Mark Covan Cole | Registered representative | Apr 2019 (7y) | ||
| Brian Joseph Jetton | Registered representative | Apr 2019 (7y) | ||
| Geoffrey A. Andrew Merl | Registered representative | Apr 2019 (7y) | ||
| J Richard Stewart | Registered representative | Apr 2019 (7y) | ||
| James John Bann | Registered representative | Apr 2019 (7y) | ||
| Jessica Laura Everitt | Registered representative | Apr 2019 (7y) | ||
| Jodi Rae Arenal | Registered representative | Apr 2019 (7y) | ||
| Kyle Richard Stewart | Registered representative | Apr 2019 (7y) | ||
| Paul J Schmitz | Registered representative | Apr 2019 (7y) | ||
| Ashley White | Registered representative | Apr 2019 (7y) | ||
| Byron Thomas Clark | Registered representative | Apr 2019 (7y) | ||
| David Ian Kay | Registered representative | Apr 2019 (7y) | ||
| Debra Kim Faller | Registered representative | Apr 2019 (7y) | ||
| Eric E Soles | Registered representative | Apr 2019 (7y) | ||
| Eric Joseph Brief | Registered representative | Apr 2019 (7y) | ||
| Michael Kennedy | Registered representative | Apr 2019 (7y) | ||
| Theresa Marguerite Osterberger | Registered representative | Apr 2019 (7y) | ||
| Christopher Everett Copeland | Registered representative | Apr 2019 (7y) | ||
| Ian Michael Treacher | Registered representative | Apr 2019 (7y) | ||
| Jeffrey Allen Prince | Registered representative | Apr 2019 (7y) | ||
| Robert Howard | Registered representative | Apr 2019 (7y) | ||
| Undria Diane Rollins | Registered representative | Apr 2019 (7y) | ||
| Christopher David Guerrero | Registered representative | May 2019 (7y) | ||
| Benjamin Anthony Bolt | Registered representative | May 2019 (7y) | ||
| Rocco Cacciatore | Registered representative | May 2019 (7y) | ||
| Sandra Victoria Ortega | Registered representative | May 2019 (7y) | ||
| Jeffrey Ronald Davis | Registered representative | CFP | May 2019 (7y) | |
| Jennie Lynn Morrow | Registered representative | May 2019 (7y) | ||
| Lacey Scott Simmons | Registered representative | May 2019 (7y) | ||
| Mary Annette Sterbutzel | Registered representative | May 2019 (7y) | ||
| Natalie K F Davis | Registered representative | May 2019 (7y) | ||
| Paul Scott Magness | Registered representative | CFP | May 2019 (7y) | |
| Sulaiman Zamanudin | Registered representative | CFP | May 2019 (7y) | |
| Young Kun Lim | Registered representative | May 2019 (7y) | ||
| Barbara Jean Grant | Registered representative | CFP | May 2019 (7y) | |
| Timothy Thatcher Clark | Registered representative | May 2019 (7y) | ||
| Derek Lamar Johnson | Registered representative | May 2019 (7y) | ||
| Debray Williams | Registered representative | May 2019 (7y) | ||
| Joseph L Frank | Registered representative | May 2019 (7y) | ||
| Joseph William Hudek | Registered representative | May 2019 (7y) | ||
| Peter Goodnow Sneve | Registered representative | May 2019 (7y) | ||
| Steven Claude Violette | Registered representative | May 2019 (7y) | ||
| Diana Carolina Cazares | Registered representative | May 2019 (7y) | ||
| Jason Englebretson | Registered representative | May 2019 (7y) | ||
| Joseph Anthony Corona | Registered representative | May 2019 (7y) | ||
| Andrew Glenn Gordy | Registered representative | May 2019 (7y) | ||
| Jonathan C Owen | Registered representative | May 2019 (7y) | ||
| Dominick Drew Petz | Registered representative | May 2019 (7y) | ||
| Joanne Marie Mcconiga | Registered representative | May 2019 (7y) | ||
| Mario A Hernandez | Registered representative | May 2019 (7y) | ||
| Ernesto Medina Quiles | Registered representative | May 2019 (7y) | ||
| Terri Lynn Singletary | Registered representative | May 2019 (7y) | ||
| Eric Charles Metzger | Registered representative | May 2019 (7y) | ||
| Brent A Jacobs | Registered representative | May 2019 (7y) | ||
| Glenn Anderson Darrah | Registered representative | May 2019 (7y) | ||
| Travis Michael Hoyt | Registered representative | May 2019 (7y) | ||
| Daniel Max Ruiz | Registered representative | May 2019 (7y) | ||
| David Oscar Difilippo | Registered representative | CFP | May 2019 (7y) | |
| Anber Saleem | Registered representative | May 2019 (7y) | ||
| James Matthew Prisby | Registered representative | CFP | May 2019 (7y) | |
| Joshua Michael Dewitt | Registered representative | May 2019 (7y) | ||
| Ashley Ann Paonessa | Registered representative | May 2019 (7y) | ||
| Frank Eugene Pavese | Registered representative | CFP | May 2019 (7y) | |
| John C Collins | Registered representative | May 2019 (7y) | ||
| Yuri Kim | Registered representative | May 2019 (7y) | ||
| Dennis Trevon Harmon | Registered representative | May 2019 (7y) | ||
| Heather Branch | Registered representative | May 2019 (7y) | ||
| Christine T Agro | Registered representative | May 2019 (7y) | ||
| John Peter Miller | Registered representative | May 2019 (7y) | ||
| Joshua Andrew Carr | Registered representative | May 2019 (7y) | ||
| Tom Ferenczi | Registered representative | May 2019 (7y) | ||
| Stephanie Lynn Rosenberg | Registered representative | Jun 2019 (7y) | ||
| Burt William Miltenberger | Registered representative | Jun 2019 (7y) | ||
| Kaki Chung | Registered representative | Jun 2019 (7y) | ||
| Kevin Scott Giddens | Registered representative | Jun 2019 (7y) | ||
| David Michael Butler | Registered representative | Jun 2019 (7y) | ||
| Joseph Bertrand Vadnais | Registered representative | Jun 2019 (7y) | ||
| Anna V Grinvalds Magar | Registered representative | Jun 2019 (7y) | ||
| Hal Mitchell Finberg | Registered representative | Jun 2019 (7y) | ||
| James Anthony Mcdonald | Registered representative | Jun 2019 (7y) | ||
| Mark Robert Latawiec | Registered representative | Jun 2019 (7y) | ||
| Ritchie Christopher Nuncio | Registered representative | Jun 2019 (7y) | ||
| Rosemary L Guillotte | Registered representative | CFP | Jun 2019 (7y) | |
| Jason Cohen | Registered representative | Jun 2019 (7y) | ||
| Angela Michelle Loudermilk | Registered representative | Jun 2019 (7y) | ||
| Brett Raphael Levy | Registered representative | Jun 2019 (7y) | ||
| Daniel Kalota | Registered representative | Jun 2019 (7y) | ||
| James Edward Gracia | Registered representative | CFP | Jun 2019 (7y) | |
| Lloyd M Davis | Registered representative | CFP | Jun 2019 (7y) | |
| Michael Mordechi Charne | Registered representative | Jun 2019 (7y) | ||
| Thomas Kevin Foster | Registered representative | Jun 2019 (7y) | ||
| Bruce Allen Davis | Registered representative | Jun 2019 (7y) | ||
| Bryan Marc Defrances | Registered representative | Jun 2019 (7y) | ||
| Laura Caitlin Vanorden | Registered representative | Jun 2019 (7y) | ||
| Matthew Jay Kutcher | Registered representative | CFP | Jun 2019 (7y) | |
| Melissa Ann Villella | Registered representative | Jun 2019 (7y) | ||
| Wilber Dalton Geiger | Registered representative | Jun 2019 (7y) | ||
| Stevan Paul Horvath | Registered representative | Jun 2019 (7y) | ||
| William Frederick Griffin | Registered representative | Jun 2019 (7y) | ||
| Frank J Colatruglio | Registered representative | Jun 2019 (7y) | ||
| Garett James Colatruglio | Registered representative | CFP | Jun 2019 (7y) | |
| Latasha Renee Phillips | Registered representative | Jun 2019 (7y) | ||
| Melody Angel Wallace | Registered representative | Jun 2019 (7y) | ||
| George Stafford Eckhardt | Registered representative | Jun 2019 (7y) | ||
| Jeffrey David Lashway | Registered representative | CFP | Jun 2019 (7y) | |
| Karl Eugene Seitz | Registered representative | Jun 2019 (7y) | ||
| Charles Brandon Thomas | Registered representative | Jun 2019 (7y) | ||
| Aaron D Sanor | Registered representative | Jun 2019 (7y) | ||
| Patrick Charles Sweeney | Registered representative | CFP | Jun 2019 (7y) | |
| Peter Michael Santulli | Registered representative | Jun 2019 (7y) | ||
| Victoria Caldwell | Registered representative | Jun 2019 (7y) | ||
| Stuart Anthony Bowen | Registered representative | Jun 2019 (7y) | ||
| Timothy Jason Riley | Registered representative | Jun 2019 (7y) | ||
| Courtney Grace Raney | Registered representative | CFP | Jun 2019 (7y) | |
| Kirby Clifford Smith | Registered representative | Jun 2019 (7y) | ||
| Christopher Caspian Aruffo | Registered representative | Jun 2019 (7y) | ||
| Jack E Wheeler | Registered representative | Jun 2019 (7y) | ||
| Joseph Anton Jerman | Registered representative | Jun 2019 (7y) | ||
| Mark William Selldin | Registered representative | Jun 2019 (7y) | ||
| Vincent Joseph Luongo | Registered representative | Jun 2019 (7y) | ||
| Hanlu Ye | Registered representative | Jun 2019 (7y) | ||
| Harry Sven Selldin | Registered representative | Jun 2019 (7y) | ||
| Michael Eugene Hood | Registered representative | Jun 2019 (7y) | ||
| David A Singh Bains | Registered representative | Jul 2019 (7y) | ||
| Jonathan Carl Laurent | Registered representative | Jul 2019 (7y) | ||
| Amanda Whitlock | Registered representative | Jul 2019 (7y) | ||
| Jesse W Saunders | Registered representative | Jul 2019 (7y) | ||
| Kwanghyon Park | Registered representative | CFP | Jul 2019 (7y) | |
| Laura P Britt | Registered representative | Jul 2019 (7y) | ||
| Louis V Magliarditi | Registered representative | Jul 2019 (7y) | ||
| Neal Ira Rutman | Registered representative | Jul 2019 (7y) | ||
| Rebecca Irene Harbek | Registered representative | Jul 2019 (7y) | ||
| Richard Alton Britt | Registered representative | Jul 2019 (7y) | ||
| Richard Rosati | Registered representative | Jul 2019 (7y) | ||
| Ryan Moon | Registered representative | Jul 2019 (7y) | ||
| Jason Marshall | Registered representative | Jul 2019 (7y) | ||
| Joseph Kyle Lynsky | Registered representative | Jul 2019 (7y) | ||
| Lawrence Rosati | Registered representative | Jul 2019 (7y) | ||
| Christopher Michael Delaney | Registered representative | Jul 2019 (7y) | ||
| Eric Wendling | Registered representative | Jul 2019 (7y) | ||
| Erica V New | Registered representative | Jul 2019 (7y) | ||
| Gabrielle Nicole Perruso | Registered representative | Jul 2019 (7y) | ||
| Jennifer Anne Zanfardino | Registered representative | Jul 2019 (7y) | ||
| Johneric Bannon | Registered representative | Jul 2019 (7y) | ||
| Julie Mae Winn | Registered representative | Jul 2019 (7y) | ||
| Matthew Tyler York | Registered representative | Jul 2019 (7y) | ||
| Nathaniel Warren Foote | Registered representative | Jul 2019 (7y) | ||
| Scott G Purrelli | Registered representative | Jul 2019 (7y) | ||
| Jennifer Lee Kuanoni | Registered representative | Jul 2019 (7y) | ||
| Brooke Wooding | Registered representative | Jul 2019 (7y) | ||
| Ramona Jean Conklin | Registered representative | CFP | Jul 2019 (7y) | |
| Tiffany Lynn Dawson | Registered representative | Jul 2019 (7y) | ||
| Jonathan Peter Kokolakis | Registered representative | Jul 2019 (7y) | ||
| Daniel James Monez | Registered representative | Jul 2019 (7y) | ||
| Daniel Raynee Green | Registered representative | CFP | Jul 2019 (7y) | |
| Todd Matthew Kurstin | Registered representative | Jul 2019 (7y) | ||
| John E Nevins | Registered representative | Jul 2019 (7y) | ||
| Ralph Anthony Eichenlaub | Registered representative | Jul 2019 (7y) | ||
| Brendon Richard Biegel | Registered representative | Jul 2019 (7y) | ||
| Stevan Lenoir Black | Registered representative | Jul 2019 (7y) | ||
| James Hollis Brandt | Registered representative | Jul 2019 (7y) | ||
| Mitchell Frankfurt | Registered representative | Jul 2019 (7y) | ||
| Michael Steven Mcavoy | Registered representative | Jul 2019 (7y) | ||
| Jean Paul Boutym | Registered representative | Jul 2019 (7y) | ||
| John Houston | Registered representative | Jul 2019 (7y) | ||
| Mitchell J. Lauder | Registered representative | Jul 2019 (7y) | ||
| Harold Douglas Mccoy | Registered representative | Jul 2019 (7y) | ||
| Adam Lawrence Koch | Registered representative | Jul 2019 (7y) | ||
| Daniel Taylor Oldland | Registered representative | Jul 2019 (7y) | ||
| Joseph Merit Duvall | Registered representative | Jul 2019 (7y) | ||
| Louis Portnoy | Registered representative | Jul 2019 (7y) | ||
| Stephen Glenn Krochmal | Registered representative | Jul 2019 (7y) | ||
| Anthony Joseph Ferretti | Registered representative | Jul 2019 (7y) | ||
| Abe Pomeranc | Registered representative | Jul 2019 (7y) | ||
| Lyali Taher Ali Alseed | Registered representative | Jul 2019 (7y) | ||
| Gary Todd Williamson | Registered representative | Aug 2019 (7y) | ||
| Jason Richard Tucker | Registered representative | Aug 2019 (7y) | ||
| Tammy Sue Peters | Registered representative | Aug 2019 (7y) | ||
| Mikkie Diem Hoang | Registered representative | Aug 2019 (7y) | ||
| Sean Arundel Lewis | Registered representative | Aug 2019 (7y) | ||
| Justin Tyler Kendrick | Registered representative | Aug 2019 (7y) | ||
| Kermit Lee Knight | Registered representative | Aug 2019 (7y) | ||
| Eric Joseph Salek | Registered representative | Aug 2019 (7y) | ||
| Robert Glen Hall | Registered representative | Aug 2019 (7y) | ||
| Anthony John Maddelina | Registered representative | Aug 2019 (7y) | ||
| Frank Rodriguez Gomez | Registered representative | Aug 2019 (7y) | ||
| Guyan Samuel Long | Registered representative | Aug 2019 (7y) | ||
| Joseph Banoub Morkos | Registered representative | Aug 2019 (7y) | ||
| Kevin Ashton Chapin | Registered representative | CFP | Aug 2019 (7y) | |
| Melissa Dyan Wilkinson | Registered representative | Aug 2019 (7y) | ||
| Rhonda Ann Maddelina | Registered representative | Aug 2019 (7y) | ||
| Zilong Cui | Registered representative | Aug 2019 (7y) | ||
| Nabil Ali Farhat | Registered representative | Aug 2019 (7y) | ||
| Christopher Wessner | Registered representative | Aug 2019 (7y) | ||
| Jon Christopher Cockerham | Registered representative | Aug 2019 (7y) | ||
| David Turner Barnett | Registered representative | Aug 2019 (7y) | ||
| Adam Jeffrey Fullmer | Registered representative | CFP | Aug 2019 (7y) | |
| Dannithza Claros Cano | Registered representative | Aug 2019 (7y) | ||
| Ralph Timothy Albers | Registered representative | Aug 2019 (7y) | ||
| Scott Daniel Delity | Registered representative | Aug 2019 (7y) | ||
| Brian Patrick Carroll | Registered representative | Aug 2019 (7y) | ||
| Jessica E Weiss | Registered representative | Aug 2019 (7y) | ||
| Kevin Joseph Schaefer | Registered representative | Aug 2019 (7y) | ||
| Lorraine Vansiclen Hoover | Registered representative | Aug 2019 (7y) | ||
| Eric Alan Neubecker | Registered representative | CFP | Aug 2019 (7y) | |
| Jose Carlos Zuniga Becerra | Registered representative | CFP | Aug 2019 (7y) | |
| Derek Shane Cason | Registered representative | Aug 2019 (7y) | ||
| Jennifer Yocca | Registered representative | Aug 2019 (7y) | ||
| Jody Lee Cinnamon | Registered representative | Aug 2019 (7y) | ||
| Kiok Kim | Registered representative | Aug 2019 (7y) | ||
| Darron John Hemann | Registered representative | Aug 2019 (7y) | ||
| Jonathan J Morse | Registered representative | CFP | Aug 2019 (7y) | |
| Stephen Patrick Mangan | Registered representative | Aug 2019 (7y) | ||
| Christopher Allen Hallmark | Registered representative | Aug 2019 (7y) | ||
| Eduardo Lima Correa | Registered representative | Aug 2019 (7y) | ||
| Francine L Bergmann | Registered representative | Aug 2019 (7y) | ||
| Monica Imbriaco | Registered representative | Aug 2019 (7y) | ||
| Thomas John Way | Registered representative | Aug 2019 (7y) | ||
| Michael Anthony Manasia | Registered representative | CFP | Aug 2019 (7y) | |
| Sean Charles Price | Registered representative | Aug 2019 (7y) | ||
| Anthony Philip Ferraro | Registered representative | Aug 2019 (7y) | ||
| Matthew Scott Mccann | Registered representative | Aug 2019 (7y) | ||
| Nancy Aldritt | Registered representative | Aug 2019 (7y) | ||
| Peter Fulton Havenstein | Registered representative | Aug 2019 (7y) | ||
| Christopher Wayne Harper | Registered representative | Aug 2019 (7y) | ||
| Clayton J. J Callahan | Registered representative | Aug 2019 (7y) | ||
| Eva Lotta Linnea Brown | Registered representative | Aug 2019 (7y) | ||
| Ja'son Ty Pittman | Registered representative | Aug 2019 (7y) | ||
| Kathryn Sanders Orlick | Registered representative | Aug 2019 (7y) | ||
| Matthew Jeffrey Ramsdell | Registered representative | Aug 2019 (7y) | ||
| Daniel Pope Lyman | Registered representative | Sep 2019 (7y) | ||
| Quoc Pham | Registered representative | Sep 2019 (7y) | ||
| Tess Elizabeth Glasspool | Registered representative | Sep 2019 (7y) | ||
| Charles Tudor Laughlin | Registered representative | CFP | Sep 2019 (7y) | |
| Joseph Louis Brunelli | Registered representative | CFP | Sep 2019 (7y) | |
| Phyllis Anne Sarabyn | Registered representative | Sep 2019 (7y) | ||
| Samer Gabriel Abdelmasih | Registered representative | Sep 2019 (7y) | ||
| Tiffany Beebe | Registered representative | Sep 2019 (7y) | ||
| Naghmeh Asiaei Pourassef | Registered representative | Sep 2019 (7y) | ||
| Steven Paul Klein | Registered representative | Sep 2019 (7y) | ||
| Amy Kristin Arthur | Registered representative | CFP | Sep 2019 (7y) | |
| Arthur Dwight Dobosiewicz | Registered representative | Sep 2019 (7y) | ||
| Daniel Catanzaro | Registered representative | Sep 2019 (7y) | ||
| Danielle Lee Hamberger | Registered representative | Sep 2019 (7y) | ||
| David Gene Lu | Registered representative | Sep 2019 (7y) | ||
| Elizabeth Sanchez | Registered representative | Sep 2019 (7y) | ||
| Florence Ann Muyot Erazo | Registered representative | Sep 2019 (7y) | ||
| Joshua David Hirneisen | Registered representative | Sep 2019 (7y) | ||
| Julie Louise Shumake | Registered representative | Sep 2019 (7y) | ||
| Matthew Whiting Lowe | Registered representative | Sep 2019 (7y) | ||
| Patrick A Thompson | Registered representative | Sep 2019 (7y) | ||
| Stanley Edward Kiec | Registered representative | Sep 2019 (7y) | ||
| Stephanie Anne Gonzalez | Registered representative | Sep 2019 (7y) | ||
| Honora Penrose Domines | Registered representative | Sep 2019 (7y) | ||
| Ignatius Donald Permadi | Registered representative | Sep 2019 (7y) | ||
| John Michael Degeronimo | Registered representative | Sep 2019 (7y) | ||
| Michael A Ratner | Registered representative | Sep 2019 (7y) | ||
| Craig Settje | Registered representative | Sep 2019 (7y) | ||
| Neil Gallagher | Registered representative | Sep 2019 (7y) | ||
| Timothy R Kiley | Registered representative | Sep 2019 (7y) | ||
| Howard Andrew Kreshek | Registered representative | Sep 2019 (7y) | ||
| Nicholas Royce Damron | Registered representative | Sep 2019 (7y) | ||
| Yordanos Debas Haile | Registered representative | Sep 2019 (7y) | ||
| G Scott Newsom | Registered representative | Sep 2019 (7y) | ||
| Renae Watkins | Registered representative | Sep 2019 (7y) | ||
| Lori Ann Winfield | Registered representative | Sep 2019 (7y) | ||
| Joseph Nathan Diller | Registered representative | Sep 2019 (7y) | ||
| Karen Elizabeth Elliot | Registered representative | Sep 2019 (7y) | ||
| Antony Paul Brunetto | Registered representative | Sep 2019 (7y) | ||
| Frank D Mccabe | Registered representative | Sep 2019 (7y) | ||
| Gary Robert Burwick | Registered representative | Sep 2019 (7y) | ||
| Aaron Edward Marks | Registered representative | Sep 2019 (7y) | ||
| Jeremy James Davis | Registered representative | Sep 2019 (7y) | ||
| Marc Robert Engelman | Registered representative | Sep 2019 (7y) | ||
| Christopher Lindenbusch | Registered representative | Sep 2019 (7y) | ||
| Darcie Lin Blomberg | Registered representative | Sep 2019 (7y) | ||
| James Patrick Curtin | Registered representative | Sep 2019 (7y) | ||
| Katherine Elizabeth Palmer Toth | Registered representative | Sep 2019 (7y) | ||
| Craig Dennis Pasini | Registered representative | Sep 2019 (7y) | ||
| Efrain Vera | Registered representative | Sep 2019 (7y) | ||
| Andrew Kirkpatrick | Registered representative | Sep 2019 (7y) | ||
| Brian Alcala Austria | Registered representative | Sep 2019 (7y) | ||
| John Leslie Creamer | Registered representative | Sep 2019 (7y) | ||
| Kevin William Feiten | Registered representative | Sep 2019 (7y) | ||
| Kimberly Dawn Brandt | Registered representative | Sep 2019 (7y) | ||
| Millard F Herold | Registered representative | Sep 2019 (7y) | ||
| Thomas John Lewandowski | Registered representative | Sep 2019 (7y) | ||
| Anthony Nicholas Freeman | Registered representative | Sep 2019 (7y) | ||
| Philip Edwin Rogers | Registered representative | Sep 2019 (7y) | ||
| Robert Duran | Registered representative | Sep 2019 (7y) | ||
| Tammie Lynn Williams | Registered representative | Sep 2019 (7y) | ||
| Brenda Schenck Bazan | Registered representative | Oct 2019 (7y) | ||
| David Tristin Baggenstos | Registered representative | Oct 2019 (7y) | ||
| Francisco Jose Patino | Registered representative | Oct 2019 (7y) | ||
| Rudy Cameron Soliz | Registered representative | Oct 2019 (7y) | ||
| Andrew Ian Baris | Registered representative | Oct 2019 (7y) | ||
| Craig Steven Burtis | Registered representative | Oct 2019 (7y) | ||
| James Matthew Zajac | Registered representative | Oct 2019 (7y) | ||
| James Scott Higgins | Registered representative | Oct 2019 (7y) | ||
| Richard James Rios | Registered representative | CFP | Oct 2019 (7y) | |
| Tarannum Sara Shams | Registered representative | Oct 2019 (7y) | ||
| Mohammed Salem Aljazi | Registered representative | Oct 2019 (7y) | ||
| Helen Marie Devito | Registered representative | Oct 2019 (7y) | ||
| Tin Heain Kyaw | Registered representative | Oct 2019 (7y) | ||
| Gerald Daniel Ramirez | Registered representative | Oct 2019 (7y) | ||
| Justin P Bentrup | Registered representative | Oct 2019 (7y) | ||
| Steven Dupre Atkins | Registered representative | Oct 2019 (7y) | ||
| Bradley Thomas Keeter | Registered representative | Oct 2019 (7y) | ||
| James Dylan Paradise | Registered representative | CFP | Oct 2019 (7y) | |
| Jeff Evan Chanin | Registered representative | Oct 2019 (7y) | ||
| Mark Philip Schmidt | Registered representative | Oct 2019 (7y) | ||
| Matthew S Lawrence | Registered representative | Oct 2019 (7y) | ||
| Tara Mirjah | Registered representative | Oct 2019 (7y) | ||
| Virgil Lee Dortch | Registered representative | Oct 2019 (7y) | ||
| William Vallecillo | Registered representative | Oct 2019 (7y) | ||
| Alexander Paul Cannon Ary | Registered representative | Oct 2019 (7y) | ||
| Andre Louis Freitas | Registered representative | Oct 2019 (7y) | ||
| Charles Frederick Parry | Registered representative | Oct 2019 (7y) | ||
| Chase Winder Parry | Registered representative | Oct 2019 (7y) | ||
| Daniel S Soshnik | Registered representative | Oct 2019 (7y) | ||
| Manuel A Palan | Registered representative | Oct 2019 (7y) | ||
| Pamela Annette Glaser | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| Toby John Svoboda | Registered representative | Oct 2019 (7y) | ||
| Anthony Morea | Registered representative | Oct 2019 (7y) | ||
| Audra Angelo Reed | Registered representative | Oct 2019 (7y) | ||
| Curtis John Parry | Registered representative | Oct 2019 (7y) | ||
| Jennifer Lorelle Roberts | Registered representative | Oct 2019 (7y) | ||
| Kimberly Ary | Registered representative | Oct 2019 (7y) | ||
| Lara Furlong | Registered representative | Oct 2019 (7y) | ||
| Paul Anthony Poydras | Registered representative | Oct 2019 (7y) | ||
| Stacy Lynn Zurita | Registered representative | Oct 2019 (7y) | ||
| Rosary Plana Falero | Registered representative | Oct 2019 (7y) | ||
| Nasra S Sudi Martin | Registered representative | Oct 2019 (7y) | ||
| Darrel A Swienton | Registered representative | Oct 2019 (7y) | ||
| Shane Lines | Registered representative | Oct 2019 (7y) | ||
| Christopher Charles Meloro | Registered representative | Oct 2019 (7y) | ||
| Michael Samuel Godlin | Registered representative | Oct 2019 (7y) | ||
| Nicholas A Vafeas | Registered representative | Oct 2019 (7y) | ||
| Elba Margie Diaz | Registered representative | Oct 2019 (7y) | ||
| Jason Rex Mansur | Registered representative | Oct 2019 (7y) | ||
| Sheila D Dobbins | Registered representative | Oct 2019 (7y) | ||
| Steven Theodore Santucci | Registered representative | Oct 2019 (7y) | ||
| Yolanda A Vasquez | Registered representative | Oct 2019 (7y) | ||
| Catherine Meads | Registered representative | Oct 2019 (7y) | ||
| Michael Harper | Registered representative | Oct 2019 (7y) | ||
| Christopher W Johnson | Registered representative | Oct 2019 (7y) | ||
| David Alan Briest | Registered representative | Oct 2019 (7y) | ||
| David Martin Moore | Registered representative | Oct 2019 (7y) | ||
| Diana Docea | Registered representative | CFP | Oct 2019 (7y) | |
| Jake Austin Harrison | Registered representative | Oct 2019 (7y) | ||
| Ji Michael Y Chung | Registered representative | Oct 2019 (7y) | ||
| Richard C Clark Fannin | Registered representative | Oct 2019 (7y) | ||
| George David Flanders | Registered representative | Nov 2019 (7y) | ||
| James Martin Kane | Registered representative | Nov 2019 (7y) | ||
| John Robert Dixon | Registered representative | Nov 2019 (7y) | ||
| John Ronald Ceravolo | Registered representative | Nov 2019 (7y) | ||
| Michael Joseph Miller | Registered representative | Nov 2019 (7y) | ||
| Pearl Maalouf | Registered representative | Nov 2019 (7y) | ||
| Ryan Franklin Overholt | Registered representative | Nov 2019 (7y) | ||
| Steven Raymond Shatto | Registered representative | Nov 2019 (7y) | ||
| Erik M Saporito | Registered representative | Nov 2019 (7y) | ||
| Jacob Thomas Utley | Registered representative | Nov 2019 (7y) | ||
| Flavio Eduardo Atoche | Registered representative | Nov 2019 (7y) | ||
| George Michael Stadler | Registered representative | Nov 2019 (7y) | ||
| Diego Zamora | Registered representative | Nov 2019 (7y) | ||
| James Timothy Bevan | Registered representative | Nov 2019 (7y) | ||
| Kyle Wayne Kephart | Registered representative | Nov 2019 (7y) | ||
| Kady Colleen Simons | Registered representative | Nov 2019 (7y) | ||
| Leonel Alexander Tejada | Registered representative | Nov 2019 (7y) | ||
| Ricky David Chernok | Registered representative | Nov 2019 (7y) | ||
| Edward Girard Janansky | Registered representative | Nov 2019 (7y) | ||
| Gracie B Maya | Registered representative | Nov 2019 (7y) | ||
| John William Short | Registered representative | Nov 2019 (7y) | ||
| Robert (Ernie) Boynton Meyers | Registered representative | Nov 2019 (7y) | ||
| Karen Eberhart Jackson | Registered representative | Nov 2019 (7y) | ||
| Dea Anne Kirschman | Registered representative | Nov 2019 (7y) | ||
| Jacob Christian Fishbaugh | Registered representative | Nov 2019 (7y) | ||
| Marc Aaron Tavano | Registered representative | Nov 2019 (7y) | ||
| Joseph Bradley Kucera | Registered representative | Nov 2019 (7y) | ||
| James Joseph Lombardi | Registered representative | Nov 2019 (7y) | ||
| Joseph A Lombardi | Registered representative | Nov 2019 (7y) | ||
| Joseph Thomas Gravini | Registered representative | CFP | Nov 2019 (7y) | |
| Justin Reuben Leekley | Registered representative | Nov 2019 (7y) | ||
| Rebecca Elfreda Powell | Registered representative | CFP | Nov 2019 (7y) | |
| Ryan Russ Anderson | Registered representative | Nov 2019 (7y) | ||
| Kelly Martin | Registered representative | Nov 2019 (7y) | ||
| Francis Patrick Mcgrail | Registered representative | Nov 2019 (7y) | ||
| Bettina Polydor Kallins | Registered representative | Nov 2019 (7y) | ||
| Nicholas Andrew Giorgio | Registered representative | Nov 2019 (7y) | ||
| Robert Revet | Registered representative | Nov 2019 (7y) | ||
| Scott Howard Matthews | Registered representative | Nov 2019 (7y) | ||
| Shily Mary Sasinouan | Registered representative | Nov 2019 (7y) | ||
| Lacey Fore Beam | Registered representative | Nov 2019 (7y) | ||
| Lori Jordan | Registered representative | Nov 2019 (7y) | ||
| Vincent James Lukasik | Registered representative | Nov 2019 (7y) | ||
| Jenny Stiles Holland | Registered representative | CFP | Nov 2019 (7y) | |
| Brendan Sullivan | Registered representative | Dec 2019 (7y) | ||
| Allen Edward Boesl | Registered representative | Dec 2019 (7y) | ||
| Jeffrey Turner Jones | Registered representative | Dec 2019 (7y) | ||
| Ryan Nathan Tanner | Registered representative | Dec 2019 (7y) | ||
| Clark Johnson Sturtevant | Registered representative | Dec 2019 (7y) | ||
| Jbrett Yates | Registered representative | Dec 2019 (7y) | ||
| Marc Eugene Duquette | Registered representative | Dec 2019 (7y) | ||
| Patrick Stephen Mattingly | Registered representative | Dec 2019 (7y) | ||
| Prem Shelly Vareedayah | Registered representative | Dec 2019 (7y) | ||
| Garrett Michael Clements | Registered representative | Dec 2019 (7y) | ||
| Jared David Fuhler | Registered representative | Dec 2019 (7y) | ||
| Andrew Mcgrath | Registered representative | CFP | Dec 2019 (7y) | |
| Brett Bennett | Registered representative | Dec 2019 (7y) | ||
| Jason Ryan Jaynes | Registered representative | CFP | Dec 2019 (7y) | |
| Jose Antonio Martinez | Registered representative | Dec 2019 (7y) | ||
| Kelly Lynch | Registered representative | Dec 2019 (7y) | ||
| Victoria Vandeleur | Registered representative | Dec 2019 (7y) | ||
| Jeff Brian Dinkins | Registered representative | Dec 2019 (7y) | ||
| Michael Peter Tudor | Registered representative | Dec 2019 (7y) | ||
| Cinda L Collins | Registered representative | Dec 2019 (7y) | ||
| Kevin Thomas O'brien | Registered representative | Dec 2019 (7y) | ||
| Zachary Ryan Green | Registered representative | Dec 2019 (7y) | ||
| Benjamin Dominguez | Registered representative | Dec 2019 (7y) | ||
| James Patrick Mcfadden | Registered representative | Dec 2019 (7y) | ||
| Matthew J Thoman | Registered representative | CFP | Dec 2019 (7y) | |
| William Carl Newland | Registered representative | Dec 2019 (7y) | ||
| Thomas Roe Cosinuke | Registered representative | Chartered Financial Consultant | Dec 2019 (7y) | |
| Tyler Roy Egrie | Registered representative | Dec 2019 (7y) | ||
| Erekle Chanturia | Registered representative | Dec 2019 (7y) | ||
| Brandon Steven Johnson | Registered representative | Dec 2019 (7y) | ||
| Kelly William Buda | Registered representative | Dec 2019 (7y) | ||
| Nicolette Haacke Frandsen | Registered representative | CFP | Dec 2019 (7y) | |
| Jennifer Elisabeth Fuller White | Registered representative | Dec 2019 (7y) | ||
| Kathleen Ann Montano | Registered representative | Dec 2019 (7y) | ||
| Todd Keith Burton | Registered representative | Dec 2019 (7y) | ||
| Pamela Peck | Registered representative | Dec 2019 (7y) | ||
| Danielle Nicole Andrew | Registered representative | Dec 2019 (7y) | ||
| Meghan Hylton Woolard | Registered representative | Dec 2019 (7y) | ||
| Michael Claude Marshall | Registered representative | Dec 2019 (7y) | ||
| Richard Pimentel | Registered representative | Dec 2019 (7y) | ||
| Michael Jeffrey Landwehr | Registered representative | Dec 2019 (7y) | ||
| William Southerland | Registered representative | Dec 2019 (7y) | ||
| Nestor Mendez | Registered representative | Jan 2020 (7y) | ||
| Pamela Charise Miller | Registered representative | Jan 2020 (7y) | ||
| Chace Westin Mckinney | Registered representative | Jan 2020 (7y) | ||
| Jason Wesley Shaw | Registered representative | Jan 2020 (7y) | ||
| Christopher Patrick Tucker | Registered representative | Jan 2020 (7y) | ||
| Theresa Lynn Miller | Registered representative | Jan 2020 (7y) | ||
| Amanda Nicole Wiggins | Registered representative | Jan 2020 (7y) | ||
| Robert John Seaman | Registered representative | Jan 2020 (7y) | ||
| Bobby Joe Fogle | Registered representative | Jan 2020 (7y) | ||
| Kelly Ray Gallagher | Registered representative | Jan 2020 (7y) | ||
| Lisa Rose Vella | Registered representative | Jan 2020 (7y) | ||
| Tyler G Childers | Registered representative | Jan 2020 (7y) | ||
| Daniel Jacob Hartnett | Registered representative | Jan 2020 (7y) | ||
| Jason Brian Sturgill | Registered representative | Jan 2020 (7y) | ||
| Jordon Michael Williams | Registered representative | Jan 2020 (7y) | ||
| Jose Torres | Registered representative | Jan 2020 (7y) | ||
| Selenne Calhamer | Registered representative | Jan 2020 (7y) | ||
| Tracy Ann Tamara Mills | Registered representative | Jan 2020 (7y) | ||
| Zachary Ballard | Registered representative | Jan 2020 (7y) | ||
| Jennifer Marie Brown | Registered representative | Jan 2020 (7y) | ||
| Marc Earl Glass | Registered representative | Jan 2020 (7y) | ||
| Walter Bragdon Smith | Registered representative | Jan 2020 (7y) | ||
| Brenda Carolina Quintero | Registered representative | Jan 2020 (7y) | ||
| Daniel Robert Dirgo | Registered representative | Jan 2020 (7y) | ||
| Erick Santiago Block | Registered representative | Jan 2020 (7y) | ||
| Justin Trey Ellis | Registered representative | Jan 2020 (7y) | ||
| Kayla Burton Sullivan | Registered representative | Jan 2020 (7y) | ||
| Marci Mauro | Registered representative | Jan 2020 (7y) | ||
| Al Henry Peralta | Registered representative | Jan 2020 (7y) | ||
| Nicole Eileen Kitzerow | Registered representative | CFP | Jan 2020 (7y) | |
| Dawn Marie Walker | Registered representative | Jan 2020 (7y) | ||
| Jennifer Denise Morton | Registered representative | Jan 2020 (7y) | ||
| Jennifer Conley | Registered representative | Jan 2020 (7y) | ||
| Gregory Kessler Jr | Registered representative | Chartered Financial Consultant | Jan 2020 (7y) | |
| Nathan James Porzio | Registered representative | Jan 2020 (7y) | ||
| Rajan Arora | Registered representative | Jan 2020 (7y) | ||
| Jose Eduardo Perezgonzalez | Registered representative | Jan 2020 (7y) | ||
| Matthew Joseph Gallo | Registered representative | Jan 2020 (7y) | ||
| Sharon Jones | Registered representative | Jan 2020 (7y) | ||
| Vincent John Fiorentino | Registered representative | Jan 2020 (7y) | ||
| Casie Jean Sparks | Registered representative | Jan 2020 (7y) | ||
| Richard James Sample | Registered representative | Jan 2020 (7y) | ||
| Jeanne M Gagliardi | Registered representative | Jan 2020 (7y) | ||
| James Allen Anderson | Registered representative | Jan 2020 (7y) | ||
| Kasey Ellen Dreste | Registered representative | Jan 2020 (7y) | ||
| Maggie Garman | Registered representative | Jan 2020 (7y) | ||
| Neelofar Hossaini | Registered representative | Jan 2020 (7y) | ||
| Thomas Lynn Peterson | Registered representative | Jan 2020 (7y) | ||
| Patricia Ruth Dietz | Registered representative | Feb 2020 (7y) | ||
| Anh Thikim Dang | Registered representative | Feb 2020 (6y) | ||
| Donna Ruth Bostwick | Registered representative | Feb 2020 (6y) | ||
| Elizabeth Fortin Albers | Registered representative | Feb 2020 (6y) | ||
| Matthew Anderson | Registered representative | Feb 2020 (6y) | ||
| Basil Barouki | Registered representative | Feb 2020 (6y) | ||
| Ethan Brodie Mcdaniel | Registered representative | Feb 2020 (6y) | ||
| Michael Atkins | Registered representative | CFP | Feb 2020 (6y) | |
| Anthony William Ketcham | Registered representative | Feb 2020 (6y) | ||
| Jarett Jay Elion | Registered representative | Feb 2020 (6y) | ||
| Owen Howard Watstein | Registered representative | Feb 2020 (6y) | ||
| Lisa Michele Cartee Monsour | Registered representative | Feb 2020 (6y) | ||
| Patrick Sundin | Registered representative | Feb 2020 (6y) | ||
| Shaun David Arnold | Registered representative | Feb 2020 (6y) | ||
| Charles Raymond Coomes | Registered representative | Feb 2020 (6y) | ||
| Rocio Marticorena | Registered representative | Feb 2020 (6y) | ||
| Jennifer Roe | Registered representative | Feb 2020 (6y) | ||
| Keith William Juengerkes | Registered representative | Feb 2020 (6y) | ||
| Ryan James Brown | Registered representative | Feb 2020 (6y) | ||
| Stephen David Putinski | Registered representative | Feb 2020 (6y) | ||
| Tamara L. Bond | Registered representative | Feb 2020 (6y) | ||
| Connor Patrick Gallagher | Registered representative | Feb 2020 (6y) | ||
| David Hensley Shine | Registered representative | Feb 2020 (6y) | ||
| Emily Louise Difley Golenzer | Registered representative | CFP | Feb 2020 (6y) | |
| Jaron James Shaw | Registered representative | Feb 2020 (6y) | ||
| Marc Stephen Irion | Registered representative | Feb 2020 (6y) | ||
| Michael Lawrence Tondelli | Registered representative | Feb 2020 (6y) | ||
| Sean Gallagher | Registered representative | Feb 2020 (6y) | ||
| Philip Eric Fuller | Registered representative | Feb 2020 (6y) | ||
| Brian Joseph Casey | Registered representative | Feb 2020 (6y) | ||
| Bryan Claxton Mayo | Registered representative | Feb 2020 (6y) | ||
| David Michael Verkuilen | Registered representative | CFP Chartered Financial Consultant | Feb 2020 (6y) | |
| Diana Garibay | Registered representative | Feb 2020 (6y) | ||
| Duncan Keith Mackay | Registered representative | Feb 2020 (6y) | ||
| Kathryn H Mckenzie | Registered representative | Feb 2020 (6y) | ||
| Kimberly Manicure Mcfall | Registered representative | Feb 2020 (6y) | ||
| Mohammad Ahmed Awad Eljied | Registered representative | Feb 2020 (6y) | ||
| Philip Gregory Mathias | Registered representative | Feb 2020 (6y) | ||
| Scott E Carswell | Registered representative | Feb 2020 (6y) | ||
| Morgan Kelly Litchfield | Registered representative | CFP | Feb 2020 (6y) | |
| Dave Dela Cruz Agustin | Registered representative | Feb 2020 (6y) | ||
| Kari Lynn Gregoire | Registered representative | Feb 2020 (6y) | ||
| Frederick A Stoutland | Registered representative | Feb 2020 (6y) | ||
| Katherine Elizabeth Gowans | Registered representative | Feb 2020 (6y) | ||
| Beatriz Amalia Ponton | Registered representative | Feb 2020 (6y) | ||
| Kirk Loberman | Registered representative | Feb 2020 (6y) | ||
| Adi Tucakovic | Registered representative | Feb 2020 (6y) | ||
| Giovanni Paul Santillo | Registered representative | Feb 2020 (6y) | ||
| Gloria Sanders Eller | Registered representative | Feb 2020 (6y) | ||
| Holley S Pierce | Registered representative | CFP | Feb 2020 (6y) | |
| John Joseph Quinn | Registered representative | Feb 2020 (6y) | ||
| Alma Lerseth | Registered representative | Mar 2020 (6y) | ||
| Nisrine Benkhati Westberry | Registered representative | Mar 2020 (6y) | ||
| Kristin Ingrid Becker | Registered representative | Mar 2020 (6y) | ||
| Markus A Bahr | Registered representative | Mar 2020 (6y) | ||
| Paul Anthony Zaferiou | Registered representative | Mar 2020 (6y) | ||
| Joseph Anthony Romanoski | Registered representative | Mar 2020 (6y) | ||
| Gilbert Stroud Scarborough | Registered representative | Mar 2020 (6y) | ||
| Richard Joseph Moody | Registered representative | Mar 2020 (6y) | ||
| Charles William Vella | Registered representative | Mar 2020 (6y) | ||
| Ignacio Alfredo Herrero | Registered representative | CFP | Mar 2020 (6y) | |
| Lisa M Meredith | Registered representative | Mar 2020 (6y) | ||
| Kimberly Ann Gruber Monk | Registered representative | Mar 2020 (6y) | ||
| Rhamel Brown | Registered representative | Mar 2020 (6y) | ||
| Brett Burnett Atkinson | Registered representative | CFP | Mar 2020 (6y) | |
| Gina Wu | Registered representative | CFP | Mar 2020 (6y) | |
| Mike Berman | Registered representative | CFP | Mar 2020 (6y) | |
| Richard Ashley Pelfrey | Registered representative | Mar 2020 (6y) | ||
| Anders Martin Rasmussen | Registered representative | Mar 2020 (6y) | ||
| Joseph Dominic De Falco | Registered representative | Mar 2020 (6y) | ||
| Christopher Matthews Moffat | Registered representative | Mar 2020 (6y) | ||
| Wendy Sue Klaudt | Registered representative | Mar 2020 (6y) | ||
| Angelia Faye Marchant | Registered representative | Mar 2020 (6y) | ||
| Trevor Benjamin Ebert | Registered representative | Mar 2020 (6y) | ||
| Andrew Alexander Rodney | Registered representative | Mar 2020 (6y) | ||
| Jacob Ralph Skoll | Registered representative | Mar 2020 (6y) | ||
| David C Morrison | Registered representative | Mar 2020 (6y) | ||
| Franklin Daniel Rockwell | Registered representative | Mar 2020 (6y) | ||
| John Graham Enright | Registered representative | Mar 2020 (6y) | ||
| Mitchell Jay Schoenbaum | Registered representative | Mar 2020 (6y) | ||
| Falguni Ajay Sanghavi | Registered representative | Mar 2020 (6y) | ||
| Frank Soria | Registered representative | CFP | Mar 2020 (6y) | |
| Joseph Anthony Randolph | Registered representative | Mar 2020 (6y) | ||
| Victoria Dawn Mcanulty | Registered representative | Mar 2020 (6y) | ||
| Steven Backoff | Registered representative | Apr 2020 (6y) | ||
| Catherine Branch | Registered representative | Apr 2020 (6y) | ||
| Brian Patrick Hannan | Registered representative | Apr 2020 (6y) | ||
| Eric Ekman | Registered representative | Apr 2020 (6y) | ||
| Vanessa Elena Brown | Registered representative | Apr 2020 (6y) | ||
| Marc Leigh Steingrebe | Registered representative | Apr 2020 (6y) | ||
| Daniel Alexander Flores | Registered representative | Apr 2020 (6y) | ||
| Edward James Mercier | Registered representative | Apr 2020 (6y) | ||
| Tomislav Kuzman | Registered representative | Apr 2020 (6y) | ||
| Ivy Blake Stiles | Registered representative | Apr 2020 (6y) | ||
| Maria Nikolaidis | Registered representative | Apr 2020 (6y) | ||
| Jonathan Harriss Symmes | Registered representative | CFP | May 2020 (6y) | |
| Michael George Richardson | Registered representative | May 2020 (6y) | ||
| Scott A Burgess | Registered representative | May 2020 (6y) | ||
| Jerry Randall Davis | Registered representative | May 2020 (6y) | ||
| Dipali Patel | Registered representative | May 2020 (6y) | ||
| John Blaise Ebanietti | Registered representative | May 2020 (6y) | ||
| Anthony L San Andres | Registered representative | May 2020 (6y) | ||
| Benjamin Minor | Registered representative | May 2020 (6y) | ||
| Debra L Hawkins | Registered representative | May 2020 (6y) | ||
| F Minor | Registered representative | May 2020 (6y) | ||
| Matthew Ferris | Registered representative | May 2020 (6y) | ||
| William Minor | Registered representative | May 2020 (6y) | ||
| Luis Munoz | Registered representative | May 2020 (6y) | ||
| James Robert Kendzior | Registered representative | May 2020 (6y) | ||
| Bernice Chinn Mitra | Registered representative | May 2020 (6y) | ||
| Donovan C Koah | Registered representative | May 2020 (6y) | ||
| Michael Palmer | Registered representative | May 2020 (6y) | ||
| Abel Araujo | Registered representative | May 2020 (6y) | ||
| David Alex Ciccone | Registered representative | May 2020 (6y) | ||
| David N Litman | Registered representative | May 2020 (6y) | ||
| James David Schneider | Registered representative | May 2020 (6y) | ||
| Robert Gorman Taylor | Registered representative | CFP | May 2020 (6y) | |
| Susanna Wynne Duran | Registered representative | May 2020 (6y) | ||
| Thomas Harsanyi | Registered representative | May 2020 (6y) | ||
| Sridhar Akkapeddi | Registered representative | May 2020 (6y) | ||
| Chad Eugene Stalder | Registered representative | CFP | May 2020 (6y) | |
| Robert Dean Nelson | Registered representative | May 2020 (6y) | ||
| Scott Michael Slade | Registered representative | May 2020 (6y) | ||
| Mark George Schlig | Registered representative | May 2020 (6y) | ||
| Selina Heintz | Registered representative | May 2020 (6y) | ||
| Timothy Michael Sayre | Registered representative | May 2020 (6y) | ||
| Michael Osborn | Registered representative | Jun 2020 (6y) | ||
| Karen Denise Danna | Registered representative | Jun 2020 (6y) | ||
| Roman Sosunov | Registered representative | Jun 2020 (6y) | ||
| Stephen Ray Bowman | Registered representative | Jun 2020 (6y) | ||
| Angela Michelle Fettik | Registered representative | Jun 2020 (6y) | ||
| Brad Samuel Rude | Registered representative | Jun 2020 (6y) | ||
| Brendan John Roberts | Registered representative | Jun 2020 (6y) | ||
| Steven Alan Aichinger | Registered representative | Jun 2020 (6y) | ||
| Paul Brian Foster | Registered representative | Jun 2020 (6y) | ||
| Peter Sean Cleary | Registered representative | Jun 2020 (6y) | ||
| Patrick Paul Shannon | Registered representative | Jun 2020 (6y) | ||
| Patrick Paul Shannon Jr | Registered representative | Jun 2020 (6y) | ||
| Christopher A Cavallaro | Registered representative | Jun 2020 (6y) | ||
| Eileen Ann Ohannesian | Registered representative | Jun 2020 (6y) | ||
| Mario Faustini | Registered representative | Jun 2020 (6y) | ||
| Spencer George Luthin | Registered representative | Jun 2020 (6y) | ||
| Brian Courisky | Registered representative | Jun 2020 (6y) | ||
| David Trent | Registered representative | Jun 2020 (6y) | ||
| Don Persons Wyse | Registered representative | Jun 2020 (6y) | ||
| Jordan Elliott Henricks | Registered representative | Jun 2020 (6y) | ||
| Leif David Olson | Registered representative | Jun 2020 (6y) | ||
| Michael Curtis Morrison | Registered representative | Jun 2020 (6y) | ||
| Regina Cathlyn Brucato | Registered representative | Jun 2020 (6y) | ||
| William Cameron Blum | Registered representative | Jun 2020 (6y) | ||
| Scott Alan Treloar | Registered representative | Jun 2020 (6y) | ||
| Steven Spencer Buescher | Registered representative | Jun 2020 (6y) | ||
| Suzanne Eyre | Registered representative | Jun 2020 (6y) | ||
| Andrew Blair Cundiff | Registered representative | Jun 2020 (6y) | ||
| Harold Heath Henderson | Registered representative | CFP | Jun 2020 (6y) | |
| James Edward Kline | Registered representative | Chartered Financial Consultant | Jun 2020 (6y) | |
| Jamie Mackinnon Holman | Registered representative | CFP | Jun 2020 (6y) | |
| Kelly Ann Murphy | Registered representative | Jun 2020 (6y) | ||
| Nathan Woods Collums | Registered representative | Jun 2020 (6y) | ||
| Stephen Wayne Rice | Registered representative | Jun 2020 (6y) | ||
| Daniel Correa | Registered representative | Jun 2020 (6y) | ||
| Timothy Allen Watson | Registered representative | Jun 2020 (6y) | ||
| Brian Keith Payne | Registered representative | Jun 2020 (6y) | ||
| Thomas Ritson Ferguson | Registered representative | CFA | Jun 2020 (6y) | |
| Albert Bonner Williams | Registered representative | Jun 2020 (6y) | ||
| Brandon Curneen | Registered representative | CFP | Jun 2020 (6y) | |
| Brock Loen | Registered representative | Jun 2020 (6y) | ||
| Joanne Gordon | Registered representative | Jun 2020 (6y) | ||
| Karen Louise Bayuga | Registered representative | Jun 2020 (6y) | ||
| Kevin P Fay | Registered representative | Jun 2020 (6y) | ||
| Christopher Lee Gray | Registered representative | Jun 2020 (6y) | ||
| David Koldras | Registered representative | Jun 2020 (6y) | ||
| Timothy Anthony Scott | Registered representative | Jun 2020 (6y) | ||
| Adam Ross Rosenzweig | Registered representative | Jun 2020 (6y) | ||
| Chad Patrick Jorgensen | Registered representative | Jun 2020 (6y) | ||
| Donald Paul Glab | Registered representative | Jun 2020 (6y) | ||
| Jeffrey Marvin Lane | Registered representative | Jun 2020 (6y) | ||
| John Holland Ringgenberg | Registered representative | CFP Chartered Financial Consultant | Jun 2020 (6y) | |
| Kevin John Meyers | Registered representative | Jun 2020 (6y) | ||
| Laszlo Fodor | Registered representative | Jun 2020 (6y) | ||
| William J Mcdavid | Registered representative | CFP | Jun 2020 (6y) | |
| Gregg Allen Emch | Registered representative | Jun 2020 (6y) | ||
| Toby L. Strickland | Registered representative | Jun 2020 (6y) | ||
| Tyler Yoshio Takahata | Registered representative | Jun 2020 (6y) | ||
| Daniel Joseph Kinnear | Registered representative | Jul 2020 (6y) | ||
| Katharine Taylor Cain | Registered representative | Jul 2020 (6y) | ||
| Christopher Chance Copeland | Registered representative | CFP | Jul 2020 (6y) | |
| Ricardo J. Popovsky | Registered representative | Jul 2020 (6y) | ||
| Alonso Ivan Gomez Martinez | Registered representative | Jul 2020 (6y) | ||
| Christopher Scott Steel | Registered representative | Jul 2020 (6y) | ||
| Victoria Crissy Miller | Registered representative | Jul 2020 (6y) | ||
| Patrick Vincent Mackessy | Registered representative | Jul 2020 (6y) | ||
| Arthur Currie Gray | Registered representative | Jul 2020 (6y) | ||
| Brian Daniel Wiese | Registered representative | Jul 2020 (6y) | ||
| Justin Richard Breyer | Registered representative | Jul 2020 (6y) | ||
| Preetinder Kaur | Registered representative | Jul 2020 (6y) | ||
| Cynthia Evans Thibodaux | Registered representative | Jul 2020 (6y) | ||
| Osama Albibi | Registered representative | Jul 2020 (6y) | ||
| Charles Alan Bull | Registered representative | Jul 2020 (6y) | ||
| Crystal D Crawford | Registered representative | Jul 2020 (6y) | ||
| Beth Goodell | Registered representative | Jul 2020 (6y) | ||
| Deanna Brooke Wetherington | Registered representative | Jul 2020 (6y) | ||
| Susan Lavette Quintyne | Registered representative | Jul 2020 (6y) | ||
| Terri Ann Hudson | Registered representative | Jul 2020 (6y) | ||
| William Eugene Hardin | Registered representative | Jul 2020 (6y) | ||
| James D Jackson Jr | Registered representative | Jul 2020 (6y) | ||
| Daren Thomas Dahmer | Registered representative | CFP | Jul 2020 (6y) | |
| Sarah Torres | Registered representative | Jul 2020 (6y) | ||
| Jacqueline Schmidt | Registered representative | Jul 2020 (6y) | ||
| Christine D Watson | Registered representative | Jul 2020 (6y) | ||
| John Matthew Burns | Registered representative | CFP | Jul 2020 (6y) | |
| Craig Eric Isaacson | Registered representative | Aug 2020 (6y) | ||
| Daniella Christine Maag | Registered representative | Aug 2020 (6y) | ||
| Lori Wiese | Registered representative | Aug 2020 (6y) | ||
| James Arthur Hofman | Registered representative | Aug 2020 (6y) | ||
| John Erwin Hofman | Registered representative | Aug 2020 (6y) | ||
| Robert Stevens Hofman | Registered representative | Aug 2020 (6y) | ||
| Theodore William Hellman | Registered representative | Aug 2020 (6y) | ||
| Alex Paul Kuczka | Registered representative | Aug 2020 (6y) | ||
| John Greco | Registered representative | Aug 2020 (6y) | ||
| Joseph Aaron Matthew | Registered representative | Aug 2020 (6y) | ||
| Lilia Perez Middleton | Registered representative | Aug 2020 (6y) | ||
| Angela Marie Childers | Registered representative | Aug 2020 (6y) | ||
| Anthony Avella | Registered representative | Aug 2020 (6y) | ||
| Brett R Stoner | Registered representative | CFP Chartered Financial Consultant | Aug 2020 (6y) | |
| Jason Charles Sperber | Registered representative | Aug 2020 (6y) | ||
| Lesia Lynn Marino Brolinson | Registered representative | Aug 2020 (6y) | ||
| Rebecca Lea Klahn | Registered representative | Aug 2020 (6y) | ||
| Yuanhan Ji | Registered representative | Aug 2020 (6y) | ||
| Kenneth Patrick Lombino | Registered representative | Aug 2020 (6y) | ||
| Maricel C Dalere | Registered representative | Aug 2020 (6y) | ||
| Marc Edward Prda | Registered representative | Aug 2020 (6y) | ||
| Christopher Dennis | Registered representative | Aug 2020 (6y) | ||
| Daniel Epps | Registered representative | Aug 2020 (6y) | ||
| Heather Johnson | Registered representative | Aug 2020 (6y) | ||
| Emily Victoria Malone | Registered representative | Aug 2020 (6y) | ||
| James Avery Merritt | Registered representative | Aug 2020 (6y) | ||
| Partha Ravindra Shastri | Registered representative | Aug 2020 (6y) | ||
| Gregory Scott Boggs | Registered representative | Aug 2020 (6y) | ||
| Julia Tutarinova | Registered representative | Aug 2020 (6y) | ||
| Donna Hicko | Registered representative | Aug 2020 (6y) | ||
| Jerome D. King | Registered representative | Aug 2020 (6y) | ||
| Jeffrey Robert Berry | Registered representative | Aug 2020 (6y) | ||
| Kenneth Charles Zimmerman | Registered representative | CFA | Sep 2020 (6y) | |
| Rida Mohammad Said | Registered representative | Sep 2020 (6y) | ||
| Raymond A Oloteo | Registered representative | Sep 2020 (6y) | ||
| Lakisha Allen | Registered representative | Sep 2020 (6y) | ||
| Robert Steven Golden | Registered representative | Sep 2020 (6y) | ||
| John G Hurst | Registered representative | Sep 2020 (6y) | ||
| Joseph Andrew Wolf | Registered representative | Sep 2020 (6y) | ||
| Matthew Wiest | Registered representative | Sep 2020 (6y) | ||
| Nicole Clayton | Registered representative | Sep 2020 (6y) | ||
| Christopher L Jewell | Registered representative | Sep 2020 (6y) | ||
| Michael Radnothy | Registered representative | Sep 2020 (6y) | ||
| Kenneth Souser | Registered representative | Sep 2020 (6y) | ||
| Kelly Waite | Registered representative | Sep 2020 (6y) | ||
| Peter Richard Roberti | Registered representative | Sep 2020 (6y) | ||
| Rebecca Rankin Osterkamp | Registered representative | Sep 2020 (6y) | ||
| Brandon Fredman | Registered representative | Sep 2020 (6y) | ||
| Brian J Bauer | Registered representative | Sep 2020 (6y) | ||
| Christine M Mantich | Registered representative | Sep 2020 (6y) | ||
| Steven Alonzo | Registered representative | Sep 2020 (6y) | ||
| Tanjeema Shaheeda Islam | Registered representative | Sep 2020 (6y) | ||
| Brian Carter Keach | Registered representative | Sep 2020 (6y) | ||
| Damon Michael Deluties | Registered representative | CFP | Sep 2020 (6y) | |
| Dawn Marie Cobak | Registered representative | Sep 2020 (6y) | ||
| John Peter Boosalis | Registered representative | Sep 2020 (6y) | ||
| Kurt Thomas Rodriguez | Registered representative | Sep 2020 (6y) | ||
| Alan Macias | Registered representative | Sep 2020 (6y) | ||
| John Patterson Lamb | Registered representative | Sep 2020 (6y) | ||
| Spencer Gage Hoag | Registered representative | Sep 2020 (6y) | ||
| Scott Cunningham | Registered representative | Sep 2020 (6y) | ||
| Travis J Thompson | Registered representative | Sep 2020 (6y) | ||
| Aubri Paige Giguere | Registered representative | Sep 2020 (6y) | ||
| James Kaing | Registered representative | Sep 2020 (6y) | ||
| Travis J Harris | Registered representative | Sep 2020 (6y) | ||
| Jack Rutledge | Registered representative | Chartered Financial Consultant | Sep 2020 (6y) | |
| Jon Charles Frandell | Registered representative | Sep 2020 (6y) | ||
| Queenie Tu Binh Ngo | Registered representative | Sep 2020 (6y) | ||
| Tiffany Saxon Sandoval | Registered representative | Chartered Financial Consultant | Sep 2020 (6y) | |
| William Joseph Browne | Registered representative | Sep 2020 (6y) | ||
| Brian Scott Edgar | Registered representative | Oct 2020 (6y) | ||
| Jennifer Pettengill | Registered representative | Oct 2020 (6y) | ||
| Jonathan David Citrin | Registered representative | CFP | Oct 2020 (6y) | |
| Gregory Charles Zanker | Registered representative | Oct 2020 (6y) | ||
| Hugh Breslin | Registered representative | Oct 2020 (6y) | ||
| Jeffrey Downing | Registered representative | Oct 2020 (6y) | ||
| Philip Charles Allen | Registered representative | Oct 2020 (6y) | ||
| Raymond Stauffacher | Registered representative | Oct 2020 (6y) | ||
| Karen Medina Valadez | Registered representative | Oct 2020 (6y) | ||
| Matthew R Pirollo | Registered representative | CFP | Oct 2020 (6y) | |
| Michael Kevin Ehrhardt | Registered representative | Oct 2020 (6y) | ||
| Shahri Lin Moore | Registered representative | Oct 2020 (6y) | ||
| Anna Maria Lee | Registered representative | Oct 2020 (6y) | ||
| Corey Aschenbach | Registered representative | Oct 2020 (6y) | ||
| Jenni Christiansen | Registered representative | Oct 2020 (6y) | ||
| Stephen David Bouffard | Registered representative | Oct 2020 (6y) | ||
| Kevin Federico | Registered representative | Oct 2020 (6y) | ||
| Linda Mary Koszalka | Registered representative | Oct 2020 (6y) | ||
| Christopher Robert Waddill | Registered representative | Oct 2020 (6y) | ||
| Melanie Leigh Foster | Registered representative | Oct 2020 (6y) | ||
| Qingyin You | Registered representative | Oct 2020 (6y) | ||
| Tommie Lafayette Murphy | Registered representative | Oct 2020 (6y) | ||
| Caroline Rose Werlin | Registered representative | Oct 2020 (6y) | ||
| Chris Takumi Daniel | Registered representative | Oct 2020 (6y) | ||
| Denise Caudill Absher | Registered representative | Oct 2020 (6y) | ||
| Ricky Trieu Luong | Registered representative | Oct 2020 (6y) | ||
| Chris I O'brien | Registered representative | Chartered Financial Consultant | Oct 2020 (6y) | |
| Gregory Edward Podufal | Registered representative | Oct 2020 (6y) | ||
| Mathew Underwood | Registered representative | Oct 2020 (6y) | ||
| William Shaw Wick | Registered representative | Oct 2020 (6y) | ||
| Chelsea Nicole Jones | Registered representative | Oct 2020 (6y) | ||
| Daniel Seitz | Registered representative | Oct 2020 (6y) | ||
| David Degrandmont | Registered representative | Oct 2020 (6y) | ||
| Matthew Schirmer | Registered representative | Oct 2020 (6y) | ||
| Robert Bender | Registered representative | Oct 2020 (6y) | ||
| Samuel Harris Matlick | Registered representative | Oct 2020 (6y) | ||
| Houston Steele | Registered representative | Oct 2020 (6y) | ||
| Michelle Chavez | Registered representative | Oct 2020 (6y) | ||
| Erik Littlejohn | Registered representative | Oct 2020 (6y) | ||
| Apoorva Hitesh Patel | Registered representative | Oct 2020 (6y) | ||
| Felix Frank Salvatore | Registered representative | Oct 2020 (6y) | ||
| Mary Lillian Schweich | Registered representative | Oct 2020 (6y) | ||
| Randall Scott Cathcart | Registered representative | Oct 2020 (6y) | ||
| Carla Denton Batten | Registered representative | Oct 2020 (6y) | ||
| Christopher Eugene Cabri | Registered representative | CFP | Oct 2020 (6y) | |
| Christopher Patrick Tennyson | Registered representative | Oct 2020 (6y) | ||
| Thomas James Bell | Registered representative | Oct 2020 (6y) | ||
| Ryan Mills | Registered representative | Oct 2020 (6y) | ||
| Abdiel Eli Flores Perales | Registered representative | Oct 2020 (6y) | ||
| Diana C Rushton | Registered representative | Oct 2020 (6y) | ||
| Kody Rian Mcdaniel | Registered representative | Oct 2020 (6y) | ||
| Michelle Amy Shinall | Registered representative | Oct 2020 (6y) | ||
| Patrick Buschmohle Jr | Registered representative | Oct 2020 (6y) | ||
| Raul Figueroa | Registered representative | Oct 2020 (6y) | ||
| Roger Alan Nelson | Registered representative | Oct 2020 (6y) | ||
| Ruchir Manesh Shah | Registered representative | Oct 2020 (6y) | ||
| Todd Daniel Porter | Registered representative | Oct 2020 (6y) | ||
| Andrew Hilario Castaneda | Registered representative | Oct 2020 (6y) | ||
| Carolyn Marie Cannistraro | Registered representative | Oct 2020 (6y) | ||
| Francisco Rodriguez | Registered representative | Oct 2020 (6y) | ||
| Ireneo Jose Abot | Registered representative | Oct 2020 (6y) | ||
| Jose Jesus Rocha | Registered representative | Oct 2020 (6y) | ||
| Daniel K Lee | Registered representative | Oct 2020 (6y) | ||
| Monica Yolanda Lomeli | Registered representative | Oct 2020 (6y) | ||
| Rene Alexander Mendoza | Registered representative | Oct 2020 (6y) | ||
| Ryan Francis Tominaga | Registered representative | Oct 2020 (6y) | ||
| Zachary Scott Duncan | Registered representative | Oct 2020 (6y) | ||
| Jessica Michelle Harris | Registered representative | Nov 2020 (6y) | ||
| Joseph Kevin Cariello | Registered representative | Nov 2020 (6y) | ||
| William Taylor Blakeman | Registered representative | Nov 2020 (6y) | ||
| Michael Steven Cowley | Registered representative | Nov 2020 (6y) | ||
| Francisco De Jesus Ramirez | Registered representative | Nov 2020 (6y) | ||
| Tyler James Lapolice | Registered representative | Nov 2020 (6y) | ||
| Eric Buel Dubose | Registered representative | Nov 2020 (6y) | ||
| Bradford Clayton Ellis | Registered representative | Nov 2020 (6y) | ||
| Cary Michael Daly | Registered representative | Nov 2020 (6y) | ||
| Cole Robert William Jensen Handley | Registered representative | Nov 2020 (6y) | ||
| Kevin Hay | Registered representative | Nov 2020 (6y) | ||
| Krista Brown | Registered representative | Nov 2020 (6y) | ||
| Lalaine Palacio Hollmann | Registered representative | Nov 2020 (6y) | ||
| Nicholas Matthew Groom | Registered representative | Nov 2020 (6y) | ||
| Tatyana Kravtsova | Registered representative | Nov 2020 (6y) | ||
| Branden Ellison Howard | Registered representative | Nov 2020 (6y) | ||
| Jeffrey Kirk Horman | Registered representative | Nov 2020 (6y) | ||
| Jon Scott Lowther | Registered representative | Nov 2020 (6y) | ||
| Paul Leathem Leahy | Registered representative | Nov 2020 (6y) | ||
| Charmaine Dionne Ollie | Registered representative | Nov 2020 (6y) | ||
| Ronald Y Hidayat | Registered representative | Nov 2020 (6y) | ||
| Konstantinos Grigorakis | Registered representative | Nov 2020 (6y) | ||
| Richard Harding | Registered representative | Nov 2020 (6y) | ||
| Chad Pate | Registered representative | Nov 2020 (6y) | ||
| Henrik Ingemann Nielsen | Registered representative | Nov 2020 (6y) | ||
| Austen Hebdon | Registered representative | Nov 2020 (6y) | ||
| Ivy Jeaneen Johnson | Registered representative | Nov 2020 (6y) | ||
| Claudia Yaneth Bingham | Registered representative | Nov 2020 (6y) | ||
| Diana Camila Rosales Quintanilla | Registered representative | Nov 2020 (6y) | ||
| Jeffrey Jay Steichen | Registered representative | Nov 2020 (6y) | ||
| Phillip Thomas Wendt | Registered representative | CFP | Nov 2020 (6y) | |
| Richard Coronel | Registered representative | Nov 2020 (6y) | ||
| Jonathan Alexander Vargas | Registered representative | Nov 2020 (6y) | ||
| Patrick Timothy Neil | Registered representative | Nov 2020 (6y) | ||
| Tejinder Pal Kaur | Registered representative | Nov 2020 (6y) | ||
| Asuncion Espiritu Martinez | Registered representative | Nov 2020 (6y) | ||
| Carolyn Jean Jones | Registered representative | Nov 2020 (6y) | ||
| Edward Michael Sobrito | Registered representative | Nov 2020 (6y) | ||
| James Spencer Mccririe | Registered representative | Nov 2020 (6y) | ||
| Jana Michele Feathers | Registered representative | Nov 2020 (6y) | ||
| Jason Derrick Jones | Registered representative | Nov 2020 (6y) | ||
| Jesus Raul Sanchez | Registered representative | Nov 2020 (6y) | ||
| John Hoffman | Registered representative | Nov 2020 (6y) | ||
| Jose Bandoquillo Navarro | Registered representative | Nov 2020 (6y) | ||
| Lena Jane Ronzone | Registered representative | Nov 2020 (6y) | ||
| Mohammad Asif Shams | Registered representative | Nov 2020 (6y) | ||
| Oluwakemi Akinkugbe | Registered representative | Nov 2020 (6y) | ||
| Peter John Parla | Registered representative | Nov 2020 (6y) | ||
| Phuong Duy Thai Dang | Registered representative | CFP | Nov 2020 (6y) | |
| Rene Jose Crespo | Registered representative | Nov 2020 (6y) | ||
| Andrea Michelle Mclelland | Registered representative | Dec 2020 (6y) | ||
| Benjamin Cole Nathan | Registered representative | Dec 2020 (6y) | ||
| Ho Yan Tam | Registered representative | Dec 2020 (6y) | ||
| Joseph Anthony Ramirez | Registered representative | Dec 2020 (6y) | ||
| Nicole Luo | Registered representative | Dec 2020 (6y) | ||
| Thomas Austin Blakeley | Registered representative | Dec 2020 (6y) | ||
| Tiva Breeze Lewis | Registered representative | Dec 2020 (6y) | ||
| Tyler James Folk | Registered representative | Dec 2020 (6y) | ||
| Christopher Don Dickenson | Registered representative | Dec 2020 (6y) | ||
| James Richard Defilippi | Registered representative | Dec 2020 (6y) | ||
| Kenneth Ryan Lenfest | Registered representative | Dec 2020 (6y) | ||
| Scott Allen Walton | Registered representative | Dec 2020 (6y) | ||
| Domenico Dimaio | Registered representative | Dec 2020 (6y) | ||
| Evangelia Anderegg | Registered representative | Dec 2020 (6y) | ||
| Katie Laray Altomare | Registered representative | Dec 2020 (6y) | ||
| Kelly Ann Hagerman | Registered representative | Dec 2020 (6y) | ||
| Michael Piccolo | Registered representative | Dec 2020 (6y) | ||
| Samantha Young Awad | Registered representative | Dec 2020 (6y) | ||
| Daniel Philip Paden | Registered representative | Dec 2020 (6y) | ||
| Eric Caindec | Registered representative | Dec 2020 (6y) | ||
| James Keyes Watts | Registered representative | Dec 2020 (6y) | ||
| Jennifer Michelle Dauphin | Registered representative | Dec 2020 (6y) | ||
| John Paul Wyatt | Registered representative | Dec 2020 (6y) | ||
| Paul Murray Lefebvre | Registered representative | Dec 2020 (6y) | ||
| Viet Quoc Le | Registered representative | Dec 2020 (6y) | ||
| Berenice Diaz Garcia | Registered representative | Dec 2020 (6y) | ||
| Daniel Antigua | Registered representative | Dec 2020 (6y) | ||
| Shannon Gartland Pidgeon | Registered representative | Dec 2020 (6y) | ||
| David Romans | Registered representative | Dec 2020 (6y) | ||
| Donald Joseph Sklanka | Registered representative | Dec 2020 (6y) | ||
| James Mitchell Hartje | Registered representative | Dec 2020 (6y) | ||
| Jimmy G Tariga | Registered representative | Dec 2020 (6y) | ||
| Liliana Lopez Garcia | Registered representative | Dec 2020 (6y) | ||
| Mahsa Nobakht Fard | Registered representative | Dec 2020 (6y) | ||
| Michael Kevin Wagner | Registered representative | Dec 2020 (6y) | ||
| Teresa Morris Fisher | Registered representative | CFP | Dec 2020 (6y) | |
| Thomas Kosei Yamasaki | Registered representative | Dec 2020 (6y) | ||
| Zackary Michael Lardie | Registered representative | Dec 2020 (6y) | ||
| Adam Cronomiz | Registered representative | Dec 2020 (6y) | ||
| Benjamin Collins | Registered representative | Dec 2020 (6y) | ||
| Brian Jonathan Blanchard | Registered representative | Dec 2020 (6y) | ||
| Gregory Aaron Bolden | Registered representative | Dec 2020 (6y) | ||
| Jacqueline Lee Pulford | Registered representative | Dec 2020 (6y) | ||
| Jason John Deswarte | Registered representative | Dec 2020 (6y) | ||
| Kristen Marie Lahey | Registered representative | Dec 2020 (6y) | ||
| Mustafa Raofi | Registered representative | Dec 2020 (6y) | ||
| Norman Curtis Button | Registered representative | CFP | Dec 2020 (6y) | |
| Vlad Constantin Romaniuc | Registered representative | Dec 2020 (6y) | ||
| Bopha Lim | Registered representative | Dec 2020 (6y) | ||
| Marianne E Makari | Registered representative | Dec 2020 (6y) | ||
| Moises Arevalo | Registered representative | Dec 2020 (6y) | ||
| Rhonda Laurel Matthew | Registered representative | Dec 2020 (6y) | ||
| Kurtis Wade Abraham | Registered representative | Dec 2020 (6y) | ||
| Quincy Vaughn Harden | Registered representative | Dec 2020 (6y) | ||
| Thomas Luke Walton | Registered representative | Dec 2020 (6y) | ||
| Maddie Sinhang Lau | Registered representative | Dec 2020 (6y) | ||
| Analyn Sahachaisere | Registered representative | Dec 2020 (6y) | ||
| Benjamin Joseph Pryden | Registered representative | Dec 2020 (6y) | ||
| Daniel Enrique Luna | Registered representative | Dec 2020 (6y) | ||
| Michael William Simonian | Registered representative | Dec 2020 (6y) | ||
| Supreet Bhachoo | Registered representative | Dec 2020 (6y) | ||
| Adriana Valenzuela | Registered representative | Dec 2020 (6y) | ||
| Kevin James Cihlar | Registered representative | Dec 2020 (6y) | ||
| Rajesh Gulrajani | Registered representative | Dec 2020 (6y) | ||
| Janine M Dickman | Registered representative | Dec 2020 (6y) | ||
| Brian J Ogent | Registered representative | Dec 2020 (6y) | ||
| Ruth An Garcia Eubanks | Registered representative | Dec 2020 (6y) | ||
| Miguel Melero | Registered representative | Dec 2020 (6y) | ||
| Diana Edith Cortez | Registered representative | Dec 2020 (6y) | ||
| Katrina Renee Romney | Registered representative | Dec 2020 (6y) | ||
| Nathaniel Rolland | Registered representative | Dec 2020 (6y) | ||
| Jacqueline Marie Barrios | Registered representative | Dec 2020 (6y) | ||
| Scott Holden Mosley | Registered representative | Dec 2020 (6y) | ||
| Daniel John Whitmoor Pryer | Registered representative | Jan 2021 (6y) | ||
| Barry J Holm | Registered representative | Jan 2021 (6y) | ||
| Audrianna Islas | Registered representative | Jan 2021 (6y) | ||
| David Yoder | Registered representative | CFP | Jan 2021 (6y) | |
| Matthew Ingrassia | Registered representative | Jan 2021 (6y) | ||
| Amy Frances Loring | Registered representative | Jan 2021 (6y) | ||
| Daniel Michael Calarco | Registered representative | Jan 2021 (6y) | ||
| Elizabeth D Peper | Registered representative | Jan 2021 (6y) | ||
| Elizabeth Jane Meyer | Registered representative | Jan 2021 (6y) | ||
| Marvin Jose Rosario | Registered representative | Jan 2021 (6y) | ||
| Wasaf Ali | Registered representative | Jan 2021 (6y) | ||
| Adam King | Registered representative | Jan 2021 (6y) | ||
| Ahmed Razi | Registered representative | Jan 2021 (6y) | ||
| Andrew Ramsey | Registered representative | Jan 2021 (6y) | ||
| Catherine Barbara Bates | Registered representative | Jan 2021 (6y) | ||
| Joel Stephen Mcgovern | Registered representative | Jan 2021 (6y) | ||
| Americo Joseph Santella | Registered representative | Jan 2021 (6y) | ||
| Gerardo Barajas | Registered representative | Jan 2021 (6y) | ||
| Joseph Francisco Suarez | Registered representative | Jan 2021 (6y) | ||
| Otto Manuel Cruz | Registered representative | Jan 2021 (6y) | ||
| Robert Lee Bagby | Registered representative | CFP | Jan 2021 (6y) | |
| Dorothy Canonigo Zabala | Registered representative | Jan 2021 (6y) | ||
| George J Ernst | Registered representative | Jan 2021 (6y) | ||
| Keihan Lamar | Registered representative | Jan 2021 (6y) | ||
| Patricia Chapple | Registered representative | Jan 2021 (6y) | ||
| Rose Marie Silva | Registered representative | Jan 2021 (6y) | ||
| Ryan Dean Pytleski | Registered representative | Jan 2021 (6y) | ||
| Thu Duong | Registered representative | Jan 2021 (6y) | ||
| Cynthia Schlitter | Registered representative | CFP | Jan 2021 (6y) | |
| Gregory Kosal | Registered representative | Jan 2021 (6y) | ||
| Kelvin Vinh Lam | Registered representative | Jan 2021 (6y) | ||
| Adriana Martinez Cortez | Registered representative | Jan 2021 (6y) | ||
| Bao Viet Dang | Registered representative | Jan 2021 (6y) | ||
| Charles Thomas Sharman | Registered representative | CFP | Jan 2021 (6y) | |
| Joey Beason | Registered representative | Jan 2021 (6y) | ||
| Kinberly Urieta | Registered representative | Jan 2021 (6y) | ||
| Melissa Lee Tabayoyong | Registered representative | Jan 2021 (6y) | ||
| Satbir Singh | Registered representative | Jan 2021 (6y) | ||
| Svetlana Maksimovic | Registered representative | Jan 2021 (6y) | ||
| Armando Campos | Registered representative | Jan 2021 (6y) | ||
| Brittany Sherelle Ganter | Registered representative | Jan 2021 (6y) | ||
| Jin Sook An | Registered representative | Jan 2021 (6y) | ||
| Kambiz Tangestanifar | Registered representative | Jan 2021 (6y) | ||
| Lufino Mejorado | Registered representative | Jan 2021 (6y) | ||
| Ruchika Ryan Mays | Registered representative | Jan 2021 (6y) | ||
| Sterling William Quick | Registered representative | Jan 2021 (6y) | ||
| Christopher Anthony Osso | Registered representative | Jan 2021 (6y) | ||
| Gerald Soucia | Registered representative | CFP | Jan 2021 (6y) | |
| Grant Jordan Ditmar | Registered representative | Jan 2021 (6y) | ||
| Victor Daniel Gonzales | Registered representative | Jan 2021 (6y) | ||
| Ivan Vladimir De La Hoya Meza | Registered representative | Jan 2021 (6y) | ||
| John Charles Wong | Registered representative | CFP | Jan 2021 (6y) | |
| Johnathan Luke Hausinger | Registered representative | Jan 2021 (6y) | ||
| Lawrence B Jay | Registered representative | Jan 2021 (6y) | ||
| Richard Glenn Hausler | Registered representative | Jan 2021 (6y) | ||
| David Jesus Garcia | Registered representative | Jan 2021 (6y) | ||
| Jayson Slobodzian | Registered representative | Jan 2021 (6y) | ||
| Allen Martin | Registered representative | Jan 2021 (6y) | ||
| Cedric Trumaine Haynes | Registered representative | Jan 2021 (6y) | ||
| Corey Somarriba | Registered representative | Jan 2021 (6y) | ||
| Gianni Brian Stillo | Registered representative | Jan 2021 (6y) | ||
| John F Akers | Registered representative | Jan 2021 (6y) | ||
| Benjamin Louis Hrabak | Registered representative | Jan 2021 (6y) | ||
| Jorel Demond Claiborne | Registered representative | Jan 2021 (6y) | ||
| Niya Xie | Registered representative | Jan 2021 (6y) | ||
| Sheldon Gar Chun Lee | Registered representative | Jan 2021 (6y) | ||
| Alana Kyprianou | Registered representative | Jan 2021 (6y) | ||
| Jennifer Ellman | Registered representative | Jan 2021 (6y) | ||
| Joel Harvey Cope | Registered representative | Jan 2021 (6y) | ||
| Francis Lucash | Registered representative | Jan 2021 (6y) | ||
| Francis S Jarmusik | Registered representative | Jan 2021 (6y) | ||
| Jeffrey Paul Caden | Registered representative | Jan 2021 (6y) | ||
| Rohini Raghubans | Registered representative | Jan 2021 (6y) | ||
| Shirley S. Taylor | Registered representative | Jan 2021 (6y) | ||
| Beatriz Casado | Registered representative | Jan 2021 (6y) | ||
| Keith Gandy | Registered representative | Jan 2021 (6y) | ||
| Patrick John Furnstahl | Registered representative | Feb 2021 (6y) | ||
| Bertha Lucia Pinilla | Registered representative | Feb 2021 (5y) | ||
| Daniela Nazar | Registered representative | Feb 2021 (5y) | ||
| Garrison Michael Smith | Registered representative | Feb 2021 (5y) | ||
| Joseph G Whatton | Registered representative | Feb 2021 (5y) | ||
| Pierre Rumenigay Chery | Registered representative | Feb 2021 (5y) | ||
| Sagar Mainali | Registered representative | Feb 2021 (5y) | ||
| Timothy J Roach | Registered representative | Feb 2021 (5y) | ||
| Wayne Christopher Hildenbrand | Registered representative | Feb 2021 (5y) | ||
| Bhawna Kochhar | Registered representative | Feb 2021 (5y) | ||
| Dylan Peter Del Re | Registered representative | Feb 2021 (5y) | ||
| Kenny Joseph Giacomini | Registered representative | Feb 2021 (5y) | ||
| Lester Lee Hardy | Registered representative | Feb 2021 (5y) | ||
| Matthew Deluca Cannon | Registered representative | Feb 2021 (5y) | ||
| Megan Lydia Juliar | Registered representative | Feb 2021 (5y) | ||
| Nicholas Michael Tidwell | Registered representative | Feb 2021 (5y) | ||
| Orlando Vasquez | Registered representative | Feb 2021 (5y) | ||
| Silvia Elizabeth Hernandez | Registered representative | Feb 2021 (5y) | ||
| Tara Lynn Hinzman | Registered representative | Feb 2021 (5y) | ||
| Tyler Robert Brooks | Registered representative | Feb 2021 (5y) | ||
| Veronika Anita Mars | Registered representative | Feb 2021 (5y) | ||
| Xenia Janette Sedano | Registered representative | Feb 2021 (5y) | ||
| Edilia Leyva Noa | Registered representative | Feb 2021 (5y) | ||
| Jagmohan Singh | Registered representative | Feb 2021 (5y) | ||
| Kyla Marie Martinez | Registered representative | Feb 2021 (5y) | ||
| Raymond Edward Mccarty | Registered representative | Feb 2021 (5y) | ||
| Vivian Thu Hoang | Registered representative | Feb 2021 (5y) | ||
| Albert Songnam Huynh | Registered representative | Feb 2021 (5y) | ||
| Andrew Michael Segal | Registered representative | Feb 2021 (5y) | ||
| Dennis James William Cowell | Registered representative | Feb 2021 (5y) | ||
| Shoaib Sarwar | Registered representative | Feb 2021 (5y) | ||
| Abdirahim Elmi Isaq | Registered representative | Feb 2021 (5y) | ||
| Anthony Armando Demarco | Registered representative | Feb 2021 (5y) | ||
| Carmen Elena Santana Coto | Registered representative | Feb 2021 (5y) | ||
| Cassandra Jo Conover | Registered representative | Feb 2021 (5y) | ||
| Christopher Lewis Skees | Registered representative | Feb 2021 (5y) | ||
| Christopher Robert Housel | Registered representative | CFP | Feb 2021 (5y) | |
| Jessi James Yzaguirre | Registered representative | Feb 2021 (5y) | ||
| Teresa J Wiggins | Registered representative | Feb 2021 (5y) | ||
| Wendy Lynn Jershky | Registered representative | Feb 2021 (5y) | ||
| Atiqur Rahman Tilok | Registered representative | Feb 2021 (5y) | ||
| Lance W Adicks | Registered representative | Feb 2021 (5y) | ||
| Lilian Senra Vera | Registered representative | Feb 2021 (5y) | ||
| Yousef Bittar | Registered representative | Feb 2021 (5y) | ||
| Anthony Joseph Durham | Registered representative | Feb 2021 (5y) | ||
| Tingting Wu | Registered representative | Feb 2021 (5y) | ||
| Miriam Fernandez Martin | Registered representative | Feb 2021 (5y) | ||
| Rodrigo Leon | Registered representative | Feb 2021 (5y) | ||
| Helen Dritakis | Registered representative | Feb 2021 (5y) | ||
| Sean Patrick Mcgerr | Registered representative | Feb 2021 (5y) | ||
| Ngoc Kim Tran | Registered representative | Feb 2021 (5y) | ||
| Bruce Howard Chmara | Registered representative | Feb 2021 (5y) | ||
| Suzanne Marie Funk | Registered representative | Feb 2021 (5y) | ||
| Colin T Roddy | Registered representative | Feb 2021 (5y) | ||
| Gregg Stuart Kaufman | Registered representative | Feb 2021 (5y) | ||
| Irene Warner | Registered representative | Feb 2021 (5y) | ||
| Jennifer Lynn Hopkins | Registered representative | Feb 2021 (5y) | ||
| Mark David Manchester | Registered representative | Feb 2021 (5y) | ||
| Stanley Alpert | Registered representative | Feb 2021 (5y) | ||
| Travis David Fredericks | Registered representative | Feb 2021 (5y) | ||
| Brian Donlon | Registered representative | Feb 2021 (5y) | ||
| Michael Jacinth Nguyen | Registered representative | Feb 2021 (5y) | ||
| Sumeet Jain | Registered representative | Feb 2021 (5y) | ||
| Teresa Guadalupe Lujan | Registered representative | Feb 2021 (5y) | ||
| Genevieve Claire Coan | Registered representative | CFP | Feb 2021 (5y) | |
| Jose Antonio Limones | Registered representative | Feb 2021 (5y) | ||
| Matthew Osborne Garrigan | Registered representative | Feb 2021 (5y) | ||
| Jeffrey Blake Sloan | Registered representative | Mar 2021 (5y) | ||
| Brenda Marie Duggan | Registered representative | Mar 2021 (5y) | ||
| David Ian Soloway | Registered representative | CFP | Mar 2021 (5y) | |
| Hugh Mack Sloan | Registered representative | Mar 2021 (5y) | ||
| Thomas Johnson | Registered representative | Mar 2021 (5y) | ||
| Wendy R Peppers | Registered representative | Mar 2021 (5y) | ||
| Alcides Hernan Gonzalez Villatoro | Registered representative | Mar 2021 (5y) | ||
| Brytt Christensen | Registered representative | Mar 2021 (5y) | ||
| Paul D Rutsky | Registered representative | Mar 2021 (5y) | ||
| Pema Tenzin | Registered representative | Mar 2021 (5y) | ||
| Anupa Pandey | Registered representative | Mar 2021 (5y) | ||
| John Joseph Murphy | Registered representative | Mar 2021 (5y) | ||
| Aissatou Fall | Registered representative | Mar 2021 (5y) | ||
| Diane Ellen Don | Registered representative | CFP | Mar 2021 (5y) | |
| Gabriel Rafael Gomez | Registered representative | Mar 2021 (5y) | ||
| Peter Anthony Palmieri | Registered representative | Mar 2021 (5y) | ||
| Rebecca Michelle Horrell | Registered representative | Mar 2021 (5y) | ||
| Reid William Matthews | Registered representative | CFP | Mar 2021 (5y) | |
| Angelita Geronimo Kamholz | Registered representative | Mar 2021 (5y) | ||
| Irish Sollorin Jackson | Registered representative | Mar 2021 (5y) | ||
| Keith Adam Phillips | Registered representative | Mar 2021 (5y) | ||
| Kendra Elizabeth Klahr | Registered representative | Mar 2021 (5y) | ||
| Laura Patricia Arrevillaga | Registered representative | Mar 2021 (5y) | ||
| Mireille Araman Jraige | Registered representative | Mar 2021 (5y) | ||
| Robert Ryan Pross | Registered representative | CFP | Mar 2021 (5y) | |
| Steffen C Hellert | Registered representative | CFP | Mar 2021 (5y) | |
| Susan Ann Kershner | Registered representative | Mar 2021 (5y) | ||
| Elita Luzzi | Registered representative | Mar 2021 (5y) | ||
| Frederick N Mastromarino | Registered representative | Mar 2021 (5y) | ||
| Gabriella Gordana Gacinovic | Registered representative | Mar 2021 (5y) | ||
| Klejdi Meta | Registered representative | Mar 2021 (5y) | ||
| Michael Kevin Woodrow | Registered representative | Mar 2021 (5y) | ||
| Raelawn Patrece Dawson | Registered representative | Mar 2021 (5y) | ||
| Gagandeep Kaur | Registered representative | Mar 2021 (5y) | ||
| Jeffrey Scott Fiss | Registered representative | Mar 2021 (5y) | ||
| Kimberly Ann Watkinson | Registered representative | Mar 2021 (5y) | ||
| Loreto Thomas Testani | Registered representative | Mar 2021 (5y) | ||
| Matthew Garret Gross | Registered representative | Mar 2021 (5y) | ||
| Benjamin Adam Simes | Registered representative | Mar 2021 (5y) | ||
| Benjamin Francis Segura | Registered representative | Mar 2021 (5y) | ||
| Dipanki Maulik Shah | Registered representative | Mar 2021 (5y) | ||
| Vahe Movsesyan | Registered representative | Mar 2021 (5y) | ||
| Sheena Lyn Rodriguez | Registered representative | Mar 2021 (5y) | ||
| Aidin Soltani Hendesi | Registered representative | Mar 2021 (5y) | ||
| Carolyn Ogrady | Registered representative | Mar 2021 (5y) | ||
| Jason Patrick Van Tassel | Registered representative | Mar 2021 (5y) | ||
| Stacey Ann Baker | Registered representative | Mar 2021 (5y) | ||
| Jamie Joohee Ha Obrien | Registered representative | Mar 2021 (5y) | ||
| Mark Robert Dilling | Registered representative | Mar 2021 (5y) | ||
| Vicki Marie Winterbottom | Registered representative | Mar 2021 (5y) | ||
| Bryan Clyde Kilfoy | Registered representative | Mar 2021 (5y) | ||
| Colin Michael Rafferty | Registered representative | Mar 2021 (5y) | ||
| Gregory Boston | Registered representative | Mar 2021 (5y) | ||
| Leroy Churchville Vinson | Registered representative | Mar 2021 (5y) | ||
| Thomas Joseph Gorman | Registered representative | Mar 2021 (5y) | ||
| Chirag N Delwadia | Registered representative | CFP | Mar 2021 (5y) | |
| Christopher Chambers | Registered representative | Mar 2021 (5y) | ||
| Jeremy Ray Stephens | Registered representative | Mar 2021 (5y) | ||
| Justin Matthew Webb | Registered representative | Mar 2021 (5y) | ||
| Katherine Faris Standard | Registered representative | Mar 2021 (5y) | ||
| Kristiane Patrick Sweeney | Registered representative | Mar 2021 (5y) | ||
| Mervin Jesson Gicaraya Uy | Registered representative | Mar 2021 (5y) | ||
| Rodolfo Ruiz | Registered representative | Mar 2021 (5y) | ||
| Steven M Ragan | Registered representative | Mar 2021 (5y) | ||
| Felipe Andres Gaitan | Registered representative | Mar 2021 (5y) | ||
| Gregory Jose Gonzalez Gamboa | Registered representative | Mar 2021 (5y) | ||
| Shetal Patel Mckenney | Registered representative | Mar 2021 (5y) | ||
| Will D Coleman | Registered representative | Mar 2021 (5y) | ||
| Cassandra Rodriguez | Registered representative | Mar 2021 (5y) | ||
| Janette R Neal | Registered representative | Mar 2021 (5y) | ||
| Mable Chiu Fai Tsui | Registered representative | Mar 2021 (5y) | ||
| Morgan Marianne Carter | Registered representative | Mar 2021 (5y) | ||
| Rhett B Bailey | Registered representative | Mar 2021 (5y) | ||
| Kathleen Michelle Hogan | Registered representative | Apr 2021 (5y) | ||
| Rasha Hassan Hassan Mesharafa | Registered representative | Apr 2021 (5y) | ||
| Suzan Sabri Alias | Registered representative | Apr 2021 (5y) | ||
| Andy Perez Sosa | Registered representative | Apr 2021 (5y) | ||
| Felipe D Sanchez | Registered representative | Apr 2021 (5y) | ||
| Leticia Marie Garcia | Registered representative | Apr 2021 (5y) | ||
| Michael John Perry | Registered representative | Apr 2021 (5y) | ||
| Nestor Daniel Leyva | Registered representative | Apr 2021 (5y) | ||
| Sara Magdalena Ticas | Registered representative | Apr 2021 (5y) | ||
| Zeyn Ali | Registered representative | Apr 2021 (5y) | ||
| Babita Vijay Samtani | Registered representative | Apr 2021 (5y) | ||
| Garrett Joseph Gilardi | Registered representative | Apr 2021 (5y) | ||
| Jim Edward Brito | Registered representative | Apr 2021 (5y) | ||
| Marco Antonio Bobadilla | Registered representative | Apr 2021 (5y) | ||
| Sean Richard Broker | Registered representative | Apr 2021 (5y) | ||
| Hanh T Nguyen | Registered representative | Apr 2021 (5y) | ||
| Molly A Malek | Registered representative | Apr 2021 (5y) | ||
| Adnan Waheed Khan | Registered representative | Apr 2021 (5y) | ||
| Benjamin Franklin Ellis | Registered representative | Apr 2021 (5y) | ||
| Stephen T Foody | Registered representative | Apr 2021 (5y) | ||
| Christopher Malmevik | Registered representative | Apr 2021 (5y) | ||
| Eliot Michael Shatzman | Registered representative | Apr 2021 (5y) | ||
| Humberto Castulo Cruz Ortiz | Registered representative | Apr 2021 (5y) | ||
| Smita Rajendran Menon | Registered representative | Apr 2021 (5y) | ||
| William Armando Swink | Registered representative | Apr 2021 (5y) | ||
| Darrien Darrell Cooper | Registered representative | Apr 2021 (5y) | ||
| Amy Zhang Liu | Registered representative | Apr 2021 (5y) | ||
| Jeremy Lee Adams | Registered representative | Apr 2021 (5y) | ||
| Kelly Nicole Lynn | Registered representative | Apr 2021 (5y) | ||
| Lenka Villani | Registered representative | Apr 2021 (5y) | ||
| Vincent Siracusa | Registered representative | Apr 2021 (5y) | ||
| Zachary Tyler Bratz | Registered representative | Apr 2021 (5y) | ||
| Elena Vladislavna Bogomolova | Registered representative | Apr 2021 (5y) | ||
| Erica Denise Brown | Registered representative | Apr 2021 (5y) | ||
| Maria Theresa Laguna | Registered representative | Apr 2021 (5y) | ||
| Yanis Castano Uribe | Registered representative | Apr 2021 (5y) | ||
| Deborah Lynn Williams | Registered representative | Apr 2021 (5y) | ||
| Gene H Harrison | Registered representative | CFP CFA | Apr 2021 (5y) | |
| Megan Elizabeth Johnstone | Registered representative | Apr 2021 (5y) | ||
| Alison Castle | Registered representative | Apr 2021 (5y) | ||
| Evonne T Heykens | Registered representative | Apr 2021 (5y) | ||
| Joshua Frank Clay | Registered representative | Apr 2021 (5y) | ||
| Fiona A Lam | Registered representative | Apr 2021 (5y) | ||
| Matthew Allen Halker | Registered representative | Apr 2021 (5y) | ||
| William Terrell | Registered representative | Apr 2021 (5y) | ||
| Michael George Stockmal | Registered representative | Apr 2021 (5y) | ||
| Stella Nkpa | Registered representative | Apr 2021 (5y) | ||
| Dan Pomerantz | Registered representative | CFP | Apr 2021 (5y) | |
| Joseph Nicholas Gaunt | Registered representative | Apr 2021 (5y) | ||
| Kimberly Stasen | Registered representative | Apr 2021 (5y) | ||
| Anna Cheng | Registered representative | Apr 2021 (5y) | ||
| Amy Long | Registered representative | Apr 2021 (5y) | ||
| Kara Keys | Registered representative | Apr 2021 (5y) | ||
| Mark Anthony Michelsen | Registered representative | Apr 2021 (5y) | ||
| Paul Ivan Curtis | Registered representative | Apr 2021 (5y) | ||
| Amanda Mcdougall | Registered representative | Apr 2021 (5y) | ||
| Newara Fatima | Registered representative | Apr 2021 (5y) | ||
| Casey William Stick | Registered representative | Apr 2021 (5y) | ||
| James Donald Gunn | Registered representative | Apr 2021 (5y) | ||
| Jenifer Spencer Gunn | Registered representative | Apr 2021 (5y) | ||
| Alma Reyna Arguijo | Registered representative | Apr 2021 (5y) | ||
| Gordon Y Lau | Registered representative | Apr 2021 (5y) | ||
| Justin Hayden Woelper | Registered representative | Apr 2021 (5y) | ||
| Kenneth Edward Clevenger | Registered representative | Apr 2021 (5y) | ||
| Ali Ghassan Haidar | Registered representative | Apr 2021 (5y) | ||
| Angel Ivan Cruz | Registered representative | May 2021 (5y) | ||
| April Dawn Clark | Registered representative | CFP | May 2021 (5y) | |
| Frederic August Luyties | Registered representative | CFA | May 2021 (5y) | |
| Mark Christon Smith | Registered representative | May 2021 (5y) | ||
| Ryan Crossley | Registered representative | May 2021 (5y) | ||
| Thomas William Moore | Registered representative | May 2021 (5y) | ||
| Chase Robert Hanson | Registered representative | May 2021 (5y) | ||
| Katherine Barbato Riechmann | Registered representative | May 2021 (5y) | ||
| Sophie Ventura | Registered representative | May 2021 (5y) | ||
| Chien Nguyen | Registered representative | May 2021 (5y) | ||
| Danny Nguyen | Registered representative | May 2021 (5y) | ||
| Rose Wayne | Registered representative | May 2021 (5y) | ||
| Judah Khane St Amand | Registered representative | May 2021 (5y) | ||
| Anthony Franco | Registered representative | May 2021 (5y) | ||
| Aruna Devi Persaud | Registered representative | May 2021 (5y) | ||
| Brittany Lea Bonde | Registered representative | May 2021 (5y) | ||
| Crystal Priscilla Gomez | Registered representative | May 2021 (5y) | ||
| Daniel Mintae Kim | Registered representative | May 2021 (5y) | ||
| Humberto Enrique Olivares | Registered representative | May 2021 (5y) | ||
| Jarret Sedlacek | Registered representative | May 2021 (5y) | ||
| Reginal Prasad | Registered representative | May 2021 (5y) | ||
| Sagar Singh | Registered representative | May 2021 (5y) | ||
| Brian Michael Rosenfield | Registered representative | May 2021 (5y) | ||
| Gary Mark Kravitz | Registered representative | May 2021 (5y) | ||
| Jennifer Peiffer | Registered representative | May 2021 (5y) | ||
| Kashi Yoshikawa | Registered representative | May 2021 (5y) | ||
| Lane Randall Schorsch | Registered representative | May 2021 (5y) | ||
| Mark Joseph Tremaine | Registered representative | May 2021 (5y) | ||
| Cesar Alejandro Rivera Villegas | Registered representative | May 2021 (5y) | ||
| Christian Szabo | Registered representative | May 2021 (5y) | ||
| Cindy Rodriguez | Registered representative | May 2021 (5y) | ||
| Michael David Assante | Registered representative | May 2021 (5y) | ||
| Saeideh Mahinfar | Registered representative | May 2021 (5y) | ||
| Thomas Tran | Registered representative | May 2021 (5y) | ||
| Karen Selene Prudencio | Registered representative | May 2021 (5y) | ||
| Michael Yoder | Registered representative | May 2021 (5y) | ||
| Robert Paul Barberis | Registered representative | May 2021 (5y) | ||
| Alexander Mason | Registered representative | May 2021 (5y) | ||
| Ikechukwu Chukwudi Oguh | Registered representative | May 2021 (5y) | ||
| Stephen Howard Riddle | Registered representative | May 2021 (5y) | ||
| Elva Veronica Simeon | Registered representative | May 2021 (5y) | ||
| George Chi On | Registered representative | May 2021 (5y) | ||
| Jesus Emmanuel Manriquez | Registered representative | May 2021 (5y) | ||
| Andrew Guelker | Registered representative | May 2021 (5y) | ||
| Jared M Plushnick | Registered representative | CFP | May 2021 (5y) | |
| Nabila Khan | Registered representative | May 2021 (5y) | ||
| Anthony Lee Gaines | Registered representative | May 2021 (5y) | ||
| Margaret Mcintyre | Registered representative | May 2021 (5y) | ||
| Vicky Weber | Registered representative | May 2021 (5y) | ||
| Dylan Randazzo | Registered representative | May 2021 (5y) | ||
| Manuel S Rojas | Registered representative | May 2021 (5y) | ||
| Rachel Virginia Eaton | Registered representative | May 2021 (5y) | ||
| Spike Trueworthy | Registered representative | CFP | May 2021 (5y) | |
| Lorne H Maltenfort | Registered representative | May 2021 (5y) | ||
| Gregory James Sabala | Registered representative | May 2021 (5y) | ||
| Julie Barbara Mccabe | Registered representative | May 2021 (5y) | ||
| John Fiorita | Registered representative | May 2021 (5y) | ||
| Scott Elliott Commander | Registered representative | May 2021 (5y) | ||
| Vincent John Roth | Registered representative | May 2021 (5y) | ||
| Wendy Maria Campos | Registered representative | May 2021 (5y) | ||
| Nathan Christian Rackham | Registered representative | Jun 2021 (5y) | ||
| Christine Marie Bennett | Registered representative | Jun 2021 (5y) | ||
| Christopher Aaron Inglehart | Registered representative | Jun 2021 (5y) | ||
| Kevin David Wright | Registered representative | Jun 2021 (5y) | ||
| Samuel Bentley Tucker | Registered representative | Jun 2021 (5y) | ||
| Todd Michael Johnson | Registered representative | Jun 2021 (5y) | ||
| Adam Olszowy | Registered representative | Jun 2021 (5y) | ||
| James F Watt | Registered representative | Jun 2021 (5y) | ||
| Julia Emily Jarrett | Registered representative | Jun 2021 (5y) | ||
| Matthew Bouapha | Registered representative | Jun 2021 (5y) | ||
| Nickolas Steven Venetos | Registered representative | CFP | Jun 2021 (5y) | |
| Anthony Kiser | Registered representative | Jun 2021 (5y) | ||
| Colin Scot Cassady | Registered representative | Jun 2021 (5y) | ||
| Heather Nicole Huntley | Registered representative | Jun 2021 (5y) | ||
| Kim Hoang Pham | Registered representative | Jun 2021 (5y) | ||
| Taylor Jane Mustoe | Registered representative | Jun 2021 (5y) | ||
| Thomas James Bornaschella | Registered representative | Jun 2021 (5y) | ||
| Zachary Hunter Giffin | Registered representative | Jun 2021 (5y) | ||
| Bennett Nicholas Spartz | Registered representative | Jun 2021 (5y) | ||
| Daniel Alberto Morato | Registered representative | Jun 2021 (5y) | ||
| Evan F Williams | Registered representative | Jun 2021 (5y) | ||
| George Frederick Miguel Angulo | Registered representative | Jun 2021 (5y) | ||
| Carlos Alberto Cabrera | Registered representative | Jun 2021 (5y) | ||
| Curtis Ishler | Registered representative | Jun 2021 (5y) | ||
| Joseph Webber | Registered representative | CFP | Jun 2021 (5y) | |
| Pravin Kumar | Registered representative | Jun 2021 (5y) | ||
| Heather Erin May | Registered representative | Jun 2021 (5y) | ||
| Nicholas Manuel Rodriguez | Registered representative | Jun 2021 (5y) | ||
| Babak Adeli | Registered representative | Jun 2021 (5y) | ||
| Joseph Matthew Jeffcott | Registered representative | Jun 2021 (5y) | ||
| Adam Gregory Sollie | Registered representative | Jun 2021 (5y) | ||
| Anthony Jerome Calderone | Registered representative | Jun 2021 (5y) | ||
| Hongshing Chen | Registered representative | Jun 2021 (5y) | ||
| Rekha Mukesh Trivedi | Registered representative | Jun 2021 (5y) | ||
| Daniel Willis | Registered representative | Jun 2021 (5y) | ||
| Emilyanne Lozier Rance Schmitt | Registered representative | Jun 2021 (5y) | ||
| Gabriela Arias Esquiu | Registered representative | Jun 2021 (5y) | ||
| Merwan Abssi | Registered representative | Jun 2021 (5y) | ||
| Nichole Griffin Fox | Registered representative | Jun 2021 (5y) | ||
| Oscar Manuel Vargas | Registered representative | Jun 2021 (5y) | ||
| Robert Kevin Blair | Registered representative | Jun 2021 (5y) | ||
| Tami K. Rovall | Registered representative | Jun 2021 (5y) | ||
| Beata Kulesza | Registered representative | Jun 2021 (5y) | ||
| Benjamin Guy Sharpe | Registered representative | Jun 2021 (5y) | ||
| Brian Daniel Adelberger | Registered representative | Jun 2021 (5y) | ||
| Charles Erik Halloran | Registered representative | Jun 2021 (5y) | ||
| David Francis Appel | Registered representative | Jun 2021 (5y) | ||
| Mahfuz Hassan | Registered representative | Jun 2021 (5y) | ||
| Patricia Marie Hartnett | Registered representative | Jun 2021 (5y) | ||
| Fatin Alkhaleel | Registered representative | Jun 2021 (5y) | ||
| Gary Brian Remp | Registered representative | Jun 2021 (5y) | ||
| Gary Paul Davidowich | Registered representative | Jun 2021 (5y) | ||
| Jason Richard Smith | Registered representative | Jun 2021 (5y) | ||
| John Michael Suozzo | Registered representative | Jun 2021 (5y) | ||
| Jonathan Broadus Tuggle | Registered representative | CFP | Jun 2021 (5y) | |
| Joseph Steven Barbuto | Registered representative | Jun 2021 (5y) | ||
| Kevin Andrew Young | Registered representative | Jun 2021 (5y) | ||
| Mariam Sara Kiyam | Registered representative | Jun 2021 (5y) | ||
| Mauricio Espinoza | Registered representative | Jun 2021 (5y) | ||
| Mohammed Ezzat Korany | Registered representative | Jun 2021 (5y) | ||
| Philip Michael Frascarelli | Registered representative | Jun 2021 (5y) | ||
| Ronald Alexander Ashok Thakur | Registered representative | Jun 2021 (5y) | ||
| Jacqueline Escobar | Registered representative | Jun 2021 (5y) | ||
| Khalid Bashir | Registered representative | Jun 2021 (5y) | ||
| Sandra Haidao | Registered representative | Jun 2021 (5y) | ||
| Antoine Rafeel Stewart | Registered representative | Jun 2021 (5y) | ||
| Brandon C Margolis | Registered representative | Jun 2021 (5y) | ||
| Christian Thomas Conelly | Registered representative | Jun 2021 (5y) | ||
| Eric Michael Sweeney | Registered representative | Jun 2021 (5y) | ||
| Felipe Andrew Francois | Registered representative | Jun 2021 (5y) | ||
| Frankie Fidel Plasencia | Registered representative | Jun 2021 (5y) | ||
| Jack Mannon Young | Registered representative | Jun 2021 (5y) | ||
| Jacqueline Mazza | Registered representative | Jun 2021 (5y) | ||
| Jay Raxeshkumar Shah | Registered representative | Jun 2021 (5y) | ||
| Katelyn Mae Koumbem | Registered representative | Jun 2021 (5y) | ||
| Michael Purcell | Registered representative | Jun 2021 (5y) | ||
| Nam Nhat Pho | Registered representative | Jun 2021 (5y) | ||
| Paul Dinunzi | Registered representative | Jun 2021 (5y) | ||
| Pavel Stuchinskiy | Registered representative | Jun 2021 (5y) | ||
| Rodney Mcmillian | Registered representative | Jun 2021 (5y) | ||
| Ryan Scott Aiello | Registered representative | Jun 2021 (5y) | ||
| Silvio Hernan Marin | Registered representative | Jun 2021 (5y) | ||
| Tammara Lynn Loomis | Registered representative | Jun 2021 (5y) | ||
| Victoria Alain Gurney | Registered representative | Jun 2021 (5y) | ||
| Victoria Lugo | Registered representative | Jun 2021 (5y) | ||
| Bekira Monshe Thomas Mark | Registered representative | Jun 2021 (5y) | ||
| Lindsey Michelle Gearhart | Registered representative | Jun 2021 (5y) | ||
| Benjamin Trumer Cachat | Registered representative | Jun 2021 (5y) | ||
| Mason Polk | Registered representative | Jun 2021 (5y) | ||
| Brian Hook | Registered representative | Jun 2021 (5y) | ||
| Dawna Larson | Registered representative | Jun 2021 (5y) | ||
| Tyler Hochwalt | Registered representative | Jun 2021 (5y) | ||
| Eldar Faridovich Rizvanov | Registered representative | Jun 2021 (5y) | ||
| Evelyn Varner | Registered representative | Jun 2021 (5y) | ||
| John Patrick Maskubi | Registered representative | Jun 2021 (5y) | ||
| Josue Edouard | Registered representative | Jun 2021 (5y) | ||
| Kyung Haeng Lee | Registered representative | Jun 2021 (5y) | ||
| Christopher Mcarthur Contreras | Registered representative | Jun 2021 (5y) | ||
| Kristen Marie Sutherland | Registered representative | Jun 2021 (5y) | ||
| Natalia Tatishvili | Registered representative | Jun 2021 (5y) | ||
| Catherine Monica Thompson | Registered representative | Jul 2021 (5y) | ||
| Joseph Alan Sorrell | Registered representative | Jul 2021 (5y) | ||
| Jenna Nicole Gornicz | Registered representative | Jul 2021 (5y) | ||
| Michael Loureiro | Registered representative | Jul 2021 (5y) | ||
| Matthew Joseph Pugliese | Registered representative | Jul 2021 (5y) | ||
| Brett Philip Costanzo | Registered representative | Jul 2021 (5y) | ||
| Laila Rusta | Registered representative | Jul 2021 (5y) | ||
| Tiffany Knight Stapleton | Registered representative | Jul 2021 (5y) | ||
| Andrew Campbell Earnest | Registered representative | Jul 2021 (5y) | ||
| Julian Joseph Louis Gessa | Registered representative | Jul 2021 (5y) | ||
| Sonny Temple Patterson | Registered representative | Jul 2021 (5y) | ||
| Dionis Alberto Lozano | Registered representative | Jul 2021 (5y) | ||
| George Luke Abernethy | Registered representative | Jul 2021 (5y) | ||
| Jacob Charles Cox | Registered representative | Jul 2021 (5y) | ||
| Kanoo Priya Garg | Registered representative | Jul 2021 (5y) | ||
| Mai Bui Gigliotti | Registered representative | Jul 2021 (5y) | ||
| Sunshine Gustilo Maroney | Registered representative | Jul 2021 (5y) | ||
| Daniel Raymond Featherston | Registered representative | Jul 2021 (5y) | ||
| Henry Adam Eller | Registered representative | Jul 2021 (5y) | ||
| Jocelyne Sandoval | Registered representative | Jul 2021 (5y) | ||
| Kimberly Rochelle Custodio Contreras | Registered representative | Jul 2021 (5y) | ||
| Logan Neil Leroy Hines | Registered representative | Jul 2021 (5y) | ||
| Walaiporn Adzema | Registered representative | Jul 2021 (5y) | ||
| Carlos Felipe Angel | Registered representative | Jul 2021 (5y) | ||
| Denise Anne Mclaughlin | Registered representative | Jul 2021 (5y) | ||
| Antonio Gurrera | Registered representative | CFP | Jul 2021 (5y) | |
| Diane Mary Lassota Carter | Registered representative | Jul 2021 (5y) | ||
| Haney Dimian | Registered representative | CFA | Jul 2021 (5y) | |
| Heidi Notman Muccifori | Registered representative | CFP | Jul 2021 (5y) | |
| Jonathan Kahallil Choez | Registered representative | Jul 2021 (5y) | ||
| Joseph Michael Dougherty | Registered representative | CFP | Jul 2021 (5y) | |
| Marlonde Hughes Pierrelouis | Registered representative | Jul 2021 (5y) | ||
| Richard Domroski | Registered representative | Jul 2021 (5y) | ||
| Edrees Sidiqi | Registered representative | Jul 2021 (5y) | ||
| Fernanda Janeth Damian | Registered representative | Jul 2021 (5y) | ||
| Gerardo Guzman | Registered representative | Jul 2021 (5y) | ||
| Jacqueline Rose Kotan | Registered representative | Jul 2021 (5y) | ||
| William Burke | Registered representative | Jul 2021 (5y) | ||
| David Winthrop Mills | Registered representative | Jul 2021 (5y) | ||
| Elise Ruth Kern | Registered representative | Jul 2021 (5y) | ||
| Sam G Garrard | Registered representative | Jul 2021 (5y) | ||
| Alexander Stevens | Registered representative | Jul 2021 (5y) | ||
| Francesca Ann Renee Fassino | Registered representative | Jul 2021 (5y) | ||
| Jane Ann Collins | Registered representative | Jul 2021 (5y) | ||
| Matilda Babapoor | Registered representative | Jul 2021 (5y) | ||
| Eric Franz James | Registered representative | Jul 2021 (5y) | ||
| Erik Jason Jones | Registered representative | Jul 2021 (5y) | ||
| Matthew Poznicek | Registered representative | CFP | Jul 2021 (5y) | |
| Asha Manuel Mendes | Registered representative | Jul 2021 (5y) | ||
| Ezhar Perov | Registered representative | Jul 2021 (5y) | ||
| Orlando Basile | Registered representative | Jul 2021 (5y) | ||
| Devaya Ja'nay Kennedy | Registered representative | Jul 2021 (5y) | ||
| Edward Scott Goldfarb | Registered representative | Jul 2021 (5y) | ||
| Lyn Nicole Hulce | Registered representative | Jul 2021 (5y) | ||
| Lisette Gonzalez | Registered representative | Jul 2021 (5y) | ||
| Maria Christine Dominguez | Registered representative | Jul 2021 (5y) | ||
| Antonio Peredia | Registered representative | Jul 2021 (5y) | ||
| Blake Alex Schwartz Barker | Registered representative | Jul 2021 (5y) | ||
| Kyle A Frankfurt | Registered representative | Jul 2021 (5y) | ||
| Matt Calhoun | Registered representative | Jul 2021 (5y) | ||
| Morgan Augustus Adams | Registered representative | Jul 2021 (5y) | ||
| Rodolfo Amadeuz Estrada Rodriguez | Registered representative | Jul 2021 (5y) | ||
| Stanley William Hagood | Registered representative | Jul 2021 (5y) | ||
| Travis Beach Taylor | Registered representative | Jul 2021 (5y) | ||
| Alex Harris Wren | Registered representative | Jul 2021 (5y) | ||
| Andrew Scott Cohen | Registered representative | Jul 2021 (5y) | ||
| Anthony Lawrence Lubrino | Registered representative | Jul 2021 (5y) | ||
| Anthony Louis Sacco | Registered representative | Jul 2021 (5y) | ||
| Areti G Kitsios | Registered representative | Jul 2021 (5y) | ||
| Arthur Lee Thompson | Registered representative | Jul 2021 (5y) | ||
| Barry Neal Cahn | Registered representative | Jul 2021 (5y) | ||
| Boris Peter Basil Wolff Metternich | Registered representative | Jul 2021 (5y) | ||
| Brian Keith Shepherd | Registered representative | Jul 2021 (5y) | ||
| Brian Michael Melbourne | Registered representative | Jul 2021 (5y) | ||
| Caitlin Farrell Gunther | Registered representative | Jul 2021 (5y) | ||
| Christopher Marlowe Shokoff | Registered representative | Jul 2021 (5y) | ||
| Christopher Noonan | Registered representative | Jul 2021 (5y) | ||
| Christopher Thomas Liberty | Registered representative | Jul 2021 (5y) | ||
| Craig Stephen Friedman | Registered representative | Jul 2021 (5y) | ||
| Cynthia Marie Stogran | Registered representative | Jul 2021 (5y) | ||
| Darren Boaz Brachman | Registered representative | Jul 2021 (5y) | ||
| Demetrious Phuros | Registered representative | Jul 2021 (5y) | ||
| Denis Michael Ohara | Registered representative | Jul 2021 (5y) | ||
| Denise Bolte | Registered representative | Jul 2021 (5y) | ||
| Douglas Andrew Levy | Registered representative | Jul 2021 (5y) | ||
| Douglas Forbes Culver | Registered representative | Jul 2021 (5y) | ||
| Dwayne Taylor | Registered representative | Jul 2021 (5y) | ||
| Efraim Gelber | Registered representative | Jul 2021 (5y) | ||
| Eric Rothberg | Registered representative | Jul 2021 (5y) | ||
| Frank Paul Chrissotimos | Registered representative | Jul 2021 (5y) | ||
| Frank Victor Frangella | Registered representative | Jul 2021 (5y) | ||
| Gregory Pienkosz | Registered representative | CFP | Jul 2021 (5y) | |
| Jason Paul Darlington | Registered representative | CFP | Jul 2021 (5y) | |
| Jay Steven Richman | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Donald Thiele | Registered representative | Jul 2021 (5y) | ||
| Joanne Smith Avella | Registered representative | Jul 2021 (5y) | ||
| John Francis Mccarthy | Registered representative | Jul 2021 (5y) | ||
| John Joseph Fuschillo | Registered representative | Jul 2021 (5y) | ||
| John Laurence Lerner | Registered representative | Jul 2021 (5y) | ||
| John Robert Zografos | Registered representative | Jul 2021 (5y) | ||
| John Vincent Fazio | Registered representative | Jul 2021 (5y) | ||
| Jonathan Allen Vanderveen | Registered representative | Jul 2021 (5y) | ||
| Justin Edward Brown | Registered representative | Jul 2021 (5y) | ||
| Kevin J James | Registered representative | Jul 2021 (5y) | ||
| Lawrence Edward Miele | Registered representative | Jul 2021 (5y) | ||
| Lisa Ann Ciezki | Registered representative | Jul 2021 (5y) | ||
| Lizzette Bennett | Registered representative | Jul 2021 (5y) | ||
| Marianna Sarkissova | Registered representative | Jul 2021 (5y) | ||
| Mark M Greenblatt | Registered representative | Jul 2021 (5y) | ||
| Mark Stanley Brellis | Registered representative | CFP | Jul 2021 (5y) | |
| Mark William Saroka | Registered representative | Jul 2021 (5y) | ||
| Martha Ann Cacciola | Registered representative | Jul 2021 (5y) | ||
| Matthew James Corry | Registered representative | Jul 2021 (5y) | ||
| Michael Alan Kotin | Registered representative | Jul 2021 (5y) | ||
| Michael Edward Montagnino | Registered representative | Jul 2021 (5y) | ||
| Michael George Corona | Registered representative | Jul 2021 (5y) | ||
| Michael William Arabio | Registered representative | Jul 2021 (5y) | ||
| Mitchell Lewis Fischer | Registered representative | Jul 2021 (5y) | ||
| Paul Anthony Kordziel | Registered representative | Jul 2021 (5y) | ||
| Paul Gerard Shipkoskie | Registered representative | Jul 2021 (5y) | ||
| Paul Stephen Haberek | Registered representative | Jul 2021 (5y) | ||
| Peter David Marzullo | Registered representative | Jul 2021 (5y) | ||
| Philip Robert Ernst | Registered representative | Jul 2021 (5y) | ||
| Richard Andrew Shuster | Registered representative | Jul 2021 (5y) | ||
| Richard Gerard Carlson | Registered representative | Jul 2021 (5y) | ||
| Roger Henry Erichsen | Registered representative | Jul 2021 (5y) | ||
| Roger Lewis Cahn | Registered representative | Jul 2021 (5y) | ||
| Ronald Anthony Casanova | Registered representative | Jul 2021 (5y) | ||
| Ruth Ann Myersroyster | Registered representative | Jul 2021 (5y) | ||
| Salvatore John Vallone | Registered representative | Jul 2021 (5y) | ||
| Shara Goldberg Barr | Registered representative | Jul 2021 (5y) | ||
| Steven Dylan Paoletti | Registered representative | Jul 2021 (5y) | ||
| Steven Michael Gemelli | Registered representative | Jul 2021 (5y) | ||
| Theo Zaferiou | Registered representative | Jul 2021 (5y) | ||
| Theodore Geller | Registered representative | Jul 2021 (5y) | ||
| Thomas Gerard Johnson | Registered representative | Jul 2021 (5y) | ||
| Thomas John Fostvedt | Registered representative | Jul 2021 (5y) | ||
| Timothy John Meisenzahl | Registered representative | Jul 2021 (5y) | ||
| Valerie Ann Scimia | Registered representative | CFP | Jul 2021 (5y) | |
| Vincent Anthony Iannucci | Registered representative | Jul 2021 (5y) | ||
| William Christopher Franko | Registered representative | Jul 2021 (5y) | ||
| William Winsman | Registered representative | Jul 2021 (5y) | ||
| Zoran Johanan Vaz | Registered representative | Jul 2021 (5y) | ||
| Alexandra Nichols | Registered representative | CFP | Jul 2021 (5y) | |
| C Scott Sutcliff | Registered representative | Jul 2021 (5y) | ||
| Lawrence Smith | Registered representative | Jul 2021 (5y) | ||
| Linda K Lyons | Registered representative | Jul 2021 (5y) | ||
| Marcy Lynn Vaughan | Registered representative | Jul 2021 (5y) | ||
| Anne M Sutcliff | Registered representative | Jul 2021 (5y) | ||
| Cody Chang | Registered representative | Jul 2021 (5y) | ||
| Genovieva Sfatcu Gog | Registered representative | Jul 2021 (5y) | ||
| Michael Bernardy | Registered representative | Jul 2021 (5y) | ||
| Carson David Bieber | Registered representative | CFP | Jul 2021 (5y) | |
| Charles Joseph Margiasso | Registered representative | Jul 2021 (5y) | ||
| Dilia Carolina Amaya Chavez | Registered representative | Jul 2021 (5y) | ||
| Amin Ghanei | Registered representative | Aug 2021 (5y) | ||
| Jason R Smith | Registered representative | Aug 2021 (5y) | ||
| Katlynn Morgan Ford | Registered representative | Aug 2021 (5y) | ||
| Youxi Zeren | Registered representative | Aug 2021 (5y) | ||
| Derek Thomas Nansel | Registered representative | Aug 2021 (5y) | ||
| Tiffany Nicole Threadgill | Registered representative | Aug 2021 (5y) | ||
| Meredith B Wu | Registered representative | Aug 2021 (5y) | ||
| Michelle Weiss | Registered representative | Aug 2021 (5y) | ||
| Carmel A Kelleher | Registered representative | Aug 2021 (5y) | ||
| Brian Lawrence Mortensen | Registered representative | Aug 2021 (5y) | ||
| Daniela Reyes | Registered representative | Aug 2021 (5y) | ||
| Jacob Adam Worrel | Registered representative | Aug 2021 (5y) | ||
| Jacob Phillip Schiller | Registered representative | Aug 2021 (5y) | ||
| James Brendan Bruder | Registered representative | Aug 2021 (5y) | ||
| John Christopher Burmester | Registered representative | Aug 2021 (5y) | ||
| Nicholas Patrick Harker | Registered representative | Aug 2021 (5y) | ||
| Scott David Schied | Registered representative | Aug 2021 (5y) | ||
| John Martin Oconnor | Registered representative | Aug 2021 (5y) | ||
| Alvaro Alfredo Quintero | Registered representative | Aug 2021 (5y) | ||
| Dennis Michael Cunningham | Registered representative | Aug 2021 (5y) | ||
| Dimitri Glavas | Registered representative | Aug 2021 (5y) | ||
| Jerad Ross Ford | Registered representative | Aug 2021 (5y) | ||
| Jerry Grant Daniels | Registered representative | Aug 2021 (5y) | ||
| Marc A Henline | Registered representative | Aug 2021 (5y) | ||
| Carlos Hermes Yazno | Registered representative | Aug 2021 (5y) | ||
| Charssy Chi Zhang | Registered representative | Aug 2021 (5y) | ||
| Raymond Angelo Kraus | Registered representative | Aug 2021 (5y) | ||
| Matthew James Mascarenas | Registered representative | Aug 2021 (5y) | ||
| Fei Liu | Registered representative | Aug 2021 (5y) | ||
| Tyler Stewart | Registered representative | Aug 2021 (5y) | ||
| William Andrew Wing | Registered representative | Aug 2021 (5y) | ||
| Jonathan Graham | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Amanda Carol Santos | Registered representative | Aug 2021 (5y) | ||
| Gautam Sikand | Registered representative | Aug 2021 (5y) | ||
| Lina Marcela Figueroa Gonzalez | Registered representative | Aug 2021 (5y) | ||
| Nina Sue Hill | Registered representative | CFP | Aug 2021 (5y) | |
| Spencer Christopher Skiff | Registered representative | Aug 2021 (5y) | ||
| David Donald Bethoney | Registered representative | Aug 2021 (5y) | ||
| Dylan J Lee | Registered representative | Aug 2021 (5y) | ||
| Oscar Abaunza Velazquez | Registered representative | Aug 2021 (5y) | ||
| Daniel Arthur Carroll | Registered representative | Aug 2021 (5y) | ||
| Feliz Tovar | Registered representative | Aug 2021 (5y) | ||
| Julio Enrique Delgado Perez | Registered representative | Aug 2021 (5y) | ||
| Michael Anthony Banco | Registered representative | Aug 2021 (5y) | ||
| Ronald R Roebuck | Registered representative | Aug 2021 (5y) | ||
| David Joshua Green | Registered representative | Aug 2021 (5y) | ||
| George Hall | Registered representative | Aug 2021 (5y) | ||
| Julio Cesar Villazon | Registered representative | Aug 2021 (5y) | ||
| Claudia Adriana Badillo | Registered representative | Aug 2021 (5y) | ||
| James David Savell | Registered representative | Aug 2021 (5y) | ||
| Jedd Goldinger | Registered representative | CFP | Aug 2021 (5y) | |
| Matthew Robert Anderson | Registered representative | Aug 2021 (5y) | ||
| Sandra Melendrez Saenz | Registered representative | Aug 2021 (5y) | ||
| Moyra Tamara Zuniga Edwards | Registered representative | Aug 2021 (5y) | ||
| Titus Johnny Huang | Registered representative | Aug 2021 (5y) | ||
| Christine Margaret Lehto | Registered representative | Aug 2021 (5y) | ||
| Jessica E Shadrick | Registered representative | Aug 2021 (5y) | ||
| Kimberly Johnson Young | Registered representative | Aug 2021 (5y) | ||
| Mason Dean Rodill | Registered representative | Aug 2021 (5y) | ||
| Michelle Ann Rogers | Registered representative | Aug 2021 (5y) | ||
| Parker Jeffrey | Registered representative | Aug 2021 (5y) | ||
| Amanda Cecile Nichols | Registered representative | Aug 2021 (5y) | ||
| Jeffrey Ngo | Registered representative | Aug 2021 (5y) | ||
| Jill Michelle Bosland | Registered representative | Aug 2021 (5y) | ||
| Alexander Eugenio Collazos | Registered representative | Sep 2021 (5y) | ||
| Damian Allan Alexander | Registered representative | Sep 2021 (5y) | ||
| Darin Laub | Registered representative | Sep 2021 (5y) | ||
| Juana Gabriela Trejo Cervantes | Registered representative | Sep 2021 (5y) | ||
| Ryan Christopher Doran | Registered representative | Sep 2021 (5y) | ||
| Robert Joseph Lawrence | Registered representative | Sep 2021 (5y) | ||
| Wilet Pierre Noel | Registered representative | Sep 2021 (5y) | ||
| Alexia Netjes Gharrity | Registered representative | Sep 2021 (5y) | ||
| Daniel Crowe | Registered representative | Sep 2021 (5y) | ||
| Denise Renee Giganti | Registered representative | Sep 2021 (5y) | ||
| Rogelio Ponce | Registered representative | Sep 2021 (5y) | ||
| Dwain Fred Dobbins | Registered representative | Sep 2021 (5y) | ||
| Ryan Alexander Sage | Registered representative | Sep 2021 (5y) | ||
| Samuel Robert Morrissey | Registered representative | Sep 2021 (5y) | ||
| Anton Edward Garten | Registered representative | Sep 2021 (5y) | ||
| Dean Patrick Calvez | Registered representative | Sep 2021 (5y) | ||
| Emily Claire Moore | Registered representative | Sep 2021 (5y) | ||
| Eric M Larose | Registered representative | Sep 2021 (5y) | ||
| Mucahit Esenyurt | Registered representative | Sep 2021 (5y) | ||
| Adalberto Rodriguez | Registered representative | Sep 2021 (5y) | ||
| Elaine M Peluso | Registered representative | Sep 2021 (5y) | ||
| Mary Ellen Spillane | Registered representative | Sep 2021 (5y) | ||
| Peter George Gibson | Registered representative | Sep 2021 (5y) | ||
| Robert Charles Chapin | Registered representative | Sep 2021 (5y) | ||
| Thomas Pignatelli | Registered representative | Sep 2021 (5y) | ||
| Cuauhtemoc Ambriz Martinez | Registered representative | Sep 2021 (5y) | ||
| Juan Jesus Gonzalez | Registered representative | Sep 2021 (5y) | ||
| Nadezhda A Loggins | Registered representative | Sep 2021 (5y) | ||
| Jeremy M Stuck | Registered representative | Sep 2021 (5y) | ||
| Victoria Khalil | Registered representative | Sep 2021 (5y) | ||
| Stephen G Shaw | Registered representative | Sep 2021 (5y) | ||
| Armaghan Ahmad | Registered representative | Sep 2021 (5y) | ||
| Keith J Mendivil | Registered representative | Sep 2021 (5y) | ||
| Mcclain S Schweppe | Registered representative | CFP | Sep 2021 (5y) | |
| Amanda Ann Byam | Registered representative | Sep 2021 (5y) | ||
| Jonathan G Norris | Registered representative | Sep 2021 (5y) | ||
| Shahriar Moshrefnoory | Registered representative | Sep 2021 (5y) | ||
| Stevan Santoscoy | Registered representative | Sep 2021 (5y) | ||
| Camille Christine Collins | Registered representative | Sep 2021 (5y) | ||
| Cathleen Brennan | Registered representative | Sep 2021 (5y) | ||
| Clifton Roy Spinney | Registered representative | Sep 2021 (5y) | ||
| John Eric Riva | Registered representative | CFP | Sep 2021 (5y) | |
| Joshua Diaz Munoz | Registered representative | Sep 2021 (5y) | ||
| Kevin Rene Ramirez | Registered representative | Sep 2021 (5y) | ||
| Patrick H Heijmen | Registered representative | CFP | Sep 2021 (5y) | |
| Stanley Norbert Zielinski | Registered representative | Sep 2021 (5y) | ||
| Gerardo Martin Banuelos | Registered representative | Sep 2021 (5y) | ||
| Ifeanyi Louis Alfred Ukatu | Registered representative | Sep 2021 (5y) | ||
| John Joseph Halloran | Registered representative | Sep 2021 (5y) | ||
| Rajen Bakshi | Registered representative | Sep 2021 (5y) | ||
| Robert Ryan Lopez | Registered representative | Sep 2021 (5y) | ||
| Brian Patrick Hagedorn | Registered representative | Sep 2021 (5y) | ||
| David Robert Carl Mitchell | Registered representative | Sep 2021 (5y) | ||
| Jacqueline Marlen Baquera | Registered representative | Sep 2021 (5y) | ||
| Mecholah L Hayden | Registered representative | Sep 2021 (5y) | ||
| Noah Rubin | Registered representative | CFP | Sep 2021 (5y) | |
| Preston J Walker | Registered representative | Sep 2021 (5y) | ||
| Sonja Darcangelo | Registered representative | Sep 2021 (5y) | ||
| Cody Justin Brown | Registered representative | Sep 2021 (5y) | ||
| Richard Robert Ash | Registered representative | Sep 2021 (5y) | ||
| Abby Elizabeth Bailey | Registered representative | Sep 2021 (5y) | ||
| Joseph York Hubbard | Registered representative | Sep 2021 (5y) | ||
| Andrew James Wight | Registered representative | Sep 2021 (5y) | ||
| Jeffrey Kilgore | Registered representative | Sep 2021 (5y) | ||
| Peter Tran | Registered representative | CFP | Sep 2021 (5y) | |
| Bikram Singh | Registered representative | Sep 2021 (5y) | ||
| Brian Anthony Misiewicz | Registered representative | Sep 2021 (5y) | ||
| Lawrence L Richmond | Registered representative | Sep 2021 (5y) | ||
| Justine Evarich Delauro | Registered representative | Oct 2021 (5y) | ||
| Marjan Ahmadi | Registered representative | Oct 2021 (5y) | ||
| Merrick Daniel Stewart | Registered representative | Oct 2021 (5y) | ||
| Scott Bradley Moser | Registered representative | Oct 2021 (5y) | ||
| Britney Lynn Bernstein | Registered representative | Oct 2021 (5y) | ||
| Niloufar Sattary | Registered representative | Oct 2021 (5y) | ||
| Peter Stephen Giannone | Registered representative | Oct 2021 (5y) | ||
| Lyndsey Dian Walters | Registered representative | Oct 2021 (5y) | ||
| Zachary Lloyd Penniston | Registered representative | Oct 2021 (5y) | ||
| Adam Burdett Wills | Registered representative | Oct 2021 (5y) | ||
| Mario Antwon Traywick | Registered representative | Oct 2021 (5y) | ||
| Matthew David Bell | Registered representative | Oct 2021 (5y) | ||
| Michael Francis Robertson | Registered representative | Oct 2021 (5y) | ||
| Michael Grant Chapman | Registered representative | Oct 2021 (5y) | ||
| Roberta Ann Levine | Registered representative | Oct 2021 (5y) | ||
| Samuel Riedy Timmerman | Registered representative | Oct 2021 (5y) | ||
| William Clarence Canty | Registered representative | Oct 2021 (5y) | ||
| Alexandru Vasile Jucu | Registered representative | Oct 2021 (5y) | ||
| Arletys Gonzalez Rodriguez | Registered representative | Oct 2021 (5y) | ||
| Cheryl Denise Cohen | Registered representative | Oct 2021 (5y) | ||
| Christeen Hermina | Registered representative | Oct 2021 (5y) | ||
| Craig Michael Thomas | Registered representative | Oct 2021 (5y) | ||
| Edward John Planas | Registered representative | Oct 2021 (5y) | ||
| Enrique Jesus Quinoa | Registered representative | Oct 2021 (5y) | ||
| Frank Dibartolo | Registered representative | Oct 2021 (5y) | ||
| Giselle Hernandez Pavon | Registered representative | Oct 2021 (5y) | ||
| James Nathan Hickey | Registered representative | Oct 2021 (5y) | ||
| Jhoan Aderita Bendana | Registered representative | Oct 2021 (5y) | ||
| Joseph Lee Reneau | Registered representative | Oct 2021 (5y) | ||
| Justin Thayer Hollenbach | Registered representative | Oct 2021 (5y) | ||
| Kaylene A Mckoy | Registered representative | Oct 2021 (5y) | ||
| Kenneth Rafael Fletes | Registered representative | Oct 2021 (5y) | ||
| Leslie Jones | Registered representative | Oct 2021 (5y) | ||
| Linette Jimenez | Registered representative | Oct 2021 (5y) | ||
| Marcos Montenegro | Registered representative | Oct 2021 (5y) | ||
| Silvia Yanira Lopez Genovez | Registered representative | Oct 2021 (5y) | ||
| Stuart Damian Schott | Registered representative | Oct 2021 (5y) | ||
| Elizabeth Olivera Gonzalez | Registered representative | Oct 2021 (5y) | ||
| Erik C Pesce | Registered representative | Oct 2021 (5y) | ||
| Michael Edward Galletti | Registered representative | Oct 2021 (5y) | ||
| Shahram Kahusi | Registered representative | Oct 2021 (5y) | ||
| Blake Anthony Carmichael | Registered representative | Oct 2021 (5y) | ||
| Caleb Conrad Gibson | Registered representative | Oct 2021 (5y) | ||
| John J Palmatier | Registered representative | Oct 2021 (5y) | ||
| Monica Ayako Vos | Registered representative | Oct 2021 (5y) | ||
| Myron Tracy Barker | Registered representative | CFP | Oct 2021 (5y) | |
| Nicholas Peter Cusimano | Registered representative | Oct 2021 (5y) | ||
| Raul Felix Ferrao Robles | Registered representative | Oct 2021 (5y) | ||
| Shannon Christina King | Registered representative | Oct 2021 (5y) | ||
| Terri Ann Carmichael | Registered representative | Oct 2021 (5y) | ||
| Yusleydis Morrison | Registered representative | CFP | Oct 2021 (5y) | |
| John Anthony Brown | Registered representative | Oct 2021 (5y) | ||
| Josephina Osti Luczak | Registered representative | Oct 2021 (5y) | ||
| Salwa Ameen | Registered representative | Oct 2021 (5y) | ||
| Glen J Romm | Registered representative | Oct 2021 (5y) | ||
| Steve S Katsakos | Registered representative | Oct 2021 (5y) | ||
| James Joseph Murphy | Registered representative | Oct 2021 (5y) | ||
| Michelle Denise Martzahn | Registered representative | Oct 2021 (5y) | ||
| Brenda Maria Figueroa | Registered representative | Oct 2021 (5y) | ||
| Brendan Andrew Whelan | Registered representative | Oct 2021 (5y) | ||
| Ryan A Hirsch | Registered representative | Oct 2021 (5y) | ||
| William B Barnes | Registered representative | Oct 2021 (5y) | ||
| Alberto Zapata Abad | Registered representative | Oct 2021 (5y) | ||
| Michael Troncoso | Registered representative | Oct 2021 (5y) | ||
| Stacey Ackerman | Registered representative | CFP | Oct 2021 (5y) | |
| Travis Earl Webb | Registered representative | Oct 2021 (5y) | ||
| Duane Charles Lasher | Registered representative | Oct 2021 (5y) | ||
| Corey Tyler Hawkins | Registered representative | Oct 2021 (5y) | ||
| George T Henderson | Registered representative | CFP | Oct 2021 (5y) | |
| John Darrin Fleming | Registered representative | Oct 2021 (5y) | ||
| Sonia Malik | Registered representative | Oct 2021 (5y) | ||
| Andrew Mcphail | Registered representative | CFP CFA | Oct 2021 (5y) | |
| Brandon Chase | Registered representative | Oct 2021 (5y) | ||
| James Daniel Oszust | Registered representative | Oct 2021 (5y) | ||
| Mabel Chan | Registered representative | Oct 2021 (5y) | ||
| Susan Christine Testa | Registered representative | Oct 2021 (5y) | ||
| James Francis Mcguirk | Registered representative | Oct 2021 (5y) | ||
| Kristin I Chadwick | Registered representative | Oct 2021 (5y) | ||
| Lei Chen | Registered representative | Oct 2021 (5y) | ||
| Makan Matin | Registered representative | Oct 2021 (5y) | ||
| Marco Andres Rosas Ruiz | Registered representative | Oct 2021 (5y) | ||
| Oscar Alberto Mondragon Trullo | Registered representative | Oct 2021 (5y) | ||
| Ray Coy Little | Registered representative | Oct 2021 (5y) | ||
| Sonila Bleta | Registered representative | Oct 2021 (5y) | ||
| Syed Mohteshamul Islam | Registered representative | Oct 2021 (5y) | ||
| Tammy Robbins | Registered representative | CFP Chartered Financial Consultant | Oct 2021 (5y) | |
| Kristy Leigh Borst | Registered representative | Oct 2021 (5y) | ||
| Lama Elsabeh | Registered representative | Oct 2021 (5y) | ||
| Luis Angel Rios Alvarado | Registered representative | Oct 2021 (5y) | ||
| Ly Huu Thien Pham | Registered representative | Oct 2021 (5y) | ||
| Rostislav Sergeyevich Dusayev | Registered representative | Oct 2021 (5y) | ||
| Shauneil Jerome Doyley | Registered representative | Oct 2021 (5y) | ||
| Sumit Chopra | Registered representative | Oct 2021 (5y) | ||
| Thomas Giambra | Registered representative | Oct 2021 (5y) | ||
| Austin Frost | Registered representative | Oct 2021 (5y) | ||
| Christopher Vaughn Denver | Registered representative | Oct 2021 (5y) | ||
| Sara Song | Registered representative | Oct 2021 (5y) | ||
| Virginia Terzian Ferrer | Registered representative | Oct 2021 (5y) | ||
| Gerald Garcia Del Rosario | Registered representative | Oct 2021 (5y) | ||
| Jesus Lopez | Registered representative | Oct 2021 (5y) | ||
| Matthew Jason Bastis | Registered representative | Oct 2021 (5y) | ||
| Melissa Sutikto | Registered representative | Oct 2021 (5y) | ||
| Edward Clifford Venezia | Registered representative | Oct 2021 (5y) | ||
| Fredrick Spencer Brown | Registered representative | Oct 2021 (5y) | ||
| Gary W Boswick | Registered representative | CFP | Oct 2021 (5y) | |
| Joshwin A Clervoix | Registered representative | Oct 2021 (5y) | ||
| Kay Lynne Marek Bowers | Registered representative | Oct 2021 (5y) | ||
| Sharon Apol | Registered representative | Oct 2021 (5y) | ||
| Zaira Quach | Registered representative | Oct 2021 (5y) | ||
| Daniel Gordon Vigar | Registered representative | Nov 2021 (5y) | ||
| Kathleen Jo Dana Miglino | Registered representative | Nov 2021 (5y) | ||
| Kayleen Morrine Clark | Registered representative | Nov 2021 (5y) | ||
| Shehzad Murtaza Bhatti | Registered representative | Nov 2021 (5y) | ||
| Alta F Bingham | Registered representative | Nov 2021 (5y) | ||
| Andreas Laplant | Registered representative | Nov 2021 (5y) | ||
| Laura Paz | Registered representative | Nov 2021 (5y) | ||
| Marisela Torres Hernandez | Registered representative | Nov 2021 (5y) | ||
| Emir Mansfield | Registered representative | Nov 2021 (5y) | ||
| Karim E Madmoune | Registered representative | Nov 2021 (5y) | ||
| Barry Ray Shatzman | Registered representative | Nov 2021 (5y) | ||
| Benton Goodwin Holbrooks | Registered representative | Nov 2021 (5y) | ||
| Brent Nichols Tompkins | Registered representative | Nov 2021 (5y) | ||
| Devin Micahel O'leary | Registered representative | Nov 2021 (5y) | ||
| Dylan Molek | Registered representative | Nov 2021 (5y) | ||
| Kristopher Charles Margerum | Registered representative | Nov 2021 (5y) | ||
| Matthew Mozer | Registered representative | CFP | Nov 2021 (5y) | |
| Mitra Nosrati Katz | Registered representative | Nov 2021 (5y) | ||
| Sean Sanders | Registered representative | Nov 2021 (5y) | ||
| Terrell Lee Hegge | Registered representative | Nov 2021 (5y) | ||
| Connor Asch Smith | Registered representative | Nov 2021 (5y) | ||
| Michelle Johnston Blume | Registered representative | Nov 2021 (5y) | ||
| Nicholas Allen Buck | Registered representative | Nov 2021 (5y) | ||
| Patrick Michael Cruise | Registered representative | Nov 2021 (5y) | ||
| Philip A Nelson | Registered representative | Nov 2021 (5y) | ||
| Robert K Ruby | Registered representative | Nov 2021 (5y) | ||
| Tyler Summers | Registered representative | Nov 2021 (5y) | ||
| Andy Ortega Lopez | Registered representative | Nov 2021 (5y) | ||
| Christopher Lamont Mcmurry | Registered representative | Nov 2021 (5y) | ||
| Didem Deniz | Registered representative | Nov 2021 (5y) | ||
| Gaetano Ciccarella | Registered representative | Nov 2021 (5y) | ||
| Kayla Lynette Plott | Registered representative | Nov 2021 (5y) | ||
| Sarah Munson | Registered representative | CFP | Nov 2021 (5y) | |
| John Kimball Byers | Registered representative | Nov 2021 (5y) | ||
| Leslie Flores | Registered representative | Nov 2021 (5y) | ||
| Santos Fernando Aloi | Registered representative | Nov 2021 (5y) | ||
| Andrew Chang | Registered representative | Nov 2021 (5y) | ||
| Leo Anthony Robinson | Registered representative | Nov 2021 (5y) | ||
| Maryflayne Encarnado Ricamonte | Registered representative | Nov 2021 (5y) | ||
| Maxwell Meyers | Registered representative | Nov 2021 (5y) | ||
| Shyan R Moayedi | Registered representative | Nov 2021 (5y) | ||
| James Patrick Lennon | Registered representative | Nov 2021 (5y) | ||
| Robert Stanford Curtis | Registered representative | Nov 2021 (5y) | ||
| Bertha Andrea Avalos | Registered representative | Nov 2021 (5y) | ||
| Erik Heimstaedt | Registered representative | Nov 2021 (5y) | ||
| Ryan Burke | Registered representative | CFP | Nov 2021 (5y) | |
| Thomas D Lewis | Registered representative | Nov 2021 (5y) | ||
| Soon Young Chang | Registered representative | Nov 2021 (5y) | ||
| Christina Raftelis Williams | Registered representative | CFP | Nov 2021 (5y) | |
| Myriam Elizabeth Biglang Awa | Registered representative | Nov 2021 (5y) | ||
| Raymond Kostyack | Registered representative | Nov 2021 (5y) | ||
| Anabel Rodriguez | Registered representative | Nov 2021 (5y) | ||
| Bradley Joseph Lange | Registered representative | Nov 2021 (5y) | ||
| Christopher Flint Corsiglia | Registered representative | Nov 2021 (5y) | ||
| John S Feistner | Registered representative | Nov 2021 (5y) | ||
| John Virgil Santmyer | Registered representative | Nov 2021 (5y) | ||
| Monique Marie D'auteuil | Registered representative | Nov 2021 (5y) | ||
| Thomas Aquinas Taormina | Registered representative | Nov 2021 (5y) | ||
| Kevin J Buckley | Registered representative | Nov 2021 (5y) | ||
| Moses Clifton Mendez | Registered representative | Nov 2021 (5y) | ||
| Samuel M Kline | Registered representative | CFP | Nov 2021 (5y) | |
| Eric V Brakowski | Registered representative | Nov 2021 (5y) | ||
| Kiff Chui | Registered representative | Nov 2021 (5y) | ||
| Colleen Canny | Registered representative | Nov 2021 (5y) | ||
| Michael Mark Soriano | Registered representative | Nov 2021 (5y) | ||
| Neda Afnani Riyazati | Registered representative | Nov 2021 (5y) | ||
| Alicia O. Valencia | Registered representative | Nov 2021 (5y) | ||
| Joshua K Piercy | Registered representative | Nov 2021 (5y) | ||
| Adam Michael Pilkington | Registered representative | Nov 2021 (5y) | ||
| Angie Wong Sabel | Registered representative | Nov 2021 (5y) | ||
| John R Paulus | Registered representative | Nov 2021 (5y) | ||
| Scott Francis Pisano | Registered representative | Nov 2021 (5y) | ||
| Brent Michael Flading | Registered representative | Nov 2021 (5y) | ||
| Clayton Michael Larsen | Registered representative | Nov 2021 (5y) | ||
| Colton Kidner Smith | Registered representative | Nov 2021 (5y) | ||
| Craig Scott Degener | Registered representative | Nov 2021 (5y) | ||
| Doris Ann Beutner Candito | Registered representative | Nov 2021 (5y) | ||
| James Thomas Powell | Registered representative | Nov 2021 (5y) | ||
| Jerry Yee | Registered representative | Nov 2021 (5y) | ||
| Jorge Luis Olivas | Registered representative | Nov 2021 (5y) | ||
| Paul Andrew Altobelli | Registered representative | Dec 2021 (5y) | ||
| Phillip Malavarca | Registered representative | Dec 2021 (5y) | ||
| Aaron Michael Golden | Registered representative | Dec 2021 (5y) | ||
| Casey J. Wilson | Registered representative | Dec 2021 (5y) | ||
| Daniel Bernard Boland | Registered representative | Dec 2021 (5y) | ||
| Eli Abram Flores | Registered representative | Dec 2021 (5y) | ||
| Jennifer Ann Matter | Registered representative | Dec 2021 (5y) | ||
| Leigh Ann Jeter Stanford | Registered representative | Dec 2021 (5y) | ||
| Malgorzata Pelletier | Registered representative | Dec 2021 (5y) | ||
| Natasha G Wallace | Registered representative | Dec 2021 (5y) | ||
| Scott Edward Smith | Registered representative | Dec 2021 (5y) | ||
| Keenan Jamal Levy | Registered representative | Dec 2021 (5y) | ||
| Laurie Cernac Brock | Registered representative | Dec 2021 (5y) | ||
| Sami Wahid | Registered representative | Dec 2021 (5y) | ||
| Shane Michael Stratton | Registered representative | Dec 2021 (5y) | ||
| Vanessa Paparone | Registered representative | Dec 2021 (5y) | ||
| Aayushi Jain | Registered representative | Dec 2021 (5y) | ||
| Hilda Frausto Gonzalez | Registered representative | Dec 2021 (5y) | ||
| Matthew Kane | Registered representative | Dec 2021 (5y) | ||
| Ryan Singleton Copley | Registered representative | Dec 2021 (5y) | ||
| Adam Samuel Entin | Registered representative | Dec 2021 (5y) | ||
| Chad Winchester | Registered representative | Dec 2021 (5y) | ||
| Deborah Joan Mansfield | Registered representative | Dec 2021 (5y) | ||
| Edwardo Perez Gutierrez | Registered representative | Dec 2021 (5y) | ||
| Erika Holritz | Registered representative | Dec 2021 (5y) | ||
| Stephanie Jane Hemenway | Registered representative | Dec 2021 (5y) | ||
| Abel Benjamin Fitch | Registered representative | Dec 2021 (5y) | ||
| Andrea Altimari Mendoza | Registered representative | Dec 2021 (5y) | ||
| Casey Blake Bumgarner | Registered representative | Dec 2021 (5y) | ||
| Heather Faverman Aquino | Registered representative | Dec 2021 (5y) | ||
| Nina Babayan | Registered representative | Dec 2021 (5y) | ||
| Victor Joaquin Ramirez | Registered representative | Dec 2021 (5y) | ||
| Anthony Miguel Serrano | Registered representative | Dec 2021 (5y) | ||
| Maxwell Drexler | Registered representative | Dec 2021 (5y) | ||
| Aliasgher Nurali Somji | Registered representative | Dec 2021 (5y) | ||
| Charles Harold Maloney | Registered representative | Dec 2021 (5y) | ||
| Matthew Joseph Cracchiolo | Registered representative | Dec 2021 (5y) | ||
| Arnaldo Rafael Zelada | Registered representative | Dec 2021 (5y) | ||
| Christopher B Burt | Registered representative | Dec 2021 (5y) | ||
| Christopher Michael Martin | Registered representative | Dec 2021 (5y) | ||
| David Levi Hansen | Registered representative | Dec 2021 (5y) | ||
| James Sutter | Registered representative | Dec 2021 (5y) | ||
| Michael Anthony De La Rosa | Registered representative | Dec 2021 (5y) | ||
| Nathan Taylor Silvis | Registered representative | Dec 2021 (5y) | ||
| Thomas Francis Daly | Registered representative | Dec 2021 (5y) | ||
| Vaughn M Hayes | Registered representative | Dec 2021 (5y) | ||
| Ivana Lienau | Registered representative | Dec 2021 (5y) | ||
| Solmaria Cruzado | Registered representative | Dec 2021 (5y) | ||
| Genaro Fernandez | Registered representative | Dec 2021 (5y) | ||
| Yassir Asif Shafi | Registered representative | Dec 2021 (5y) | ||
| Kirsten Michele Dawson | Registered representative | Dec 2021 (5y) | ||
| Raye Vaughnn Thomas | Registered representative | Dec 2021 (5y) | ||
| Dimitrius Ben Hur Vaqueros Vargas | Registered representative | Dec 2021 (5y) | ||
| Doris D Huggins | Registered representative | Dec 2021 (5y) | ||
| Michael James Giavanti | Registered representative | Dec 2021 (5y) | ||
| Pamela R Sullivan | Registered representative | Dec 2021 (5y) | ||
| Victor Ramon Zepeda Ruiz | Registered representative | Dec 2021 (5y) | ||
| Aaron Thomas Waites | Registered representative | Dec 2021 (5y) | ||
| Daniel Patrick Ronan | Registered representative | Dec 2021 (5y) | ||
| Keyuanna Tanesha Watkins | Registered representative | Dec 2021 (5y) | ||
| Carlos Eduardo Marquez | Registered representative | Jan 2022 (5y) | ||
| Durron Randell Bell | Registered representative | Jan 2022 (5y) | ||
| Roy Nhien Luu | Registered representative | Jan 2022 (5y) | ||
| William B Peoples | Registered representative | Jan 2022 (5y) | ||
| Arnold Clifford Yale | Registered representative | Jan 2022 (5y) | ||
| Jereicah Suyat Hess | Registered representative | Jan 2022 (5y) | ||
| Adam Paul Demonte | Registered representative | Jan 2022 (5y) | ||
| Daniel James Cottrell | Registered representative | Jan 2022 (5y) | ||
| Irina Alamea Shuvaeva | Registered representative | Jan 2022 (5y) | ||
| Richard Scott Fletcher | Registered representative | Jan 2022 (5y) | ||
| Bassem Samir Benjamin | Registered representative | Jan 2022 (5y) | ||
| Cody Anthony Wise | Registered representative | Jan 2022 (5y) | ||
| Chia Wei Liu | Registered representative | Jan 2022 (5y) | ||
| Christine Hong Wei | Registered representative | Jan 2022 (5y) | ||
| Clint Maynard | Registered representative | Jan 2022 (5y) | ||
| Charity Wrigley | Registered representative | Jan 2022 (5y) | ||
| Norman Alexander Cotteleer | Registered representative | Jan 2022 (5y) | ||
| Theophilus Anim | Registered representative | Jan 2022 (5y) | ||
| Tyler M Christensen | Registered representative | Jan 2022 (5y) | ||
| Aaron Lloyd Rowley | Registered representative | Jan 2022 (5y) | ||
| Dimitri Narcisse | Registered representative | Jan 2022 (5y) | ||
| Iris L Diaz | Registered representative | Jan 2022 (5y) | ||
| Mutriba Shireen | Registered representative | Jan 2022 (5y) | ||
| Steven William Sherman | Registered representative | Jan 2022 (5y) | ||
| Veronica Marie Lommel | Registered representative | Jan 2022 (5y) | ||
| Aramis Perez | Registered representative | Jan 2022 (5y) | ||
| Joshua Ray Hemming | Registered representative | Jan 2022 (5y) | ||
| Mark A Compton | Registered representative | Jan 2022 (5y) | ||
| Narek Tagmizyan | Registered representative | Jan 2022 (5y) | ||
| Paolo Cerri | Registered representative | Jan 2022 (5y) | ||
| Clement Muinde | Registered representative | Jan 2022 (5y) | ||
| Frank J Connelly | Registered representative | Jan 2022 (5y) | ||
| Janie Lopez Rodriguez | Registered representative | Jan 2022 (5y) | ||
| Jorge Maximiliano Herrera | Registered representative | Jan 2022 (5y) | ||
| Lora Elizabeth Wilson | Registered representative | Jan 2022 (5y) | ||
| Steven Tann | Registered representative | Jan 2022 (5y) | ||
| Michelle Delphine Cerna | Registered representative | Jan 2022 (5y) | ||
| Kenneth Davis | Registered representative | Jan 2022 (5y) | ||
| Oscar Omar Delgado | Registered representative | Jan 2022 (5y) | ||
| Paul Joseph Mitkish | Registered representative | Jan 2022 (5y) | ||
| Richard Dean Gurchak | Registered representative | Jan 2022 (5y) | ||
| Marissa C Vandenberg | Registered representative | Jan 2022 (5y) | ||
| Andrew Vincent Cardone | Registered representative | Jan 2022 (5y) | ||
| Gary Hasse | Registered representative | Jan 2022 (5y) | ||
| Mohammad Sani Isnain | Registered representative | Jan 2022 (5y) | ||
| J Darrell Stiles | Registered representative | Jan 2022 (5y) | ||
| Jose Manuel Rivera | Registered representative | Jan 2022 (5y) | ||
| Michael Rimmey | Registered representative | Jan 2022 (5y) | ||
| Rafael Velazquez Borragan | Registered representative | Jan 2022 (5y) | ||
| Sean Michael Jowers | Registered representative | Jan 2022 (5y) | ||
| Jessica Lane Strealy | Registered representative | Jan 2022 (5y) | ||
| Brittany Anne White | Registered representative | Jan 2022 (5y) | ||
| Mary J Gaul | Registered representative | Jan 2022 (5y) | ||
| Trevor Pinto | Registered representative | Jan 2022 (5y) | ||
| Gary Steven Berner | Registered representative | Jan 2022 (5y) | ||
| Jesse Lucas Lamphere | Registered representative | Jan 2022 (5y) | ||
| Syed M Ahmar Abbas Rizvi | Registered representative | Jan 2022 (5y) | ||
| Courtney B Loehr | Registered representative | Jan 2022 (5y) | ||
| Donald Roman Steichen | Registered representative | CFP | Jan 2022 (5y) | |
| Fabian Eduardo Szarko | Registered representative | Jan 2022 (5y) | ||
| Harvey Reid Mutterperl | Registered representative | Jan 2022 (5y) | ||
| Stephen Michael Wallace | Registered representative | Jan 2022 (5y) | ||
| Zachary Machuga | Registered representative | CFP | Jan 2022 (5y) | |
| Alicia Kathryn Columbro | Registered representative | Jan 2022 (5y) | ||
| Daniel Andrew Rosengarten | Registered representative | Jan 2022 (5y) | ||
| Dwayne W Hawkins | Registered representative | Jan 2022 (5y) | ||
| Michael Nguyen | Registered representative | Jan 2022 (5y) | ||
| Christina Rae Lebeck | Registered representative | Feb 2022 (5y) | ||
| Gregory M Metz | Registered representative | Feb 2022 (5y) | ||
| Nathan L Gold | Registered representative | Feb 2022 (5y) | ||
| Richard Travis Meng | Registered representative | Feb 2022 (5y) | ||
| Theresa M King | Registered representative | Feb 2022 (5y) | ||
| Diana Beatriz Menjivar | Registered representative | Feb 2022 (4y) | ||
| Matthew Alexander Hieber | Registered representative | Feb 2022 (4y) | ||
| Reece A Chiriboga | Registered representative | CFP | Feb 2022 (4y) | |
| Sicong Kang | Registered representative | Feb 2022 (4y) | ||
| Via Rivera | Registered representative | Feb 2022 (4y) | ||
| Andrew Joshua Katz | Registered representative | Feb 2022 (4y) | ||
| Daljibhai Kesharbhai Chaudhari | Registered representative | Feb 2022 (4y) | ||
| Joseph Edward Taylor | Registered representative | Feb 2022 (4y) | ||
| Taulant Cela | Registered representative | Feb 2022 (4y) | ||
| Ronil Rajnesh Singh | Registered representative | Feb 2022 (4y) | ||
| Gabriel Gonzalez Puerto | Registered representative | Feb 2022 (4y) | ||
| Nelson Montes Torres | Registered representative | Feb 2022 (4y) | ||
| Deanne Marie Hite | Registered representative | Feb 2022 (4y) | ||
| Milton G Vrionis | Registered representative | Feb 2022 (4y) | ||
| Andri Gonzalez | Registered representative | Feb 2022 (4y) | ||
| Brooke O Barker | Registered representative | Feb 2022 (4y) | ||
| David Orlando | Registered representative | Feb 2022 (4y) | ||
| Justin L Ross | Registered representative | Feb 2022 (4y) | ||
| Alec James Nielsen | Registered representative | Feb 2022 (4y) | ||
| Anh Hoang Vu | Registered representative | Feb 2022 (4y) | ||
| Hong Liu | Registered representative | Feb 2022 (4y) | ||
| Megan K Feeney | Registered representative | Feb 2022 (4y) | ||
| Michael Douglas Kleekamp | Registered representative | Feb 2022 (4y) | ||
| Cody Fischer | Registered representative | Feb 2022 (4y) | ||
| John David Rutherford | Registered representative | Feb 2022 (4y) | ||
| John R Tyers | Registered representative | Feb 2022 (4y) | ||
| Eric Calderon | Registered representative | Feb 2022 (4y) | ||
| Andrew John Deveydt | Registered representative | Feb 2022 (4y) | ||
| Brandon Thomas Lopez | Registered representative | Feb 2022 (4y) | ||
| Ivy Grace Holley | Registered representative | Feb 2022 (4y) | ||
| Megan Elizabeth Hendricksen | Registered representative | Feb 2022 (4y) | ||
| Jesus Andres Maldonado Morales | Registered representative | Feb 2022 (4y) | ||
| Vanessa Tamara Rodriguez Alonso | Registered representative | Feb 2022 (4y) | ||
| Courtney Nicole Seymour | Registered representative | Feb 2022 (4y) | ||
| John Patrick Ward | Registered representative | Feb 2022 (4y) | ||
| Kennon Wayne Weaver | Registered representative | Feb 2022 (4y) | ||
| Michael Raymond Weigel | Registered representative | CFA | Feb 2022 (4y) | |
| Brian Edwin Ewings | Registered representative | Feb 2022 (4y) | ||
| Charles Joseph Incalcaterra | Registered representative | Feb 2022 (4y) | ||
| Hyong Lee | Registered representative | Feb 2022 (4y) | ||
| Michael Papadoulis | Registered representative | Feb 2022 (4y) | ||
| Nathaniel Joseph Sale | Registered representative | Feb 2022 (4y) | ||
| Sara Lynn Scalisi | Registered representative | Feb 2022 (4y) | ||
| Travis Jensen | Registered representative | CFP | Feb 2022 (4y) | |
| Christopher Michaels White | Registered representative | Feb 2022 (4y) | ||
| Cliff Vuong Nguyen | Registered representative | Feb 2022 (4y) | ||
| Jacob West Stalnaker | Registered representative | Feb 2022 (4y) | ||
| Michelle Dawn Flam | Registered representative | Feb 2022 (4y) | ||
| Mitchel Gia Macnguyen | Registered representative | Feb 2022 (4y) | ||
| Vincent Gia Macnguyen | Registered representative | Feb 2022 (4y) | ||
| Jazmin Gonzalez Santillano | Registered representative | Feb 2022 (4y) | ||
| Jenny Shin | Registered representative | CFP | Feb 2022 (4y) | |
| Dmitry Vladimirovich Leykin | Registered representative | Feb 2022 (4y) | ||
| James Mosrie | Registered representative | Feb 2022 (4y) | ||
| Kasey Leigh Taylor | Registered representative | Feb 2022 (4y) | ||
| Stevan Cervantes | Registered representative | CFP | Feb 2022 (4y) | |
| Adam Beason | Registered representative | Feb 2022 (4y) | ||
| Brian G Mahoney | Registered representative | Feb 2022 (4y) | ||
| Richard Gajin Chan | Registered representative | Feb 2022 (4y) | ||
| Emily Guerin Irwin | Registered representative | Feb 2022 (4y) | ||
| Jose Manuel Garcia | Registered representative | Feb 2022 (4y) | ||
| Nicholas Allen Rath | Registered representative | Feb 2022 (4y) | ||
| Tyler Russell Peterson | Registered representative | Feb 2022 (4y) | ||
| Jake Scott | Registered representative | Feb 2022 (4y) | ||
| Megan Hewett | Registered representative | Feb 2022 (4y) | ||
| Michael Wayne Wagner | Registered representative | Feb 2022 (4y) | ||
| Ross Jon Whiteley | Registered representative | Feb 2022 (4y) | ||
| Ayeesha Nicole Salinas | Registered representative | Mar 2022 (4y) | ||
| Benjamin Joseph Twait | Registered representative | Mar 2022 (4y) | ||
| Louella Aguja Uy | Registered representative | Mar 2022 (4y) | ||
| Yarinette Flores | Registered representative | Mar 2022 (4y) | ||
| Andre Benedict Marvray Ii | Registered representative | Mar 2022 (4y) | ||
| Antonio Alfredo Fontana | Registered representative | Mar 2022 (4y) | ||
| David Ambrose | Registered representative | CFA | Mar 2022 (4y) | |
| James Wahout | Registered representative | Mar 2022 (4y) | ||
| Luisa Fernanda Montana | Registered representative | Mar 2022 (4y) | ||
| Paul Sowell | Registered representative | Mar 2022 (4y) | ||
| Vere Leonard Alexander Demontagnac | Registered representative | Mar 2022 (4y) | ||
| John P Glynn | Registered representative | Mar 2022 (4y) | ||
| Joseph T Kelly | Registered representative | Mar 2022 (4y) | ||
| Paulo Benito Garcia | Registered representative | Mar 2022 (4y) | ||
| Sergio Iacovitti | Registered representative | Mar 2022 (4y) | ||
| Trisha L Baggs | Registered representative | Mar 2022 (4y) | ||
| Justin Christopher Burdo | Registered representative | Mar 2022 (4y) | ||
| Stephen Campbell Steinthal | Registered representative | Mar 2022 (4y) | ||
| Steven Lyle Wetzel | Registered representative | Mar 2022 (4y) | ||
| Tonja Rene Holmes | Registered representative | Mar 2022 (4y) | ||
| Frank A Barbieri | Registered representative | Mar 2022 (4y) | ||
| Jennilene Cabero Guico | Registered representative | Mar 2022 (4y) | ||
| Lea Voncell Navarijo | Registered representative | Mar 2022 (4y) | ||
| Michael Spencer Riemer | Registered representative | Mar 2022 (4y) | ||
| Derek Allen Nickleson | Registered representative | Mar 2022 (4y) | ||
| Felicia Massey | Registered representative | Mar 2022 (4y) | ||
| Melanie Jo Avery | Registered representative | Mar 2022 (4y) | ||
| Peter Bret Lendrum | Registered representative | Mar 2022 (4y) | ||
| Shellie Virginia Fronick | Registered representative | Mar 2022 (4y) | ||
| Travis Ryan Luebbehusen | Registered representative | Mar 2022 (4y) | ||
| John S Bell | Registered representative | Mar 2022 (4y) | ||
| Laurie Lynn Bisig | Registered representative | Mar 2022 (4y) | ||
| Ehsan Aref Adib | Registered representative | Mar 2022 (4y) | ||
| Pedro Martin | Registered representative | Mar 2022 (4y) | ||
| Preeti Shakya | Registered representative | Mar 2022 (4y) | ||
| Steve Schneider | Registered representative | Mar 2022 (4y) | ||
| Andrew Jian Feng Li | Registered representative | Mar 2022 (4y) | ||
| Apexaben Sanket Shah | Registered representative | Mar 2022 (4y) | ||
| Cameron Mark Adams | Registered representative | Mar 2022 (4y) | ||
| James Jonathan Goudy | Registered representative | Mar 2022 (4y) | ||
| Anita Marie Dougherty | Registered representative | Mar 2022 (4y) | ||
| Jessica Maree Hathaway | Registered representative | Mar 2022 (4y) | ||
| Dario Alonso | Registered representative | Mar 2022 (4y) | ||
| Kathleen Bright | Registered representative | Mar 2022 (4y) | ||
| Lawrence Howard Sizeler | Registered representative | Mar 2022 (4y) | ||
| Maynall Leslie Scott | Registered representative | Mar 2022 (4y) | ||
| Nicole Alexis Reynolds | Registered representative | Mar 2022 (4y) | ||
| Tyler Joseph James | Registered representative | Mar 2022 (4y) | ||
| Amanda Michele Weber | Registered representative | Mar 2022 (4y) | ||
| Boni Jiang | Registered representative | CFP | Mar 2022 (4y) | |
| Thomas Joseph Laughlin | Registered representative | Mar 2022 (4y) | ||
| Todd Schneider | Registered representative | Mar 2022 (4y) | ||
| Charles Romano | Registered representative | Mar 2022 (4y) | ||
| Garrett Sutton | Registered representative | Mar 2022 (4y) | ||
| John D Lord | Registered representative | Mar 2022 (4y) | ||
| Jose C Banda | Registered representative | Mar 2022 (4y) | ||
| Mark Aeilts Barton | Registered representative | Mar 2022 (4y) | ||
| Jason Andrew Clark | Registered representative | Mar 2022 (4y) | ||
| Kent Austin Schietinger | Registered representative | Mar 2022 (4y) | ||
| Mark Daniel Whitney | Registered representative | CFP | Mar 2022 (4y) | |
| Aaron Moneymaker | Registered representative | Mar 2022 (4y) | ||
| Lisa Marie Gill | Registered representative | Mar 2022 (4y) | ||
| Patricia Anne Conrad | Registered representative | CFP | Mar 2022 (4y) | |
| Ambreen Mohmmed Ali. Baig | Registered representative | Mar 2022 (4y) | ||
| Donald Vito Amoruso | Registered representative | CFP | Mar 2022 (4y) | |
| Kantharaj Kabali | Registered representative | Mar 2022 (4y) | ||
| Matthew M Strube | Registered representative | Mar 2022 (4y) | ||
| Timothy Joseph Bialobok | Registered representative | CFA | Mar 2022 (4y) | |
| Belinda Lewis Batiste | Registered representative | Mar 2022 (4y) | ||
| Rodrigo Andres Garcia | Registered representative | Mar 2022 (4y) | ||
| Oscar M Gonzalez | Registered representative | Mar 2022 (4y) | ||
| Peter Lee Waldron | Registered representative | Mar 2022 (4y) | ||
| Tewodros Tamru Lamma | Registered representative | Mar 2022 (4y) | ||
| Gary Neil Kwawer | Registered representative | Mar 2022 (4y) | ||
| Katherina Concepcion Quito | Registered representative | Mar 2022 (4y) | ||
| Lilia Elena Ramirez | Registered representative | Mar 2022 (4y) | ||
| Reid Ira Chizik | Registered representative | Chartered Financial Consultant | Mar 2022 (4y) | |
| William Bruce Nelson | Registered representative | CFP | Mar 2022 (4y) | |
| Augusto A Gomez | Registered representative | Apr 2022 (4y) | ||
| Barbara Blakeman Haydel | Registered representative | Apr 2022 (4y) | ||
| Daniel Lim Wing | Registered representative | Apr 2022 (4y) | ||
| Daniel Mandel | Registered representative | Apr 2022 (4y) | ||
| Sandra Kay Chase | Registered representative | Apr 2022 (4y) | ||
| Arianna Alvarez | Registered representative | Apr 2022 (4y) | ||
| Brently R Young | Registered representative | Apr 2022 (4y) | ||
| Pedram Afzal | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Emma Tyler Leet | Registered representative | Apr 2022 (4y) | ||
| Joseph Ada | Registered representative | Apr 2022 (4y) | ||
| Malinda M. Martin | Registered representative | Apr 2022 (4y) | ||
| Mark Frederick Shultz | Registered representative | CFP | Apr 2022 (4y) | |
| Andrew John Scarry | Registered representative | Apr 2022 (4y) | ||
| Orzalla Sulaimankhil | Registered representative | Apr 2022 (4y) | ||
| Robert Ray Gomez | Registered representative | Apr 2022 (4y) | ||
| Waynette Marie Barnebee | Registered representative | Apr 2022 (4y) | ||
| Caryl Ann Adelman | Registered representative | Apr 2022 (4y) | ||
| Susan Choiniere Blomster | Registered representative | Apr 2022 (4y) | ||
| Anthony Jossue Palma | Registered representative | Apr 2022 (4y) | ||
| Dillon Phan Dang Magee | Registered representative | Apr 2022 (4y) | ||
| Louis S Donato | Registered representative | Apr 2022 (4y) | ||
| Sandra Cairns | Registered representative | Apr 2022 (4y) | ||
| Dmitry Panfilov | Registered representative | Apr 2022 (4y) | ||
| Lynnette Worstell | Registered representative | Apr 2022 (4y) | ||
| Roberto Hernandez | Registered representative | Apr 2022 (4y) | ||
| Ryan Carl Syrjala | Registered representative | Apr 2022 (4y) | ||
| Terry Kenneth Stephenson | Registered representative | Apr 2022 (4y) | ||
| Blake H Freeman | Registered representative | Apr 2022 (4y) | ||
| Christine Yuenyee Chesney | Registered representative | Apr 2022 (4y) | ||
| Daniel Testa | Registered representative | Apr 2022 (4y) | ||
| Laura Marie Ray | Registered representative | Apr 2022 (4y) | ||
| Leean Carole Hunchak | Registered representative | Apr 2022 (4y) | ||
| Luz Milena Delgado | Registered representative | Apr 2022 (4y) | ||
| Madhushka Wanniarachchige | Registered representative | Apr 2022 (4y) | ||
| Martin Edward Butler | Registered representative | CFP | Apr 2022 (4y) | |
| Claudia Castaneda Cornejo | Registered representative | Apr 2022 (4y) | ||
| Jeffrey Travis Wamsley | Registered representative | Apr 2022 (4y) | ||
| Juan Fransisco Flores | Registered representative | Apr 2022 (4y) | ||
| Michael J Callahan | Registered representative | Apr 2022 (4y) | ||
| Wilbert Dominguez | Registered representative | Apr 2022 (4y) | ||
| William Richard Zeltner | Registered representative | Apr 2022 (4y) | ||
| Adrian Montecinos | Registered representative | Apr 2022 (4y) | ||
| Brooklyn Lee Enderton | Registered representative | Apr 2022 (4y) | ||
| Dennis John Mccormick | Registered representative | Apr 2022 (4y) | ||
| Dinara Melisovna Meiramkulova | Registered representative | Apr 2022 (4y) | ||
| Edward J. Pavel | Registered representative | Apr 2022 (4y) | ||
| Jeffrey J Morrow | Registered representative | Apr 2022 (4y) | ||
| Leonard Neil Martin | Registered representative | Apr 2022 (4y) | ||
| Scott Allan Rovito | Registered representative | Apr 2022 (4y) | ||
| Candace Heiss Greene | Registered representative | Apr 2022 (4y) | ||
| Eric Mark Behr | Registered representative | Apr 2022 (4y) | ||
| Lunda Mwansa | Registered representative | Apr 2022 (4y) | ||
| Sydney Maiuro | Registered representative | Apr 2022 (4y) | ||
| Alan Roberto Mendoza | Registered representative | Apr 2022 (4y) | ||
| Jerad Chao | Registered representative | Apr 2022 (4y) | ||
| Michael Anthony Margiotta | Registered representative | Apr 2022 (4y) | ||
| Erica L Espinola | Registered representative | Apr 2022 (4y) | ||
| Mark Pliner | Registered representative | Apr 2022 (4y) | ||
| Matthew D Simpson | Registered representative | Apr 2022 (4y) | ||
| Ashveen Avikesh Goundar | Registered representative | Apr 2022 (4y) | ||
| Christopher Ian Alexander | Registered representative | Apr 2022 (4y) | ||
| Rose Celine Licup | Registered representative | Apr 2022 (4y) | ||
| Alexander Louis Blum | Registered representative | Apr 2022 (4y) | ||
| Cynthia Sherman | Registered representative | Apr 2022 (4y) | ||
| Eric Jordan Fuller | Registered representative | Apr 2022 (4y) | ||
| Jeffrey Johns | Registered representative | Apr 2022 (4y) | ||
| Anne Middleton | Registered representative | Apr 2022 (4y) | ||
| Carmelo Anthony Battaglia | Registered representative | Apr 2022 (4y) | ||
| Samaneh Yousefzadeh | Registered representative | Apr 2022 (4y) | ||
| Sarah Rose Harrington | Registered representative | Apr 2022 (4y) | ||
| Ubaldo Mendez | Registered representative | Apr 2022 (4y) | ||
| Yan Shevchenko | Registered representative | Apr 2022 (4y) | ||
| Bryan Stein | Registered representative | CFP | Apr 2022 (4y) | |
| Adam Ray Villalpando | Registered representative | Apr 2022 (4y) | ||
| Amy L Walker | Registered representative | Apr 2022 (4y) | ||
| Brett Stone Underberg | Registered representative | Apr 2022 (4y) | ||
| Bryan Jeffrey Schon | Registered representative | Apr 2022 (4y) | ||
| Gary Zampella | Registered representative | Apr 2022 (4y) | ||
| Michael Jerome Dymkowski | Registered representative | CFP | Apr 2022 (4y) | |
| Thao Nhu Thi Pham | Registered representative | Apr 2022 (4y) | ||
| Adrian A Guzman | Registered representative | Apr 2022 (4y) | ||
| Amor V Baca Chiriboga | Registered representative | Apr 2022 (4y) | ||
| Brian Amirian | Registered representative | Apr 2022 (4y) | ||
| Daniel R. Rundberg | Registered representative | Apr 2022 (4y) | ||
| Don C Reynolds | Registered representative | Apr 2022 (4y) | ||
| Donald C Reynolds | Registered representative | Apr 2022 (4y) | ||
| Jayme Lynne Sosne | Registered representative | Apr 2022 (4y) | ||
| Todd Arnold Perry | Registered representative | Apr 2022 (4y) | ||
| Claudio Eduardo Villarroel Gutierrez | Registered representative | May 2022 (4y) | ||
| Damian Agustin Pereira Nunez | Registered representative | May 2022 (4y) | ||
| David Joseph Yarema | Registered representative | May 2022 (4y) | ||
| Lawrence Bruce Katz | Registered representative | May 2022 (4y) | ||
| Thomas Frank Goforth | Registered representative | May 2022 (4y) | ||
| Ying Sun | Registered representative | May 2022 (4y) | ||
| Blake Michael Hammer | Registered representative | May 2022 (4y) | ||
| Christopher Todd Hunt | Registered representative | May 2022 (4y) | ||
| Matthew S Mcgroarty | Registered representative | May 2022 (4y) | ||
| Thomas Obrien | Registered representative | May 2022 (4y) | ||
| Dana K Forsgren | Registered representative | May 2022 (4y) | ||
| Ethan A Madura | Registered representative | May 2022 (4y) | ||
| Jorge Lozano | Registered representative | May 2022 (4y) | ||
| Andrea Cassandra Franco | Registered representative | May 2022 (4y) | ||
| Elise Syberg | Registered representative | May 2022 (4y) | ||
| Jeffrey J Smith | Registered representative | May 2022 (4y) | ||
| Laurelle Patricia Byrne Cody | Registered representative | May 2022 (4y) | ||
| Max Biaggi Kimmanee | Registered representative | May 2022 (4y) | ||
| Thaxton Thrasher Peterson | Registered representative | CFP | May 2022 (4y) | |
| Amee L Earl | Registered representative | CFP | May 2022 (4y) | |
| Christopher Shawn Cecil | Registered representative | May 2022 (4y) | ||
| Eric Sheffron | Registered representative | CFP | May 2022 (4y) | |
| Francia Elizabeth Davis | Registered representative | May 2022 (4y) | ||
| Robert Patrick | Registered representative | May 2022 (4y) | ||
| Sandy Sang | Registered representative | May 2022 (4y) | ||
| Zvaitwa Logan | Registered representative | May 2022 (4y) | ||
| Andre Williams | Registered representative | May 2022 (4y) | ||
| Clinton Bert | Registered representative | May 2022 (4y) | ||
| John E. Ter Oganesyan | Registered representative | May 2022 (4y) | ||
| Parker Brooks Dennis | Registered representative | May 2022 (4y) | ||
| Shelby Taylor Owens Barker | Registered representative | May 2022 (4y) | ||
| Andrew Stamper | Registered representative | May 2022 (4y) | ||
| Elizabeth Anna Novak | Registered representative | May 2022 (4y) | ||
| Theodora Davis Gotard | Registered representative | May 2022 (4y) | ||
| Jose Arturo Pena | Registered representative | May 2022 (4y) | ||
| Lizette Lara | Registered representative | May 2022 (4y) | ||
| Erik Ohanessian | Registered representative | May 2022 (4y) | ||
| Jeanzen Muriel Mercado | Registered representative | May 2022 (4y) | ||
| Juan Willis | Registered representative | May 2022 (4y) | ||
| Robert Emmett Knutzen | Registered representative | May 2022 (4y) | ||
| Samantha Dawn Dunkin | Registered representative | May 2022 (4y) | ||
| Cody Kilgore | Registered representative | May 2022 (4y) | ||
| Katie Marie Leone | Registered representative | May 2022 (4y) | ||
| Kevin Matthew Halifax | Registered representative | May 2022 (4y) | ||
| Larissa Neto Alvarez | Registered representative | May 2022 (4y) | ||
| Mark Kevin Blackwell | Registered representative | May 2022 (4y) | ||
| Michael S Hohenberger | Registered representative | CFP | May 2022 (4y) | |
| Taj Trimbo | Registered representative | May 2022 (4y) | ||
| William Thomas Clifton Pike | Registered representative | May 2022 (4y) | ||
| Carmen Youngblood | Registered representative | CFP | May 2022 (4y) | |
| Christopher Connell Altmiller | Registered representative | May 2022 (4y) | ||
| Monica Yates Harrison Church | Registered representative | May 2022 (4y) | ||
| Robel Kassahun | Registered representative | May 2022 (4y) | ||
| Thomas Blue | Registered representative | May 2022 (4y) | ||
| William Andrew Merritt | Registered representative | May 2022 (4y) | ||
| Brian Leo Schoenle | Registered representative | May 2022 (4y) | ||
| Christopher Scott Janusek | Registered representative | May 2022 (4y) | ||
| Donnie William Sanders | Registered representative | May 2022 (4y) | ||
| Jacklyn Joyce King | Registered representative | May 2022 (4y) | ||
| Marco Antonio Aguirre Espinosa | Registered representative | May 2022 (4y) | ||
| Nicolo Ray Manlapaz | Registered representative | CFP | May 2022 (4y) | |
| Helena Estvanova | Registered representative | May 2022 (4y) | ||
| Deborah Ann Flores | Registered representative | May 2022 (4y) | ||
| Domenico Mastropierro | Registered representative | May 2022 (4y) | ||
| Kimberly Jane Scott | Registered representative | May 2022 (4y) | ||
| Michael Edward Eichinger | Registered representative | May 2022 (4y) | ||
| Rupinder Kaur Malhi | Registered representative | May 2022 (4y) | ||
| Tuvia Gershon Liberman | Registered representative | CFA | May 2022 (4y) | |
| Dennis Edward Ganley | Registered representative | May 2022 (4y) | ||
| Gabriel Castellanos | Registered representative | May 2022 (4y) | ||
| Jacob Ramirez | Registered representative | May 2022 (4y) | ||
| Jesse Mizell Cofty | Registered representative | May 2022 (4y) | ||
| Joseph Arnold Vignoni | Registered representative | CFP | May 2022 (4y) | |
| Qurat Ul Ain Bana | Registered representative | May 2022 (4y) | ||
| Annu Mccarthy | Registered representative | May 2022 (4y) | ||
| John H Remmel | Registered representative | May 2022 (4y) | ||
| Jose R Aguirre Vega | Registered representative | May 2022 (4y) | ||
| Kelly Parham | Registered representative | May 2022 (4y) | ||
| Paul Andrew Rangel | Registered representative | May 2022 (4y) | ||
| Robert Trent Mcguire | Registered representative | May 2022 (4y) | ||
| Elizabeth Cueto | Registered representative | May 2022 (4y) | ||
| Evelyn Perez | Registered representative | May 2022 (4y) | ||
| Jesse Hinojosa | Registered representative | May 2022 (4y) | ||
| Briana Echols | Registered representative | May 2022 (4y) | ||
| Daniel A Conley | Registered representative | May 2022 (4y) | ||
| Elizabeth P Cothren | Registered representative | CFP | May 2022 (4y) | |
| Howard Wallace George | Registered representative | May 2022 (4y) | ||
| Jacob Gregory Mcbride | Registered representative | May 2022 (4y) | ||
| Michael Amador Vega | Registered representative | May 2022 (4y) | ||
| Michael Miles Mccoy | Registered representative | May 2022 (4y) | ||
| Prashant K Patel | Registered representative | May 2022 (4y) | ||
| Teresa Lynne Fritz | Registered representative | May 2022 (4y) | ||
| Amber Smith | Registered representative | Jun 2022 (4y) | ||
| Adam Jones | Registered representative | Jun 2022 (4y) | ||
| James Robustelli | Registered representative | Jun 2022 (4y) | ||
| Martin Cantu | Registered representative | Jun 2022 (4y) | ||
| Andreas Riemann | Registered representative | Jun 2022 (4y) | ||
| Joshua Ryan Waldron | Registered representative | Jun 2022 (4y) | ||
| Matthew Iroku | Registered representative | Jun 2022 (4y) | ||
| Brian J Bostancic | Registered representative | Jun 2022 (4y) | ||
| Camille S Meeks Stevens | Registered representative | Jun 2022 (4y) | ||
| Devon Massi | Registered representative | Jun 2022 (4y) | ||
| Francisco Armando Martinez Vazquez | Registered representative | Jun 2022 (4y) | ||
| Gil Tobias | Registered representative | Jun 2022 (4y) | ||
| Guido Oswaldo Mejia Aguaiza | Registered representative | Jun 2022 (4y) | ||
| Chenlin Xiao | Registered representative | Jun 2022 (4y) | ||
| Clay Wheeler | Registered representative | Jun 2022 (4y) | ||
| Daniel A. Figuly | Registered representative | CFP | Jun 2022 (4y) | |
| Jonathan Russell Heck | Registered representative | CFP | Jun 2022 (4y) | |
| Michael Dale Farish | Registered representative | CFP Chartered Financial Consultant | Jun 2022 (4y) | |
| Michal Kovac | Registered representative | CFP | Jun 2022 (4y) | |
| Philippe Burnah | Registered representative | Jun 2022 (4y) | ||
| Renee Penland Sorrell | Registered representative | Jun 2022 (4y) | ||
| Robert W Dewhurst | Registered representative | Jun 2022 (4y) | ||
| Thomas Alan Fliss | Registered representative | Jun 2022 (4y) | ||
| Brandon Burroughs | Registered representative | Jun 2022 (4y) | ||
| Cindy Erica Lanier | Registered representative | Jun 2022 (4y) | ||
| Jared R Hemann | Registered representative | CFP | Jun 2022 (4y) | |
| Robert David Weir | Registered representative | Jun 2022 (4y) | ||
| Bryan J Hoffman | Registered representative | Jun 2022 (4y) | ||
| Jesus Alcantar | Registered representative | Jun 2022 (4y) | ||
| Marshall Waller | Registered representative | Jun 2022 (4y) | ||
| Christopher Grant Bowen | Registered representative | Jun 2022 (4y) | ||
| Jaclyn Black Smith | Registered representative | Jun 2022 (4y) | ||
| Jennifer Drahos | Registered representative | Jun 2022 (4y) | ||
| Stephen Tucci | Registered representative | Jun 2022 (4y) | ||
| Anthony Kirk Hasen | Registered representative | Jun 2022 (4y) | ||
| Erik Norris Barlow | Registered representative | Jun 2022 (4y) | ||
| Shari Hopkins | Registered representative | Jun 2022 (4y) | ||
| Yakub Mathew | Registered representative | Jun 2022 (4y) | ||
| Zakkary H Fuchs | Registered representative | Jun 2022 (4y) | ||
| Andre Stubbs | Registered representative | Jun 2022 (4y) | ||
| Beth J Michele | Registered representative | Jun 2022 (4y) | ||
| Brian J Mckeon | Registered representative | Jun 2022 (4y) | ||
| Drew Donald Barlow | Registered representative | Jun 2022 (4y) | ||
| Jacob Todd Connelly | Registered representative | Jun 2022 (4y) | ||
| Katherine Ann Fleiss | Registered representative | Jun 2022 (4y) | ||
| Madelyn Cullen | Registered representative | Jun 2022 (4y) | ||
| Moises Gabriel Garcia | Registered representative | Jun 2022 (4y) | ||
| Jason David Williams | Registered representative | Jun 2022 (4y) | ||
| Jennifer Kasper | Registered representative | Jun 2022 (4y) | ||
| Raul Cerceda Cota | Registered representative | Jun 2022 (4y) | ||
| Sashene Nicole Powell | Registered representative | Jun 2022 (4y) | ||
| Svetlana Vladimirovna Williams | Registered representative | Jun 2022 (4y) | ||
| Marcos Calderon | Registered representative | CFP | Jun 2022 (4y) | |
| Moise Compaore | Registered representative | Jun 2022 (4y) | ||
| Nicholas C Nevala | Registered representative | Jun 2022 (4y) | ||
| Samira Arikat | Registered representative | Jun 2022 (4y) | ||
| Timothy Taylor | Registered representative | Jun 2022 (4y) | ||
| Jeremiah J Guinn | Registered representative | Jun 2022 (4y) | ||
| Leon Silvestre | Registered representative | Jun 2022 (4y) | ||
| Meenu Sharma | Registered representative | Jun 2022 (4y) | ||
| Peter Vandyk | Registered representative | Jun 2022 (4y) | ||
| Zachary J Showalter | Registered representative | Jun 2022 (4y) | ||
| Brian Taylor Armstrong | Registered representative | Jun 2022 (4y) | ||
| Chidozie Vincent Okoye | Registered representative | CFP | Jun 2022 (4y) | |
| Courtney Elizabeth Fagan | Registered representative | Jun 2022 (4y) | ||
| Mark Phillips | Registered representative | Jun 2022 (4y) | ||
| Ann Brushier | Registered representative | Jun 2022 (4y) | ||
| Jordan Zed Ibarra | Registered representative | Jun 2022 (4y) | ||
| Kameron Lawson | Registered representative | Jun 2022 (4y) | ||
| Reynaldo Camacho | Registered representative | Jun 2022 (4y) | ||
| Tyler William Richards | Registered representative | Jun 2022 (4y) | ||
| Mario H Afram | Registered representative | Jun 2022 (4y) | ||
| Sarah Cowen | Registered representative | Jun 2022 (4y) | ||
| Wally Luu | Registered representative | Jun 2022 (4y) | ||
| Cecilia Mignon Ramos | Registered representative | Jun 2022 (4y) | ||
| Erin L Zawisza | Registered representative | Jun 2022 (4y) | ||
| Isabel Irene Bassi | Registered representative | Jun 2022 (4y) | ||
| Paul A Agliano | Registered representative | Jun 2022 (4y) | ||
| Todd Edward Dotterweich | Registered representative | Jun 2022 (4y) | ||
| Andrew Dibono | Registered representative | Jun 2022 (4y) | ||
| Kevin Richard Laursen | Registered representative | Jun 2022 (4y) | ||
| Sean Patrick Hines | Registered representative | Jun 2022 (4y) | ||
| Anthony Garrett | Registered representative | Jun 2022 (4y) | ||
| James Kyle Chapman | Registered representative | Jun 2022 (4y) | ||
| Melissa Sidor | Registered representative | Jun 2022 (4y) | ||
| Alan Holden Weber | Registered representative | CFP | Jun 2022 (4y) | |
| Robert Soto | Registered representative | Jun 2022 (4y) | ||
| Salvador Linaker | Registered representative | Jun 2022 (4y) | ||
| Douglas K Grantham | Registered representative | Jun 2022 (4y) | ||
| Jalaleddin Afifi | Registered representative | Jun 2022 (4y) | ||
| Paul Bithell | Registered representative | Jun 2022 (4y) | ||
| Andrew Michael May | Registered representative | Jul 2022 (4y) | ||
| Cynthia Anne Lowenstein | Registered representative | Jul 2022 (4y) | ||
| Erdener Bekar | Registered representative | Jul 2022 (4y) | ||
| Melissa Ann Ardourel | Registered representative | Jul 2022 (4y) | ||
| Na Ren | Registered representative | Jul 2022 (4y) | ||
| Robert Petix | Registered representative | Jul 2022 (4y) | ||
| Drew Joshua Williams | Registered representative | Jul 2022 (4y) | ||
| Tracy Lynn Keller | Registered representative | Jul 2022 (4y) | ||
| Ahmed Ali Elmaghraby | Registered representative | Jul 2022 (4y) | ||
| Barry Whitmore Croteau | Registered representative | Jul 2022 (4y) | ||
| Jason Beal | Registered representative | Jul 2022 (4y) | ||
| Matthew Goldstein | Registered representative | CFP | Jul 2022 (4y) | |
| Barry Kuhn | Registered representative | Jul 2022 (4y) | ||
| Kolton Chato | Registered representative | Jul 2022 (4y) | ||
| Patrick Murphy Smith | Registered representative | Jul 2022 (4y) | ||
| Jorge Ivan Sanchez | Registered representative | Jul 2022 (4y) | ||
| Jazmin Erendira Soriano | Registered representative | Jul 2022 (4y) | ||
| Allen Phelps Lovejoy | Registered representative | CFA | Jul 2022 (4y) | |
| Brittany Nicole Cook | Registered representative | Jul 2022 (4y) | ||
| David Matthew Ferman | Registered representative | Jul 2022 (4y) | ||
| Jack Ryan Curtis | Registered representative | Jul 2022 (4y) | ||
| Nathaniel Jones | Registered representative | CFP | Jul 2022 (4y) | |
| Asa Mahan Ramirez | Registered representative | Jul 2022 (4y) | ||
| David Andrew Barash | Registered representative | Jul 2022 (4y) | ||
| John Stinson | Registered representative | Jul 2022 (4y) | ||
| Juan Camilo Leon Ruiz | Registered representative | Jul 2022 (4y) | ||
| Kiri Ramsey | Registered representative | Jul 2022 (4y) | ||
| Leigh B Cunningham | Registered representative | Jul 2022 (4y) | ||
| Lindsey Rider | Registered representative | Jul 2022 (4y) | ||
| Michael John Mulreaney | Registered representative | Jul 2022 (4y) | ||
| Steven Daniel Crosby | Registered representative | Jul 2022 (4y) | ||
| Christopher Marsh | Registered representative | Jul 2022 (4y) | ||
| Krystal Michelle Meadows | Registered representative | Jul 2022 (4y) | ||
| Matthew E Bernstein | Registered representative | Jul 2022 (4y) | ||
| Richard Edwin Barron | Registered representative | Jul 2022 (4y) | ||
| Taylor Benjamin Willetts | Registered representative | Jul 2022 (4y) | ||
| Gregory Norman Beck | Registered representative | Jul 2022 (4y) | ||
| Shivam Patel | Registered representative | Jul 2022 (4y) | ||
| Braedon Alexander Straub Crawford | Registered representative | Jul 2022 (4y) | ||
| Charlie Cholhoon Park | Registered representative | Jul 2022 (4y) | ||
| Eric P Frappier | Registered representative | Jul 2022 (4y) | ||
| Jeffrey Jonathan Carrion | Registered representative | Jul 2022 (4y) | ||
| Jonathan Oyarzabal | Registered representative | Jul 2022 (4y) | ||
| Nicholas Tyler Cruz | Registered representative | Jul 2022 (4y) | ||
| Thomas Gomez | Registered representative | Jul 2022 (4y) | ||
| Yerard Yesus Bauza | Registered representative | Jul 2022 (4y) | ||
| Abraham Walter Patino Rodriguez | Registered representative | Jul 2022 (4y) | ||
| Christopher Coates | Registered representative | Jul 2022 (4y) | ||
| Daniel Herbert Raulerson | Registered representative | Jul 2022 (4y) | ||
| Frederick Paul Reiner | Registered representative | Jul 2022 (4y) | ||
| Lori Keech | Registered representative | Jul 2022 (4y) | ||
| Lynn Harnedy | Registered representative | Jul 2022 (4y) | ||
| Sean M Ryan | Registered representative | Jul 2022 (4y) | ||
| Wesley A Thompson | Registered representative | Jul 2022 (4y) | ||
| Jason William Crownover | Registered representative | Jul 2022 (4y) | ||
| Jeffrey Earl Rakes | Registered representative | Jul 2022 (4y) | ||
| Yvonne Kamstra | Registered representative | Jul 2022 (4y) | ||
| Abdiel Rivas | Registered representative | Jul 2022 (4y) | ||
| Adrienne Elizabeth Brown | Registered representative | Jul 2022 (4y) | ||
| Andrew James Tempelis | Registered representative | Jul 2022 (4y) | ||
| Christine Hall | Registered representative | Jul 2022 (4y) | ||
| Jerry F. Dillon | Registered representative | Jul 2022 (4y) | ||
| Khiry Devan Lee | Registered representative | Jul 2022 (4y) | ||
| Li Ming Yin | Registered representative | Jul 2022 (4y) | ||
| Ryan Wynn Tuff | Registered representative | CFP | Jul 2022 (4y) | |
| Savanna R Spears | Registered representative | Jul 2022 (4y) | ||
| Scott Andrew Lillibridge | Registered representative | Jul 2022 (4y) | ||
| Derion Tabb | Registered representative | Jul 2022 (4y) | ||
| Karen Elizabeth Peck | Registered representative | Jul 2022 (4y) | ||
| Miranda Michelle Peralta | Registered representative | Jul 2022 (4y) | ||
| Ryan Kohl | Registered representative | Jul 2022 (4y) | ||
| Tricia Maria Freeman | Registered representative | Jul 2022 (4y) | ||
| Veronika Kuzko | Registered representative | Jul 2022 (4y) | ||
| Carlos Missraim Salas | Registered representative | Jul 2022 (4y) | ||
| Christopher E Kabelac | Registered representative | Jul 2022 (4y) | ||
| Katelyn Eckroth | Registered representative | Jul 2022 (4y) | ||
| Owen Larsen Dodson | Registered representative | Jul 2022 (4y) | ||
| Sergey Poghosyan | Registered representative | Jul 2022 (4y) | ||
| Stephanie Torosian | Registered representative | Jul 2022 (4y) | ||
| Thomas Joseph Antonelli | Registered representative | Jul 2022 (4y) | ||
| William John Taratsas | Registered representative | Jul 2022 (4y) | ||
| Michael Gerard Hurley | Registered representative | Jul 2022 (4y) | ||
| Misti D. Flores | Registered representative | Jul 2022 (4y) | ||
| David Teninty Clawson | Registered representative | Jul 2022 (4y) | ||
| Henry Acuna Menchaca | Registered representative | Jul 2022 (4y) | ||
| Jacob James Brigham | Registered representative | Jul 2022 (4y) | ||
| Steven Clark Melton | Registered representative | Jul 2022 (4y) | ||
| Ana Cristina Martinez Aguilar | Registered representative | Jul 2022 (4y) | ||
| Berenice Sanchez | Registered representative | Aug 2022 (4y) | ||
| Deji Nathan Spencer Walters | Registered representative | Aug 2022 (4y) | ||
| George Edward Casstevens Moseley | Registered representative | Aug 2022 (4y) | ||
| Abigail Jean Beranek | Registered representative | Aug 2022 (4y) | ||
| Brandon Wilson | Registered representative | Aug 2022 (4y) | ||
| Marcus A Treadwell | Registered representative | Aug 2022 (4y) | ||
| Tina Michele Bryant | Registered representative | Aug 2022 (4y) | ||
| Kevin Tran | Registered representative | Aug 2022 (4y) | ||
| Matthew Paul Hjelmstad | Registered representative | Aug 2022 (4y) | ||
| Rebecca L Souders | Registered representative | Aug 2022 (4y) | ||
| Shelly Deanna Patterson | Registered representative | Aug 2022 (4y) | ||
| Dalton Butler | Registered representative | Aug 2022 (4y) | ||
| Jeffrey Luxenberg | Registered representative | Aug 2022 (4y) | ||
| Jesus Ivan Barboza Gonzalez | Registered representative | Aug 2022 (4y) | ||
| Kimberly Rolekia Burns | Registered representative | Aug 2022 (4y) | ||
| Ryan Jeffrey Zimont | Registered representative | Aug 2022 (4y) | ||
| Thomas Luong | Registered representative | Aug 2022 (4y) | ||
| Jessica Kelly | Registered representative | Aug 2022 (4y) | ||
| Joshua Cooper | Registered representative | Aug 2022 (4y) | ||
| Kelly Cindy Smith | Registered representative | Aug 2022 (4y) | ||
| Jean Rene Pelletier | Registered representative | Aug 2022 (4y) | ||
| Blake Claxton Mayo | Registered representative | Aug 2022 (4y) | ||
| Gunjan Nanda | Registered representative | Aug 2022 (4y) | ||
| Halle Howard | Registered representative | Aug 2022 (4y) | ||
| Jingyao Li | Registered representative | Aug 2022 (4y) | ||
| Jose Johnson Granados Perez | Registered representative | Aug 2022 (4y) | ||
| Rachel Marie Calsbeek | Registered representative | Aug 2022 (4y) | ||
| Robert Christopher Kniceley | Registered representative | Aug 2022 (4y) | ||
| Sangeeta Pinky Heines | Registered representative | Aug 2022 (4y) | ||
| Andrew Charles Blackman | Registered representative | Aug 2022 (4y) | ||
| Mathieu Danon | Registered representative | Aug 2022 (4y) | ||
| Sarah Uyen Pham | Registered representative | Aug 2022 (4y) | ||
| Jason Paul Ulogar | Registered representative | Aug 2022 (4y) | ||
| Stella Daikwor Alaba | Registered representative | Aug 2022 (4y) | ||
| Brandon Scott Herring | Registered representative | Aug 2022 (4y) | ||
| Monica Olson | Registered representative | Aug 2022 (4y) | ||
| Nathan Stephen Vandas | Registered representative | Aug 2022 (4y) | ||
| Thomas William Pickett | Registered representative | Aug 2022 (4y) | ||
| Dormina Getrude Nyondo | Registered representative | Aug 2022 (4y) | ||
| Ishioma Ikukaiwe Ekanem | Registered representative | Aug 2022 (4y) | ||
| Andreea Dumitru | Registered representative | Aug 2022 (4y) | ||
| Austin Niggli | Registered representative | Aug 2022 (4y) | ||
| Kelly Marie Stobb | Registered representative | CFP Chartered Financial Consultant | Aug 2022 (4y) | |
| Zachary Rudolph Stohr | Registered representative | Aug 2022 (4y) | ||
| Eric John Pitoscia | Registered representative | Aug 2022 (4y) | ||
| John Richard Wilcox | Registered representative | Aug 2022 (4y) | ||
| Sean Michael Roarty | Registered representative | Aug 2022 (4y) | ||
| Carroll Mac Wilson | Registered representative | Aug 2022 (4y) | ||
| Henry Zee Persons | Registered representative | Aug 2022 (4y) | ||
| Michael Lee Blumenfeld | Registered representative | Aug 2022 (4y) | ||
| Amy Yi Feng Chao | Registered representative | Aug 2022 (4y) | ||
| Roel Gonzales | Registered representative | Aug 2022 (4y) | ||
| Gary Le Lam | Registered representative | Aug 2022 (4y) | ||
| Matthew Todd Gelsheimer | Registered representative | Aug 2022 (4y) | ||
| Melissa Marie Lopez | Registered representative | Aug 2022 (4y) | ||
| Mark Raymond Whelan | Registered representative | Aug 2022 (4y) | ||
| Mohammad Umar Shams | Registered representative | Aug 2022 (4y) | ||
| Eduardo Roberto Gonzalez | Registered representative | Aug 2022 (4y) | ||
| Warren T Brashear | Registered representative | Aug 2022 (4y) | ||
| Brandon Robert Whelan | Registered representative | CFP | Aug 2022 (4y) | |
| Isaac Deter Rankin | Registered representative | Aug 2022 (4y) | ||
| Joanne Delores Marihart | Registered representative | Aug 2022 (4y) | ||
| Michael Stephen Nelson | Registered representative | Aug 2022 (4y) | ||
| Irene Mukabalisa Marcel | Registered representative | Aug 2022 (4y) | ||
| Justin Earl Branam | Registered representative | Aug 2022 (4y) | ||
| Michelle Ashley Kraus | Registered representative | Aug 2022 (4y) | ||
| Preston Thomas Snyder | Registered representative | Aug 2022 (4y) | ||
| Sharon Ellington | Registered representative | CFP | Aug 2022 (4y) | |
| Cosimo F. Favaloro | Registered representative | Aug 2022 (4y) | ||
| Thomas Stephen Michener | Registered representative | Aug 2022 (4y) | ||
| Mark Grafton | Registered representative | Aug 2022 (4y) | ||
| Ryan Fischer | Registered representative | Aug 2022 (4y) | ||
| Valice Watters | Registered representative | CFP | Aug 2022 (4y) | |
| Brittney Cicchetti | Registered representative | Sep 2022 (4y) | ||
| Francis Pinney | Registered representative | Sep 2022 (4y) | ||
| Brandon Rosen | Registered representative | Sep 2022 (4y) | ||
| Brian Carter Connerat | Registered representative | Sep 2022 (4y) | ||
| Byron Judd Firestone | Registered representative | Sep 2022 (4y) | ||
| Christopher Defelice | Registered representative | Sep 2022 (4y) | ||
| Kathleen L. Hurley | Registered representative | Sep 2022 (4y) | ||
| Philip Drews | Registered representative | Sep 2022 (4y) | ||
| Samuel Jonas Schaefer | Registered representative | Sep 2022 (4y) | ||
| Scott Edward Seltzer | Registered representative | Sep 2022 (4y) | ||
| Trevor Wilson | Registered representative | Sep 2022 (4y) | ||
| Tyler Patrick Whalen | Registered representative | Sep 2022 (4y) | ||
| Chuck Wong | Registered representative | CFP | Sep 2022 (4y) | |
| Erika Carper | Registered representative | Sep 2022 (4y) | ||
| John Frederick Sloop | Registered representative | Sep 2022 (4y) | ||
| Lissette Figueroa | Registered representative | Sep 2022 (4y) | ||
| Trudy Lynn Nishita | Registered representative | Sep 2022 (4y) | ||
| Janna Sirmans | Registered representative | Sep 2022 (4y) | ||
| Nicholas Jay Roberts | Registered representative | Sep 2022 (4y) | ||
| Franklin Mitchell Howell | Registered representative | Sep 2022 (4y) | ||
| Ian Matthew Beller | Registered representative | Sep 2022 (4y) | ||
| Jalmar Vega | Registered representative | Sep 2022 (4y) | ||
| Michael Lapenna | Registered representative | Sep 2022 (4y) | ||
| Riley Britan Rousseau | Registered representative | Sep 2022 (4y) | ||
| Samuel Cordova | Registered representative | Sep 2022 (4y) | ||
| Courtland Dreher | Registered representative | Sep 2022 (4y) | ||
| Aaron Julian Jackson | Registered representative | Sep 2022 (4y) | ||
| Carolina Cruz Askew | Registered representative | Sep 2022 (4y) | ||
| Diane Mentken | Registered representative | Sep 2022 (4y) | ||
| Io Taylor | Registered representative | Sep 2022 (4y) | ||
| Lauren Elizabeth Tuite | Registered representative | Sep 2022 (4y) | ||
| Alejandra Gabriela Cabrera | Registered representative | Sep 2022 (4y) | ||
| Desislava Georgieva Maloney | Registered representative | Sep 2022 (4y) | ||
| Eric Leonel Sanchez | Registered representative | Sep 2022 (4y) | ||
| Jared Fong | Registered representative | Sep 2022 (4y) | ||
| Brenda Laverne Feacher | Registered representative | Sep 2022 (4y) | ||
| Mahta Akbary | Registered representative | Sep 2022 (4y) | ||
| Quentin K Garcia | Registered representative | Sep 2022 (4y) | ||
| Ryan Deptula | Registered representative | Sep 2022 (4y) | ||
| Charles A Hessler | Registered representative | Sep 2022 (4y) | ||
| Hanh Thi Bich Nguyen | Registered representative | Sep 2022 (4y) | ||
| Jose Eduardo Paniagua | Registered representative | Sep 2022 (4y) | ||
| Joseph Battista Guerra | Registered representative | Sep 2022 (4y) | ||
| Christopher Edward Coghlan | Registered representative | Sep 2022 (4y) | ||
| David Scott Wilgus | Registered representative | Sep 2022 (4y) | ||
| Lori Saliers | Registered representative | Sep 2022 (4y) | ||
| Luis Lino Pelaez | Registered representative | Sep 2022 (4y) | ||
| Michael R Isaacson | Registered representative | Sep 2022 (4y) | ||
| Steven John Nulty | Registered representative | Sep 2022 (4y) | ||
| Amanda Estrada | Registered representative | Sep 2022 (4y) | ||
| Jeffrey Christopher Dresely | Registered representative | Sep 2022 (4y) | ||
| Parker Scott Balfany | Registered representative | Sep 2022 (4y) | ||
| Angela Marie Quick | Registered representative | Sep 2022 (4y) | ||
| Arthur Francis Devereux | Registered representative | Sep 2022 (4y) | ||
| Douglas Michael Becker | Registered representative | Sep 2022 (4y) | ||
| Yesbelt Fernandez | Registered representative | Sep 2022 (4y) | ||
| Andrew Logan Bryant | Registered representative | Sep 2022 (4y) | ||
| Carlos Miguel Martinez | Registered representative | Sep 2022 (4y) | ||
| Clark Dixon Bloom | Registered representative | Sep 2022 (4y) | ||
| Cody Paul Voge | Registered representative | Sep 2022 (4y) | ||
| Ian Andrew Beed | Registered representative | Sep 2022 (4y) | ||
| Jonathan Behrens | Registered representative | Sep 2022 (4y) | ||
| Michael Ponzo | Registered representative | Sep 2022 (4y) | ||
| Evan Andrew Schulte | Registered representative | Sep 2022 (4y) | ||
| Dale Andrew Beed | Registered representative | Sep 2022 (4y) | ||
| Galang Nguyen | Registered representative | Sep 2022 (4y) | ||
| Jamie Nichole Gerald | Registered representative | Sep 2022 (4y) | ||
| Kimberly Patton Swaim | Registered representative | Sep 2022 (4y) | ||
| Rebekah Kemp | Registered representative | Sep 2022 (4y) | ||
| David Manuel Tarrio | Registered representative | Sep 2022 (4y) | ||
| John Sheldon Kirkland | Registered representative | CFP | Sep 2022 (4y) | |
| Leshae Tyson | Registered representative | Sep 2022 (4y) | ||
| Ryan Paul Withers | Registered representative | Sep 2022 (4y) | ||
| Jordan Barck | Registered representative | Sep 2022 (4y) | ||
| Keith St. John | Registered representative | Sep 2022 (4y) | ||
| Yessenia Yaquelin Loza | Registered representative | Sep 2022 (4y) | ||
| Aaron Weston Brewer | Registered representative | CFP | Sep 2022 (4y) | |
| Joey Valenzuela | Registered representative | Sep 2022 (4y) | ||
| Richard James Gerhart | Registered representative | Sep 2022 (4y) | ||
| Sean Indrajit Sittambalam | Registered representative | Sep 2022 (4y) | ||
| Sunil Shashi Parekh | Registered representative | Sep 2022 (4y) | ||
| Travis Owens Gray | Registered representative | Sep 2022 (4y) | ||
| Christopher Yeager | Registered representative | Sep 2022 (4y) | ||
| Deborah Ruth Ebert | Registered representative | Sep 2022 (4y) | ||
| Lawrence Hau | Registered representative | Sep 2022 (4y) | ||
| Ronald Theodore Murphy | Registered representative | Sep 2022 (4y) | ||
| Ryan David Smith | Registered representative | Sep 2022 (4y) | ||
| Benito Canales | Registered representative | Oct 2022 (4y) | ||
| Christopher Pierce Pharis | Registered representative | Oct 2022 (4y) | ||
| Marvin Conrad | Registered representative | Oct 2022 (4y) | ||
| Salman Asif | Registered representative | Oct 2022 (4y) | ||
| Stuart C Smith | Registered representative | CFP | Oct 2022 (4y) | |
| Andy Mazmanian | Registered representative | Oct 2022 (4y) | ||
| Aren Hagop Kortoshian | Registered representative | Oct 2022 (4y) | ||
| Gidget A. Long | Registered representative | Oct 2022 (4y) | ||
| Stacy L. Dawson | Registered representative | Oct 2022 (4y) | ||
| Charles Everett Williams | Registered representative | Oct 2022 (4y) | ||
| Irene Elizabeth Herrera Robles | Registered representative | Oct 2022 (4y) | ||
| Michael Martin Zickert | Registered representative | Chartered Financial Consultant | Oct 2022 (4y) | |
| Christy Lee Broccardo | Registered representative | Oct 2022 (4y) | ||
| Daniel Walton | Registered representative | Oct 2022 (4y) | ||
| Guy Milner | Registered representative | CFP | Oct 2022 (4y) | |
| Kyle Jeffrey Szalay | Registered representative | Oct 2022 (4y) | ||
| Luis Alberto Munguia Garcia | Registered representative | Oct 2022 (4y) | ||
| Marlene Stacy Garcia | Registered representative | Oct 2022 (4y) | ||
| Noah Luebbehusen | Registered representative | Oct 2022 (4y) | ||
| Blas Steven Catalani | Registered representative | Oct 2022 (4y) | ||
| David Alejandro Santos | Registered representative | Oct 2022 (4y) | ||
| Halley Plourde | Registered representative | Oct 2022 (4y) | ||
| Joshua N Bishop | Registered representative | Oct 2022 (4y) | ||
| Mitchell Lum | Registered representative | CFP | Oct 2022 (4y) | |
| Ryan Sullivan | Registered representative | Oct 2022 (4y) | ||
| Brandon Vargas | Registered representative | Oct 2022 (4y) | ||
| Bruce Joseph Fenn | Registered representative | Oct 2022 (4y) | ||
| Cody Allsman | Registered representative | Oct 2022 (4y) | ||
| Darin Freshour | Registered representative | CFP | Oct 2022 (4y) | |
| George A Robles | Registered representative | Oct 2022 (4y) | ||
| Jeffrey Scott Mullins | Registered representative | Oct 2022 (4y) | ||
| Lisa Mullen | Registered representative | Oct 2022 (4y) | ||
| Luke Lafferty | Registered representative | Oct 2022 (4y) | ||
| Maxwell L Unwin | Registered representative | Oct 2022 (4y) | ||
| Richard Fox | Registered representative | Oct 2022 (4y) | ||
| Robert Cushman | Registered representative | Oct 2022 (4y) | ||
| Wayne Hamlin | Registered representative | Oct 2022 (4y) | ||
| Ching Yiu Ho | Registered representative | Oct 2022 (4y) | ||
| Christopher Lee Goff | Registered representative | Oct 2022 (4y) | ||
| Gregory Kenney | Registered representative | Oct 2022 (4y) | ||
| Austin Mccabe Gardiner | Registered representative | Oct 2022 (4y) | ||
| Ian Maxwell Logue Radicchi | Registered representative | Oct 2022 (4y) | ||
| Leigh Frith | Registered representative | Oct 2022 (4y) | ||
| Mark Richard Olson | Registered representative | Oct 2022 (4y) | ||
| Reid Foreman | Registered representative | Oct 2022 (4y) | ||
| Amita Chinnadurai | Registered representative | Oct 2022 (4y) | ||
| Anthony Alexander Clifford | Registered representative | Oct 2022 (4y) | ||
| Evgenia Alexandrovna Kazakov | Registered representative | Oct 2022 (4y) | ||
| Laura Elizabeth Bleakley | Registered representative | Oct 2022 (4y) | ||
| Sandra Chater | Registered representative | Oct 2022 (4y) | ||
| Timothy O. Moore | Registered representative | Oct 2022 (4y) | ||
| Edinson Ignacio Gomez | Registered representative | Oct 2022 (4y) | ||
| Jacquelyn Kelly Rae | Registered representative | Oct 2022 (4y) | ||
| Olabisi Olawunmi Akinrimisi | Registered representative | Oct 2022 (4y) | ||
| Steven Andrea Anderson | Registered representative | Oct 2022 (4y) | ||
| Conrad Anthony Sundqvistolmos | Registered representative | Oct 2022 (4y) | ||
| Kevin Kehoe | Registered representative | Oct 2022 (4y) | ||
| Arturo Alvarez | Registered representative | Oct 2022 (4y) | ||
| Brian J Karavish | Registered representative | Oct 2022 (4y) | ||
| Chinonye Uche Omoruyi | Registered representative | Oct 2022 (4y) | ||
| Jennifer Elizabeth Herron | Registered representative | Oct 2022 (4y) | ||
| Nicole Sapio Martinenko | Registered representative | Oct 2022 (4y) | ||
| Adam James Nowak | Registered representative | Oct 2022 (4y) | ||
| Michael Quan Dao | Registered representative | Oct 2022 (4y) | ||
| Paul K San | Registered representative | CFP | Oct 2022 (4y) | |
| Robert Benjamin Swartz | Registered representative | Oct 2022 (4y) | ||
| Robert Peter Lewis | Registered representative | Oct 2022 (4y) | ||
| David Hadder | Registered representative | Oct 2022 (4y) | ||
| Hang Thanh Nguyen | Registered representative | Oct 2022 (4y) | ||
| James Edward Szczesniak | Registered representative | Oct 2022 (4y) | ||
| Luis Angel Amaya | Registered representative | Oct 2022 (4y) | ||
| Shannon Marie Gross | Registered representative | Oct 2022 (4y) | ||
| Andrew Luis Ortiz | Registered representative | Oct 2022 (4y) | ||
| Carrie L Doyle | Registered representative | Oct 2022 (4y) | ||
| Charu Priya Karunakaran | Registered representative | Oct 2022 (4y) | ||
| Ndamzi Alex Lumati | Registered representative | Oct 2022 (4y) | ||
| Nery Osbaldo Lemus | Registered representative | Oct 2022 (4y) | ||
| Paxton Douglas Lindner Puelz | Registered representative | Oct 2022 (4y) | ||
| Rebekah Garretson Driggers | Registered representative | Oct 2022 (4y) | ||
| Daniel Byrnes | Registered representative | Oct 2022 (4y) | ||
| Lina Moskofian | Registered representative | Oct 2022 (4y) | ||
| Razan Ghatani | Registered representative | Oct 2022 (4y) | ||
| Tyler Douglas Anderson | Registered representative | Oct 2022 (4y) | ||
| Trevor La Rowe | Registered representative | Oct 2022 (4y) | ||
| Aaron Elsworth Towns | Registered representative | Oct 2022 (4y) | ||
| Eduardo Arzola | Registered representative | Oct 2022 (4y) | ||
| Irene Flores Mcleroy | Registered representative | Oct 2022 (4y) | ||
| Joshua Joseph Alan Franklin | Registered representative | Oct 2022 (4y) | ||
| Katherine Henderson | Registered representative | Oct 2022 (4y) | ||
| Nancy Anderson | Registered representative | Oct 2022 (4y) | ||
| Patricia Ann Rodgers | Registered representative | Oct 2022 (4y) | ||
| Hope Landrum Cooper | Registered representative | Oct 2022 (4y) | ||
| Kalu Awa Aja | Registered representative | Oct 2022 (4y) | ||
| Peter Anthony Scocca | Registered representative | CFP | Oct 2022 (4y) | |
| George H Wolf | Registered representative | Oct 2022 (4y) | ||
| Carlos Resendez Diaz | Registered representative | Oct 2022 (4y) | ||
| Lenny Joseph Lippert | Registered representative | Oct 2022 (4y) | ||
| Charles Leroy Butler | Registered representative | Nov 2022 (4y) | ||
| George J. Lesnik | Registered representative | CFP | Nov 2022 (4y) | |
| Hillary Kristin Rogers | Registered representative | Nov 2022 (4y) | ||
| Kevin Michael Welsh | Registered representative | Nov 2022 (4y) | ||
| Steven Victor | Registered representative | Nov 2022 (4y) | ||
| Sean Brandon De Frank | Registered representative | Nov 2022 (4y) | ||
| Abe Castellon | Registered representative | Nov 2022 (4y) | ||
| Daniel John Lind | Registered representative | Nov 2022 (4y) | ||
| Elizabeth Clifford | Registered representative | Nov 2022 (4y) | ||
| Giselle Vargas Madsen | Registered representative | Nov 2022 (4y) | ||
| Leah Dotinga | Registered representative | Nov 2022 (4y) | ||
| Satyajeet Shinde | Registered representative | Nov 2022 (4y) | ||
| Andrew F Fredric Perry | Registered representative | Nov 2022 (4y) | ||
| Ashley E Lefler | Registered representative | Nov 2022 (4y) | ||
| Heather Carter Molin | Registered representative | Nov 2022 (4y) | ||
| Ivan Israel Munoz Tabares | Registered representative | Nov 2022 (4y) | ||
| Mark Anthony Franciotti Jr. | Registered representative | Nov 2022 (4y) | ||
| Matthew Thomas Giugliano | Registered representative | Nov 2022 (4y) | ||
| Todd Michael Perry | Registered representative | Nov 2022 (4y) | ||
| Barry James Bourassa | Registered representative | Nov 2022 (4y) | ||
| Franz Albert Koch | Registered representative | Nov 2022 (4y) | ||
| Garrett Stephen Carlson | Registered representative | Nov 2022 (4y) | ||
| Jonathan Earl Gorton | Registered representative | Nov 2022 (4y) | ||
| Kevin M Rotolo | Registered representative | CFP | Nov 2022 (4y) | |
| William Peter Steck | Registered representative | Nov 2022 (4y) | ||
| John Cisco Digiovanna | Registered representative | Nov 2022 (4y) | ||
| Phedner Mezac Louis Jean | Registered representative | Nov 2022 (4y) | ||
| Sidney Wedolira Kabah | Registered representative | Nov 2022 (4y) | ||
| Amar Gogia | Registered representative | Nov 2022 (4y) | ||
| Christine Ashley Hornberger | Registered representative | Nov 2022 (4y) | ||
| Salvador Constantino Arizaga | Registered representative | Nov 2022 (4y) | ||
| Sharon W Zulueta | Registered representative | Nov 2022 (4y) | ||
| William Vail Phelps | Registered representative | Nov 2022 (4y) | ||
| Bianka Peneva | Registered representative | Nov 2022 (4y) | ||
| Fabiola Thomas | Registered representative | Nov 2022 (4y) | ||
| Gonzalo Luzuriaga | Registered representative | Nov 2022 (4y) | ||
| Anastasiia Shelest | Registered representative | Nov 2022 (4y) | ||
| Arpita Somani | Registered representative | Nov 2022 (4y) | ||
| Brett Stephen Poling | Registered representative | Nov 2022 (4y) | ||
| Christopher Michael Bardwell | Registered representative | Nov 2022 (4y) | ||
| Kathy Monroe Day | Registered representative | Nov 2022 (4y) | ||
| Fernanda Pereira Quinete Vezina | Registered representative | Nov 2022 (4y) | ||
| John Peter Delmonico | Registered representative | Nov 2022 (4y) | ||
| Austin Kratochvil | Registered representative | Nov 2022 (4y) | ||
| Douglas P Bower | Registered representative | Nov 2022 (4y) | ||
| Geoffrey Thomas Moore | Registered representative | Nov 2022 (4y) | ||
| Joseph Thomas Olson | Registered representative | Nov 2022 (4y) | ||
| Margarit Torosyan | Registered representative | Nov 2022 (4y) | ||
| Randall A Holmquist | Registered representative | Nov 2022 (4y) | ||
| Terri Lee Lane | Registered representative | Nov 2022 (4y) | ||
| Victoria Job | Registered representative | Nov 2022 (4y) | ||
| Ally Chiayin Li | Registered representative | Nov 2022 (4y) | ||
| Mario George Walker | Registered representative | Nov 2022 (4y) | ||
| Ruzanna Sargsyan | Registered representative | Nov 2022 (4y) | ||
| Lori Ann Gibson Hynson | Registered representative | Nov 2022 (4y) | ||
| Christopher Hernandez | Registered representative | Nov 2022 (4y) | ||
| Sameea Mughnee | Registered representative | Nov 2022 (4y) | ||
| Dairo Jose Lopez Payares | Registered representative | Nov 2022 (4y) | ||
| Erica Wenjun Wu | Registered representative | Nov 2022 (4y) | ||
| Trista M Allison | Registered representative | Nov 2022 (4y) | ||
| Matthew Halpern | Registered representative | Nov 2022 (4y) | ||
| Aaron Julian Lucash | Registered representative | Nov 2022 (4y) | ||
| David Aiah Abu Lebbie | Registered representative | Nov 2022 (4y) | ||
| Janei Armani Ankton | Registered representative | Nov 2022 (4y) | ||
| Jerome Francis Vandemotter | Registered representative | Nov 2022 (4y) | ||
| Brian Eugene Graber | Registered representative | Nov 2022 (4y) | ||
| Jessica Dean | Registered representative | Nov 2022 (4y) | ||
| Olivia Kristine O'bryan | Registered representative | Nov 2022 (4y) | ||
| Alberto J Torres | Registered representative | Nov 2022 (4y) | ||
| Charles Posey | Registered representative | Nov 2022 (4y) | ||
| Clint Parker | Registered representative | Nov 2022 (4y) | ||
| Michael A Rodriguez | Registered representative | Nov 2022 (4y) | ||
| Michael Shane Kundinger | Registered representative | Nov 2022 (4y) | ||
| Nathaniel Pangan Bernos | Registered representative | Nov 2022 (4y) | ||
| Bradley Alan Kirchner | Registered representative | Dec 2022 (4y) | ||
| Ghazala Ahmed | Registered representative | Dec 2022 (4y) | ||
| Elizabeth Ann Potter | Registered representative | Dec 2022 (4y) | ||
| Gary Alfonso | Registered representative | Dec 2022 (4y) | ||
| Harrison L Fisher | Registered representative | Dec 2022 (4y) | ||
| Stacy Paulino | Registered representative | Dec 2022 (4y) | ||
| Jacob Henry Patterson Santos | Registered representative | Dec 2022 (4y) | ||
| Alexis F Santiago | Registered representative | Dec 2022 (4y) | ||
| Andrew Lavoie | Registered representative | Dec 2022 (4y) | ||
| Rebecca Elizabeth Griffin | Registered representative | Dec 2022 (4y) | ||
| Ryan Cooper Edwards | Registered representative | Dec 2022 (4y) | ||
| Ryan Trudzinski | Registered representative | Dec 2022 (4y) | ||
| Erica Castanon Haring | Registered representative | Dec 2022 (4y) | ||
| James Panowicz | Registered representative | Dec 2022 (4y) | ||
| Scott H. Turner | Registered representative | Dec 2022 (4y) | ||
| Jeremy Lee Jensen | Registered representative | Dec 2022 (4y) | ||
| Tin Dang Nguyen | Registered representative | Dec 2022 (4y) | ||
| Eric Wade Hudson | Registered representative | Dec 2022 (4y) | ||
| Brian Alexander Stuckey | Registered representative | Dec 2022 (4y) | ||
| Marshall Truman Cain | Registered representative | Dec 2022 (4y) | ||
| Anthony Gilbert Martinez | Registered representative | Dec 2022 (4y) | ||
| Bradley Heath Zisser | Registered representative | Dec 2022 (4y) | ||
| Clara Amada Guida | Registered representative | Dec 2022 (4y) | ||
| Nick Cherilus | Registered representative | Dec 2022 (4y) | ||
| Stephen Ernest Lomsdalen | Registered representative | Dec 2022 (4y) | ||
| Gary Sean Nigbur | Registered representative | Dec 2022 (4y) | ||
| Kapinga Mukenge | Registered representative | Dec 2022 (4y) | ||
| Mindy Spencer | Registered representative | CFP | Dec 2022 (4y) | |
| Noel Fields | Registered representative | Dec 2022 (4y) | ||
| Peter Seyedi | Registered representative | Dec 2022 (4y) | ||
| Robert Tannenbaum | Registered representative | Dec 2022 (4y) | ||
| Samuel Parker Knapp | Registered representative | Dec 2022 (4y) | ||
| Hector Ferran | Registered representative | CFP | Dec 2022 (4y) | |
| Jason Lyle Skrodenis | Registered representative | Dec 2022 (4y) | ||
| John Gregory Paffendorf | Registered representative | Dec 2022 (4y) | ||
| Kevin Robert Choi | Registered representative | Dec 2022 (4y) | ||
| Kevin Thorpe | Registered representative | Dec 2022 (4y) | ||
| Maegan Mcmanners Redden | Registered representative | Dec 2022 (4y) | ||
| Ruben Valdez | Registered representative | Dec 2022 (4y) | ||
| Gavin Y Lam | Registered representative | Dec 2022 (4y) | ||
| Lenard B Cohen | Registered representative | Dec 2022 (4y) | ||
| Matthew Orian | Registered representative | Dec 2022 (4y) | ||
| Serkan Uygur | Registered representative | Dec 2022 (4y) | ||
| Victor Manuel Fermin | Registered representative | Dec 2022 (4y) | ||
| John Richard Barnard | Registered representative | Dec 2022 (4y) | ||
| Justin Lawrence Schaffer | Registered representative | Dec 2022 (4y) | ||
| Rebecca Ellen Bush | Registered representative | Dec 2022 (4y) | ||
| Regan J Strinni | Registered representative | Dec 2022 (4y) | ||
| Stacy Gannon | Registered representative | Dec 2022 (4y) | ||
| Chris Ferguson | Registered representative | Dec 2022 (4y) | ||
| Ian Rowan Holmes | Registered representative | Dec 2022 (4y) | ||
| Alexander John Vicarisi | Registered representative | Dec 2022 (4y) | ||
| Bernardo Hickok Guerrero | Registered representative | Dec 2022 (4y) | ||
| Morgan Nicole Smith | Registered representative | Dec 2022 (4y) | ||
| Ehsan Gorjizadeh | Registered representative | Jan 2023 (4y) | ||
| Alexander Frumker | Registered representative | Jan 2023 (4y) | ||
| Arturo Rodriguez | Registered representative | Jan 2023 (4y) | ||
| Marvel Rotness | Registered representative | Jan 2023 (4y) | ||
| Jordan Anderson | Registered representative | Jan 2023 (4y) | ||
| Nikolay Bashmachnikov | Registered representative | Jan 2023 (4y) | ||
| Roberto Alejandro Garfias | Registered representative | Jan 2023 (4y) | ||
| Susanna Dee Pollock | Registered representative | Jan 2023 (4y) | ||
| Kimberly Braden Van Pelt | Registered representative | Jan 2023 (4y) | ||
| Kyle David Smith | Registered representative | CFP | Jan 2023 (4y) | |
| Luke Hopkins | Registered representative | Jan 2023 (4y) | ||
| Nolen James Quick | Registered representative | Jan 2023 (4y) | ||
| Jacob R Delamater | Registered representative | Jan 2023 (4y) | ||
| Larry Ken Smith | Registered representative | Jan 2023 (4y) | ||
| Monique Williams | Registered representative | Jan 2023 (4y) | ||
| Glen Gregory Guinto | Registered representative | Jan 2023 (4y) | ||
| John Clement Dufour | Registered representative | Jan 2023 (4y) | ||
| Kevin Lee Stone | Registered representative | Jan 2023 (4y) | ||
| Louis Vingi | Registered representative | Jan 2023 (4y) | ||
| Meredith L Varner | Registered representative | Jan 2023 (4y) | ||
| Neil J Kirk | Registered representative | Jan 2023 (4y) | ||
| Nicholas Bockstanz | Registered representative | Jan 2023 (4y) | ||
| Michael Jorgenson | Registered representative | Jan 2023 (4y) | ||
| Vicente Eduardo Contreras | Registered representative | Jan 2023 (4y) | ||
| Tara Ashley Macedo | Registered representative | Jan 2023 (4y) | ||
| Lucas Germain | Registered representative | Jan 2023 (4y) | ||
| Zachary Rankin | Registered representative | Jan 2023 (4y) | ||
| David Ackerman | Registered representative | Jan 2023 (4y) | ||
| Gregory Michael Fields | Registered representative | Jan 2023 (4y) | ||
| Alexander Joseph Drobot | Registered representative | Jan 2023 (4y) | ||
| Kellie Anne Cliborne | Registered representative | Jan 2023 (4y) | ||
| Kelsey Long | Registered representative | Jan 2023 (4y) | ||
| Armando Garza | Registered representative | Jan 2023 (4y) | ||
| Christopher A Busta | Registered representative | Jan 2023 (4y) | ||
| Danielle Annemarie Moeller | Registered representative | Jan 2023 (4y) | ||
| Jasmine Magdalena Stone Lemus | Registered representative | Jan 2023 (4y) | ||
| Jhon Jairo Colque | Registered representative | Jan 2023 (4y) | ||
| Patrick Paul | Registered representative | Jan 2023 (4y) | ||
| Renato Gutierrez Isaac | Registered representative | Jan 2023 (4y) | ||
| Spencer Matthew Paulson | Registered representative | Jan 2023 (4y) | ||
| Yevett Maraman | Registered representative | Jan 2023 (4y) | ||
| Giovanni Grande | Registered representative | Jan 2023 (4y) | ||
| Natalia Rodriguez Cuellar | Registered representative | Jan 2023 (4y) | ||
| Jonathan Hugh Register | Registered representative | Jan 2023 (4y) | ||
| Joseph Edward Meyer | Registered representative | Jan 2023 (4y) | ||
| Richard Lewis Faatz | Registered representative | Jan 2023 (4y) | ||
| Ryan Thomas Donaghy | Registered representative | Jan 2023 (4y) | ||
| Susan Conaty Yaba | Registered representative | Jan 2023 (4y) | ||
| Tevin Jeannis | Registered representative | Jan 2023 (4y) | ||
| Tyler Allen Thomas | Registered representative | Jan 2023 (4y) | ||
| Alexis Bachicha | Registered representative | Jan 2023 (4y) | ||
| Gerald Richard Gold | Registered representative | Jan 2023 (4y) | ||
| Jamie Ray Mitchell | Registered representative | Jan 2023 (4y) | ||
| Jill Donelle Moosbrugger | Registered representative | Jan 2023 (4y) | ||
| Keith Tuan Nguyen | Registered representative | Jan 2023 (4y) | ||
| Adam Duncan | Registered representative | Jan 2023 (4y) | ||
| Erizde Jesus Rios | Registered representative | Jan 2023 (4y) | ||
| Kevin Lee Hueth | Registered representative | Jan 2023 (4y) | ||
| Melinda Faye Ross | Registered representative | Jan 2023 (4y) | ||
| Victor Alexander Joseph | Registered representative | Jan 2023 (4y) | ||
| Yesenia Esquivel Martinez | Registered representative | Jan 2023 (4y) | ||
| Kristopher Frank Rocha | Registered representative | Jan 2023 (4y) | ||
| Dana Lee Borgschatz | Registered representative | Jan 2023 (4y) | ||
| Douglas Donaldson Moyer | Registered representative | Jan 2023 (4y) | ||
| Chelsey Ann Packer | Registered representative | Jan 2023 (4y) | ||
| Detarius Darnell Williams | Registered representative | Jan 2023 (4y) | ||
| Samira Abdul Hadi | Registered representative | Jan 2023 (4y) | ||
| Stephen N Cox | Registered representative | Jan 2023 (4y) | ||
| Yuk Ming Rebecca Chung | Registered representative | Jan 2023 (4y) | ||
| Mason David Zeikel Grove | Registered representative | Jan 2023 (4y) | ||
| Nancy Ann Hornberger | Registered representative | Jan 2023 (4y) | ||
| Stephen James Woodward | Registered representative | CFP | Jan 2023 (4y) | |
| Olivia Hennessee Rosekrans | Registered representative | Jan 2023 (4y) | ||
| Tania Chinedum Shaie Foster | Registered representative | Jan 2023 (4y) | ||
| Valarie Marie Neeley | Registered representative | Jan 2023 (4y) | ||
| Adrian Turnell | Registered representative | Feb 2023 (4y) | ||
| Gladys Lizanka Lopez | Registered representative | Feb 2023 (4y) | ||
| James Edward Mills | Registered representative | Feb 2023 (4y) | ||
| Julie Thuy Lan Ngo | Registered representative | Feb 2023 (4y) | ||
| Luis A Urbina | Registered representative | Feb 2023 (4y) | ||
| Meralyn Patricia Ratnasekera | Registered representative | Feb 2023 (4y) | ||
| Cirilo Alexander Suarez | Registered representative | Feb 2023 (3y) | ||
| Karen F Levy | Registered representative | Feb 2023 (3y) | ||
| Kevin M Sheerin | Registered representative | Feb 2023 (3y) | ||
| Maria Cristina Velasquez | Registered representative | Feb 2023 (3y) | ||
| Michael James Rodgers | Registered representative | Feb 2023 (3y) | ||
| Michelle Dee Schirado | Registered representative | Feb 2023 (3y) | ||
| Oluwabusola Aanu Adejumo | Registered representative | Feb 2023 (3y) | ||
| Amarantha Margulis | Registered representative | Feb 2023 (3y) | ||
| Dean Fitzgerald Clemetsen | Registered representative | Feb 2023 (3y) | ||
| Diego Guadalupe Moreno | Registered representative | Feb 2023 (3y) | ||
| Zachary Tapia | Registered representative | Feb 2023 (3y) | ||
| Ari B Matlick | Registered representative | Feb 2023 (3y) | ||
| Edgar Webb Bassick | Registered representative | Feb 2023 (3y) | ||
| Sean M Dorsey | Registered representative | Feb 2023 (3y) | ||
| Sandra Allen Petersdorf | Registered representative | Feb 2023 (3y) | ||
| Christopher S Lynch | Registered representative | Feb 2023 (3y) | ||
| Laura Lyons | Registered representative | Feb 2023 (3y) | ||
| Marile Jose Cornejo Blandon | Registered representative | Feb 2023 (3y) | ||
| Natalie Rodriguez Baires | Registered representative | Feb 2023 (3y) | ||
| Rebecca L Johnson | Registered representative | Feb 2023 (3y) | ||
| Robert Leroy Menard Iii | Registered representative | Feb 2023 (3y) | ||
| Travon Talley | Registered representative | Feb 2023 (3y) | ||
| Ashley Marie Hardeman | Registered representative | Feb 2023 (3y) | ||
| Zach Rahm | Registered representative | Feb 2023 (3y) | ||
| Brian Scott Borden | Registered representative | Feb 2023 (3y) | ||
| Daniel Dennis Retzlaff | Registered representative | Feb 2023 (3y) | ||
| Luke Edward Payne | Registered representative | CFP | Feb 2023 (3y) | |
| Benjamin Hopper | Registered representative | Feb 2023 (3y) | ||
| Michael Padilla | Registered representative | Feb 2023 (3y) | ||
| Alisia Rhodes | Registered representative | Feb 2023 (3y) | ||
| Beverly Woods Barry | Registered representative | Feb 2023 (3y) | ||
| Esther Tan | Registered representative | Feb 2023 (3y) | ||
| Stephanie T Wong | Registered representative | Feb 2023 (3y) | ||
| Travis Lee Mccormack | Registered representative | Feb 2023 (3y) | ||
| William Arthur Bridell | Registered representative | Feb 2023 (3y) | ||
| Aman Preet Kaur | Registered representative | Feb 2023 (3y) | ||
| Jennifer Valle | Registered representative | Feb 2023 (3y) | ||
| Jonathan Noriega | Registered representative | Feb 2023 (3y) | ||
| Quintin Shaw | Registered representative | Feb 2023 (3y) | ||
| Jill Salvatore | Registered representative | Feb 2023 (3y) | ||
| Joseph Matthew Scarff | Registered representative | Feb 2023 (3y) | ||
| Mathew Miller | Registered representative | Feb 2023 (3y) | ||
| Robert Lombri | Registered representative | Feb 2023 (3y) | ||
| Wanda E Rhim | Registered representative | Feb 2023 (3y) | ||
| Robert L Stanley | Registered representative | Feb 2023 (3y) | ||
| Ruan Gerhard Esterhuysen | Registered representative | Feb 2023 (3y) | ||
| Adolph Weil | Registered representative | Feb 2023 (3y) | ||
| Brendan Cosgrove | Registered representative | Feb 2023 (3y) | ||
| Sarah Meade Wood | Registered representative | Feb 2023 (3y) | ||
| Shawn Millimaki | Registered representative | Feb 2023 (3y) | ||
| Victoria Olegovna Sukhoy | Registered representative | Feb 2023 (3y) | ||
| Lev Beltser | Registered representative | Feb 2023 (3y) | ||
| Logan Alexander Schmitt | Registered representative | Mar 2023 (3y) | ||
| Mary Fravel Parsons | Registered representative | Mar 2023 (3y) | ||
| Shawn Peter Nolan | Registered representative | Mar 2023 (3y) | ||
| Susana Romero | Registered representative | Mar 2023 (3y) | ||
| Avery Kenyon | Registered representative | Mar 2023 (3y) | ||
| Sulieman E Nurideen | Registered representative | Mar 2023 (3y) | ||
| Joseph Alexander Brown | Registered representative | Mar 2023 (3y) | ||
| Lakeem Scott | Registered representative | Mar 2023 (3y) | ||
| Matthew D Cole | Registered representative | Mar 2023 (3y) | ||
| Tyrel Fawson | Registered representative | Mar 2023 (3y) | ||
| Christopher T Wheatley | Registered representative | Mar 2023 (3y) | ||
| Hugo Pallares | Registered representative | Mar 2023 (3y) | ||
| Joseph Zanolli | Registered representative | Mar 2023 (3y) | ||
| Hayden Latimer | Registered representative | Mar 2023 (3y) | ||
| Marelle Sylvester | Registered representative | Mar 2023 (3y) | ||
| Nathan Patrick Bruns | Registered representative | Mar 2023 (3y) | ||
| Daniel L Bono | Registered representative | Mar 2023 (3y) | ||
| Michael Case Carpenter | Registered representative | Mar 2023 (3y) | ||
| Joshua Ray Etheridge | Registered representative | Mar 2023 (3y) | ||
| Kevin Paul Martin | Registered representative | Mar 2023 (3y) | ||
| Marissa M Holdaway | Registered representative | Mar 2023 (3y) | ||
| Fareedullah Shah | Registered representative | Mar 2023 (3y) | ||
| Tatiana Sendetskaya | Registered representative | Mar 2023 (3y) | ||
| Aaron Joseph Till | Registered representative | Mar 2023 (3y) | ||
| Andrew James Weber | Registered representative | Mar 2023 (3y) | ||
| Anne Ferraraccio | Registered representative | Mar 2023 (3y) | ||
| Jonathan Williams | Registered representative | Mar 2023 (3y) | ||
| Daniel Lee | Registered representative | Mar 2023 (3y) | ||
| Narges Vicente | Registered representative | Mar 2023 (3y) | ||
| Steven Gilbert Andrews | Registered representative | Mar 2023 (3y) | ||
| Angelo Julian Lunavara | Registered representative | Mar 2023 (3y) | ||
| Geoff Ross Howard | Registered representative | Mar 2023 (3y) | ||
| Irina Parker | Registered representative | Mar 2023 (3y) | ||
| Michael S Karasick | Registered representative | Mar 2023 (3y) | ||
| Richard Polchinski | Registered representative | Mar 2023 (3y) | ||
| Andrew J Cheshire | Registered representative | Mar 2023 (3y) | ||
| Jesus Heriberto Contreras | Registered representative | Mar 2023 (3y) | ||
| Wen Zhang | Registered representative | Mar 2023 (3y) | ||
| Alexander Robert Newman | Registered representative | Mar 2023 (3y) | ||
| Christopher Eckert | Registered representative | Mar 2023 (3y) | ||
| Taran Campos | Registered representative | Mar 2023 (3y) | ||
| Christopher Ryan Heath | Registered representative | Mar 2023 (3y) | ||
| Jeneil Lea Baird | Registered representative | Mar 2023 (3y) | ||
| Toni Ann Mangum | Registered representative | Mar 2023 (3y) | ||
| Brian K Wallace | Registered representative | Mar 2023 (3y) | ||
| Danielle Marie Held | Registered representative | Mar 2023 (3y) | ||
| Jennifer Marie Mihelic | Registered representative | Mar 2023 (3y) | ||
| Marco Antonio Nava | Registered representative | Mar 2023 (3y) | ||
| Maxwell J Morgan | Registered representative | Mar 2023 (3y) | ||
| Burton Troy Medlin | Registered representative | Mar 2023 (3y) | ||
| Desiree Casey | Registered representative | Mar 2023 (3y) | ||
| Justin S Cobb | Registered representative | Mar 2023 (3y) | ||
| Kelsey Gibson | Registered representative | Mar 2023 (3y) | ||
| Robert Eh Solis | Registered representative | Mar 2023 (3y) | ||
| Adam Blake Swip | Registered representative | Mar 2023 (3y) | ||
| Christopher Michael Rumley | Registered representative | Mar 2023 (3y) | ||
| Daud Ibrahim Hassan | Registered representative | Mar 2023 (3y) | ||
| Megan B George | Registered representative | Mar 2023 (3y) | ||
| Robert Adams Leach | Registered representative | Mar 2023 (3y) | ||
| Anna Marie Ward | Registered representative | Mar 2023 (3y) | ||
| Crystal F Buchholz | Registered representative | Mar 2023 (3y) | ||
| Marina Stewart Davis | Registered representative | Mar 2023 (3y) | ||
| Cameron Tyler Carpenter | Registered representative | Mar 2023 (3y) | ||
| Cassie Malchus Thomson | Registered representative | Mar 2023 (3y) | ||
| Clift Richard O'byaw | Registered representative | Mar 2023 (3y) | ||
| Luis M Fernandez | Registered representative | Mar 2023 (3y) | ||
| Michael Terrence Sullivan | Registered representative | Mar 2023 (3y) | ||
| Rachael Bean | Registered representative | Mar 2023 (3y) | ||
| James David Delgado | Registered representative | Mar 2023 (3y) | ||
| Thomas F Parrish | Registered representative | Mar 2023 (3y) | ||
| Evan Quincy Handy | Registered representative | CFP | Mar 2023 (3y) | |
| Amir Ali Ghassemzadeh | Registered representative | Mar 2023 (3y) | ||
| Justin Paul Mackay | Registered representative | Mar 2023 (3y) | ||
| Ryan Butkus | Registered representative | Mar 2023 (3y) | ||
| Stephen Anthony Luthmann | Registered representative | Mar 2023 (3y) | ||
| Patricia Kim Keller | Registered representative | Apr 2023 (3y) | ||
| David Michael Delino | Registered representative | Apr 2023 (3y) | ||
| Grant Scott Mellon | Registered representative | Apr 2023 (3y) | ||
| Matthew Eric Syme | Registered representative | Apr 2023 (3y) | ||
| Gregory Vayhinger | Registered representative | Apr 2023 (3y) | ||
| Amal Mohamed Shoman | Registered representative | Apr 2023 (3y) | ||
| David Weigand | Registered representative | Apr 2023 (3y) | ||
| Jason Zack | Registered representative | Apr 2023 (3y) | ||
| Megan D Ginley | Registered representative | Apr 2023 (3y) | ||
| Nicholas Ford Sandusky | Registered representative | Apr 2023 (3y) | ||
| Rachel Fetter | Registered representative | Apr 2023 (3y) | ||
| Robert Stanton Barmen | Registered representative | Apr 2023 (3y) | ||
| B Lynn Crews Brooks | Registered representative | Apr 2023 (3y) | ||
| Derek Gene Johnston | Registered representative | Apr 2023 (3y) | ||
| Jeffrey David Shrives | Registered representative | Apr 2023 (3y) | ||
| Mark A James | Registered representative | CFP | Apr 2023 (3y) | |
| Matthew Benjamin Brinkley | Registered representative | Apr 2023 (3y) | ||
| Tonya Rasha Merriweather | Registered representative | Apr 2023 (3y) | ||
| Gibbs P Preston | Registered representative | Apr 2023 (3y) | ||
| Ebers Gustavo Lobos | Registered representative | Apr 2023 (3y) | ||
| Gregory Jean Baptiste | Registered representative | Apr 2023 (3y) | ||
| Harris G Cohen | Registered representative | Apr 2023 (3y) | ||
| Arnold Solalinde | Registered representative | Apr 2023 (3y) | ||
| Craig Harshey | Registered representative | Apr 2023 (3y) | ||
| Steven Schultz | Registered representative | Apr 2023 (3y) | ||
| Tyler Christian Muller | Registered representative | Apr 2023 (3y) | ||
| Malinda Dawn Hoffer | Registered representative | Apr 2023 (3y) | ||
| Paras Kumar | Registered representative | Apr 2023 (3y) | ||
| Deborah Brandao | Registered representative | Apr 2023 (3y) | ||
| Joel Boulanger | Registered representative | Apr 2023 (3y) | ||
| Alexander R Saak | Registered representative | Apr 2023 (3y) | ||
| Deanna Lynn Fonger | Registered representative | Apr 2023 (3y) | ||
| Elijah S Hall | Registered representative | Apr 2023 (3y) | ||
| Julian Hernandez | Registered representative | Apr 2023 (3y) | ||
| Monisha Tripathy | Registered representative | Apr 2023 (3y) | ||
| Christal Wendtland | Registered representative | Apr 2023 (3y) | ||
| Mark Wolf | Registered representative | Apr 2023 (3y) | ||
| Philip Antonio Barnes Ii | Registered representative | Apr 2023 (3y) | ||
| Anthony Sangrigoli | Registered representative | Apr 2023 (3y) | ||
| Gilberto De La Garza Rodriguez | Registered representative | Apr 2023 (3y) | ||
| Jacky Hin Pui Tsang | Registered representative | Apr 2023 (3y) | ||
| Luke Jonothan Frazier | Registered representative | Apr 2023 (3y) | ||
| Richard Leishman | Registered representative | Apr 2023 (3y) | ||
| Geramy Bonnette | Registered representative | Apr 2023 (3y) | ||
| Keroles George Azer | Registered representative | Apr 2023 (3y) | ||
| Robert Derrick Wagner | Registered representative | Apr 2023 (3y) | ||
| William Brett Hustead | Registered representative | Apr 2023 (3y) | ||
| Benjamin Carroll | Registered representative | Apr 2023 (3y) | ||
| Michael Allen Reed | Registered representative | Apr 2023 (3y) | ||
| Valerie Ryan Sturbaum | Registered representative | Apr 2023 (3y) | ||
| Kylie Nicole Pickenbrock | Registered representative | Apr 2023 (3y) | ||
| Wendy Castro Fernandes | Registered representative | Apr 2023 (3y) | ||
| David Hugh Jones | Registered representative | Apr 2023 (3y) | ||
| Ethan Broder | Registered representative | Apr 2023 (3y) | ||
| James Christopher King | Registered representative | Apr 2023 (3y) | ||
| Michael Joseph Perrone | Registered representative | Apr 2023 (3y) | ||
| Mitchel Alexander Blanco | Registered representative | Apr 2023 (3y) | ||
| Patrick Kelley | Registered representative | Apr 2023 (3y) | ||
| Peter Lawrence Borger | Registered representative | Apr 2023 (3y) | ||
| Dillon Kane Paningsoro | Registered representative | Apr 2023 (3y) | ||
| Hailey Swanson | Registered representative | Apr 2023 (3y) | ||
| Richard Aaron Mathaus | Registered representative | Apr 2023 (3y) | ||
| Stanley Joseph Janowiak | Registered representative | Apr 2023 (3y) | ||
| Deborah Suzanne Petansky | Registered representative | Apr 2023 (3y) | ||
| Neal John Fiore | Registered representative | Apr 2023 (3y) | ||
| Philip Michael | Registered representative | Apr 2023 (3y) | ||
| Robert Earl Peckham | Registered representative | Apr 2023 (3y) | ||
| Michelle L Schmidt | Registered representative | Apr 2023 (3y) | ||
| Jack William Petras | Registered representative | CFP | May 2023 (3y) | |
| James G Armistead | Registered representative | May 2023 (3y) | ||
| Lindsey Nichole Hitchcock | Registered representative | May 2023 (3y) | ||
| Peggy Knobbe | Registered representative | May 2023 (3y) | ||
| Ryan Duncan Carpenter | Registered representative | May 2023 (3y) | ||
| Ana Razel Santarina | Registered representative | May 2023 (3y) | ||
| David Mucha | Registered representative | May 2023 (3y) | ||
| Gary Jankowitz | Registered representative | May 2023 (3y) | ||
| Joshua Aaron Mueller | Registered representative | May 2023 (3y) | ||
| Robert Paul Gehlen | Registered representative | CFP | May 2023 (3y) | |
| Alexander Hutchinson Kadish | Registered representative | May 2023 (3y) | ||
| Jacob Tyler Kohut | Registered representative | May 2023 (3y) | ||
| Nicholas Evan Davey | Registered representative | May 2023 (3y) | ||
| William J Smallwood | Registered representative | May 2023 (3y) | ||
| Aaron M White | Registered representative | May 2023 (3y) | ||
| Heather Miran Chung | Registered representative | May 2023 (3y) | ||
| James Alexander Galitsis | Registered representative | May 2023 (3y) | ||
| Joshua Bousfield | Registered representative | CFP | May 2023 (3y) | |
| Joshua P Dopirak | Registered representative | May 2023 (3y) | ||
| Michael T Gordon | Registered representative | May 2023 (3y) | ||
| Sylvie M Raffray | Registered representative | May 2023 (3y) | ||
| Kathleen Ann Osterberg | Registered representative | May 2023 (3y) | ||
| Adam Oblad | Registered representative | May 2023 (3y) | ||
| Jared Keith Hall | Registered representative | May 2023 (3y) | ||
| Jared Lee Hensley | Registered representative | May 2023 (3y) | ||
| Juan Carlos Mendieta | Registered representative | May 2023 (3y) | ||
| Dimitri Betta | Registered representative | May 2023 (3y) | ||
| Ted Laporte | Registered representative | CFP | May 2023 (3y) | |
| Alec Ryan Bentman | Registered representative | May 2023 (3y) | ||
| Curtis Charles Dillon | Registered representative | May 2023 (3y) | ||
| Harrison Scott Meltzer | Registered representative | May 2023 (3y) | ||
| Jason Hersh | Registered representative | May 2023 (3y) | ||
| Jennifer Marie Balazs | Registered representative | May 2023 (3y) | ||
| Lucas S Pyper | Registered representative | May 2023 (3y) | ||
| Natia Rage | Registered representative | May 2023 (3y) | ||
| Rebecca A Olson | Registered representative | May 2023 (3y) | ||
| Amy Chaney | Registered representative | May 2023 (3y) | ||
| Bruce Alfred Bird | Registered representative | May 2023 (3y) | ||
| Cara Safy | Registered representative | May 2023 (3y) | ||
| David Bejaneishvili | Registered representative | May 2023 (3y) | ||
| Lise Minthe | Registered representative | May 2023 (3y) | ||
| Aris Paul Herbert Pantelas | Registered representative | May 2023 (3y) | ||
| Brittany Nicole Morton | Registered representative | May 2023 (3y) | ||
| Tyler James Jordan | Registered representative | May 2023 (3y) | ||
| Brad Arrington | Registered representative | May 2023 (3y) | ||
| Daniel Roman | Registered representative | May 2023 (3y) | ||
| Dennis Nepomuceno | Registered representative | May 2023 (3y) | ||
| Jeffrey Nizzardo | Registered representative | May 2023 (3y) | ||
| Jerry Elvis Kuhnert | Registered representative | May 2023 (3y) | ||
| Virginia Davis | Registered representative | May 2023 (3y) | ||
| William Stiles | Registered representative | May 2023 (3y) | ||
| Gabriel Nsia Owusu | Registered representative | May 2023 (3y) | ||
| Yasser Hanganee Kauaria | Registered representative | May 2023 (3y) | ||
| Christelle Tsalefackennangepsetedom | Registered representative | May 2023 (3y) | ||
| Danny Zelaya | Registered representative | May 2023 (3y) | ||
| William Douglas Hicks | Registered representative | May 2023 (3y) | ||
| Amanda Lyvette Robinson | Registered representative | May 2023 (3y) | ||
| Brian Beggs | Registered representative | May 2023 (3y) | ||
| Frank Guerrero | Registered representative | May 2023 (3y) | ||
| Josue Stores | Registered representative | May 2023 (3y) | ||
| Kendra Lee Ruga | Registered representative | May 2023 (3y) | ||
| Mario Arnal Reveles | Registered representative | May 2023 (3y) | ||
| Anne Marie Norris | Registered representative | May 2023 (3y) | ||
| David Lopez | Registered representative | May 2023 (3y) | ||
| Joseph John Digiso | Registered representative | May 2023 (3y) | ||
| Richard Ralph Juliano | Registered representative | May 2023 (3y) | ||
| Wade Barts | Registered representative | May 2023 (3y) | ||
| Yongxing Sun | Registered representative | May 2023 (3y) | ||
| Giovanna Pagano Decker | Registered representative | May 2023 (3y) | ||
| Korissa Janell Rojas | Registered representative | May 2023 (3y) | ||
| Andrew Ireaneus Grube | Registered representative | May 2023 (3y) | ||
| David Redding | Registered representative | May 2023 (3y) | ||
| Jacob Grant | Registered representative | May 2023 (3y) | ||
| Julia Elizabeth Happel | Registered representative | May 2023 (3y) | ||
| Tyler Bateman | Registered representative | May 2023 (3y) | ||
| William Goodnow | Registered representative | May 2023 (3y) | ||
| Dionna Falls | Registered representative | May 2023 (3y) | ||
| Richard John Rogers | Registered representative | May 2023 (3y) | ||
| Ryan Alexander Grai | Registered representative | May 2023 (3y) | ||
| Alec L Nielsen | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Elliot Richard Honan | Registered representative | Jun 2023 (3y) | ||
| Brett W Quick | Registered representative | Jun 2023 (3y) | ||
| Geoffrey Daniel Stephens | Registered representative | Jun 2023 (3y) | ||
| William Sa | Registered representative | Jun 2023 (3y) | ||
| David Rougeau | Registered representative | Jun 2023 (3y) | ||
| Eric Peterson | Registered representative | Jun 2023 (3y) | ||
| Ethel Lopez | Registered representative | CFP | Jun 2023 (3y) | |
| Garry Charles Pace | Registered representative | Jun 2023 (3y) | ||
| Jeannette Scott | Registered representative | Jun 2023 (3y) | ||
| Jeffrey Chow | Registered representative | CFP | Jun 2023 (3y) | |
| John Gary Bennett | Registered representative | Jun 2023 (3y) | ||
| Joshua Lee Pace | Registered representative | Jun 2023 (3y) | ||
| Laura Kane | Registered representative | Jun 2023 (3y) | ||
| Marciano Conrado Ambrosio Almeda | Registered representative | Jun 2023 (3y) | ||
| Ralph Santford Garner | Registered representative | Jun 2023 (3y) | ||
| Samuel Glassford | Registered representative | Jun 2023 (3y) | ||
| Armando Paruto | Registered representative | Jun 2023 (3y) | ||
| Jeffrey Marc Sherman | Registered representative | Jun 2023 (3y) | ||
| Justin Gibbs | Registered representative | Jun 2023 (3y) | ||
| Meagan Shonay Daniels | Registered representative | Jun 2023 (3y) | ||
| Okita Sevi | Registered representative | Jun 2023 (3y) | ||
| Stephen T Gribben | Registered representative | Jun 2023 (3y) | ||
| Arthur Nicholas Karabelas | Registered representative | Jun 2023 (3y) | ||
| James Craig Stretch | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Katherine Gabrielle Cisneros | Registered representative | Jun 2023 (3y) | ||
| Laquoria Sharp | Registered representative | Jun 2023 (3y) | ||
| Tony Lee Knebel | Registered representative | Jun 2023 (3y) | ||
| Robert Norman Blakeman | Registered representative | Jun 2023 (3y) | ||
| Katherine Sarb | Registered representative | Jun 2023 (3y) | ||
| Kimberly S Cordone | Registered representative | Jun 2023 (3y) | ||
| Elzara Shukurova | Registered representative | Jun 2023 (3y) | ||
| Aneesh Paul | Registered representative | Jun 2023 (3y) | ||
| Brendan Rodden | Registered representative | CFP | Jun 2023 (3y) | |
| Jackelyn Khalid | Registered representative | Jun 2023 (3y) | ||
| James Monroe Tapp | Registered representative | Jun 2023 (3y) | ||
| John Michael Scarff | Registered representative | Jun 2023 (3y) | ||
| Robert T Ferguson | Registered representative | Jun 2023 (3y) | ||
| Parham Rastbaf | Registered representative | Jun 2023 (3y) | ||
| Nicole Mimice Beck | Registered representative | Jun 2023 (3y) | ||
| Christopher Joseph Dwyer | Registered representative | Jun 2023 (3y) | ||
| Christopher Ryan Phillips | Registered representative | Jun 2023 (3y) | ||
| Michael E Terry | Registered representative | Jun 2023 (3y) | ||
| Robert Calder Stack | Registered representative | Jun 2023 (3y) | ||
| Joel Joshua Barkey | Registered representative | Jun 2023 (3y) | ||
| Nicholas Derbak | Registered representative | Jun 2023 (3y) | ||
| Derek M Dick | Registered representative | Jun 2023 (3y) | ||
| Diego T Gonzalez | Registered representative | Jun 2023 (3y) | ||
| Ibun Ando | Registered representative | Jun 2023 (3y) | ||
| Christa Lynn Lehmeier | Registered representative | Jun 2023 (3y) | ||
| Igor Gennadyevich Rudenko | Registered representative | Jun 2023 (3y) | ||
| Gregory Neal Wallace | Registered representative | Jun 2023 (3y) | ||
| John Kendall Seedall | Registered representative | Jun 2023 (3y) | ||
| Leonard Levi | Registered representative | Jun 2023 (3y) | ||
| Michael Timothy Brodnik | Registered representative | Jun 2023 (3y) | ||
| Sophie Iliescu | Registered representative | Jun 2023 (3y) | ||
| Wayne St John Hemans | Registered representative | Jun 2023 (3y) | ||
| Melissa Schoen | Registered representative | CFP | Jun 2023 (3y) | |
| Sharan Dhiman | Registered representative | Jun 2023 (3y) | ||
| Ashley Crystal Sundseth | Registered representative | Jun 2023 (3y) | ||
| Michael Derrow | Registered representative | Jun 2023 (3y) | ||
| Thomas Duke Penrose | Registered representative | Jun 2023 (3y) | ||
| Aaron James Winning | Registered representative | Jun 2023 (3y) | ||
| Carlos A Hurtado | Registered representative | Jun 2023 (3y) | ||
| Jason Edward Schott | Registered representative | Jun 2023 (3y) | ||
| Rituraj Shandilya | Registered representative | Jun 2023 (3y) | ||
| Todd Randall Hansen | Registered representative | Jun 2023 (3y) | ||
| Jeffrey James Crampton | Registered representative | CFP CFA | Jun 2023 (3y) | |
| Joseph Alexander Gifford | Registered representative | CFP | Jun 2023 (3y) | |
| Pavan Kumar Ravilisetty | Registered representative | Jun 2023 (3y) | ||
| Zhaolin Kang | Registered representative | Jun 2023 (3y) | ||
| Cameron Coe | Registered representative | Jun 2023 (3y) | ||
| Ed R Perez | Registered representative | Jun 2023 (3y) | ||
| Eduardo Hernandez | Registered representative | Jun 2023 (3y) | ||
| Michael John Black | Registered representative | Jun 2023 (3y) | ||
| Robert Agostino Rovetti | Registered representative | Jun 2023 (3y) | ||
| Robert Earl Coe | Registered representative | Jun 2023 (3y) | ||
| Roxanna Basetvat | Registered representative | Jun 2023 (3y) | ||
| Michael Paul Jones | Registered representative | Jul 2023 (3y) | ||
| Sarah Harms | Registered representative | Jul 2023 (3y) | ||
| Janet S Williams | Registered representative | Jul 2023 (3y) | ||
| William Paul Fink | Registered representative | Jul 2023 (3y) | ||
| Frank Douglas Mithun | Registered representative | Jul 2023 (3y) | ||
| Jonathan Frank Spitalny | Registered representative | Jul 2023 (3y) | ||
| Lisa Renae Stromvig | Registered representative | Jul 2023 (3y) | ||
| Giuliano Matteo Demartini | Registered representative | Jul 2023 (3y) | ||
| Irvin Sabino Hoyos Olea | Registered representative | Jul 2023 (3y) | ||
| Jasmine Simone Robinson | Registered representative | Jul 2023 (3y) | ||
| Levi Reigler | Registered representative | Jul 2023 (3y) | ||
| Thomas B. Anderson | Registered representative | Jul 2023 (3y) | ||
| Kelly Elizabeth Bates | Registered representative | Jul 2023 (3y) | ||
| Andrew Michael Smith | Registered representative | Jul 2023 (3y) | ||
| Arun Sharma | Registered representative | Jul 2023 (3y) | ||
| Frank Christopher Haklits | Registered representative | Jul 2023 (3y) | ||
| Liam Sebastian Tonner | Registered representative | Jul 2023 (3y) | ||
| Schekeeb Sidiqi | Registered representative | Jul 2023 (3y) | ||
| Albert Joseph Francis Demartini | Registered representative | Jul 2023 (3y) | ||
| Mayra Alejandra Suarez | Registered representative | Jul 2023 (3y) | ||
| Roberto Luis Burga | Registered representative | Jul 2023 (3y) | ||
| Rosa Laura Flores | Registered representative | Jul 2023 (3y) | ||
| Harrison D Payne | Registered representative | Jul 2023 (3y) | ||
| Kelsey C Knudson | Registered representative | Jul 2023 (3y) | ||
| Alexandria Krebs | Registered representative | Jul 2023 (3y) | ||
| Darion James Elder | Registered representative | Jul 2023 (3y) | ||
| Kevin Joseph Novak | Registered representative | Jul 2023 (3y) | ||
| Karanja Smith | Registered representative | Jul 2023 (3y) | ||
| Robert Whitcomb Damon | Registered representative | Jul 2023 (3y) | ||
| Ani Hakobyan | Registered representative | Jul 2023 (3y) | ||
| Joyce Wong Strasburg | Registered representative | Jul 2023 (3y) | ||
| Bradley Patterson | Registered representative | Jul 2023 (3y) | ||
| Laney Margaret Savoie | Registered representative | Jul 2023 (3y) | ||
| Robert Anthony Pisaneschi | Registered representative | Jul 2023 (3y) | ||
| Christopher Joseph Smith | Registered representative | Jul 2023 (3y) | ||
| Kimberly Surratt Piercey | Registered representative | Jul 2023 (3y) | ||
| Melinda E Marohl | Registered representative | Jul 2023 (3y) | ||
| Ramesh Dharmarajan | Registered representative | Jul 2023 (3y) | ||
| Conor Miller | Registered representative | Jul 2023 (3y) | ||
| Mark Stuart Baumrind | Registered representative | Jul 2023 (3y) | ||
| Robert Maalouf Kassouf | Registered representative | Jul 2023 (3y) | ||
| Shawn Theodore Curry | Registered representative | Jul 2023 (3y) | ||
| Amy E Walters | Registered representative | Jul 2023 (3y) | ||
| Robert Decker | Registered representative | Jul 2023 (3y) | ||
| Chao Xie | Registered representative | Jul 2023 (3y) | ||
| Gregory Zier | Registered representative | Jul 2023 (3y) | ||
| Maria Antonia Silva Hoyos | Registered representative | Jul 2023 (3y) | ||
| Adam Blake Jones | Registered representative | Jul 2023 (3y) | ||
| Aderonke Ayobami Ogunyode | Registered representative | Jul 2023 (3y) | ||
| Mark Allen Steffes | Registered representative | Jul 2023 (3y) | ||
| Colleen M Randall | Registered representative | Jul 2023 (3y) | ||
| Lloyd D Walker | Registered representative | Jul 2023 (3y) | ||
| Quillow Caidynce Blackwell | Registered representative | Jul 2023 (3y) | ||
| Stephen Crowder | Registered representative | Jul 2023 (3y) | ||
| Barry G Simmons | Registered representative | Jul 2023 (3y) | ||
| Edgar Cruz Castillo | Registered representative | Jul 2023 (3y) | ||
| James F Winnert | Registered representative | Jul 2023 (3y) | ||
| Johnathan Eric Ramirez | Registered representative | Jul 2023 (3y) | ||
| Richard Eugene Borish | Registered representative | Jul 2023 (3y) | ||
| Timothy W Damon | Registered representative | Jul 2023 (3y) | ||
| Johanna Bethany Kinney | Registered representative | Jul 2023 (3y) | ||
| Kyle Edward Goettelmann | Registered representative | Jul 2023 (3y) | ||
| Lucas M Higgins | Registered representative | Jul 2023 (3y) | ||
| Matthew Cannariato | Registered representative | CFP | Jul 2023 (3y) | |
| Brandon Mcintosh | Registered representative | Aug 2023 (3y) | ||
| Caroline Elizabeth Cowley | Registered representative | Aug 2023 (3y) | ||
| Gina Runions | Registered representative | Aug 2023 (3y) | ||
| James Randall Bronson | Registered representative | Aug 2023 (3y) | ||
| Jesse Michael Conary | Registered representative | Aug 2023 (3y) | ||
| Jonathan Michael Cleveland | Registered representative | Aug 2023 (3y) | ||
| Lisa Marie Stout | Registered representative | Aug 2023 (3y) | ||
| Sean Carrick Mccloskey | Registered representative | Aug 2023 (3y) | ||
| Blair Franklin Rose | Registered representative | Aug 2023 (3y) | ||
| Nhan Trung Le | Registered representative | Aug 2023 (3y) | ||
| Forrest James Macneil | Registered representative | Aug 2023 (3y) | ||
| Karen Willis Fountain | Registered representative | Aug 2023 (3y) | ||
| Keith Alan Fountain | Registered representative | Aug 2023 (3y) | ||
| Michael Polk Gainor | Registered representative | Aug 2023 (3y) | ||
| Bernard Robert Joseph | Registered representative | CFP | Aug 2023 (3y) | |
| Lori S Greeff | Registered representative | Aug 2023 (3y) | ||
| Veronica Bastow | Registered representative | Aug 2023 (3y) | ||
| David Michael Alonso | Registered representative | Aug 2023 (3y) | ||
| Chanh Nhon Tran | Registered representative | Aug 2023 (3y) | ||
| Delano Davis | Registered representative | Aug 2023 (3y) | ||
| Fawn Tran Westlund | Registered representative | Aug 2023 (3y) | ||
| Shaan Raja | Registered representative | Aug 2023 (3y) | ||
| Brian W Fulton | Registered representative | Aug 2023 (3y) | ||
| Joseph Silas Ratchford | Registered representative | Aug 2023 (3y) | ||
| Mark Douglas Williams | Registered representative | Aug 2023 (3y) | ||
| Robert Neal Doebler | Registered representative | Aug 2023 (3y) | ||
| Dillon Mills | Registered representative | Aug 2023 (3y) | ||
| Dominick F Mattia | Registered representative | Aug 2023 (3y) | ||
| Michelle Vu Cejudo | Registered representative | Aug 2023 (3y) | ||
| Parker Russell Hardt | Registered representative | Aug 2023 (3y) | ||
| Brenda Iember Titus | Registered representative | Aug 2023 (3y) | ||
| Ryan Scott Lee | Registered representative | Aug 2023 (3y) | ||
| Charles Buysse | Registered representative | Aug 2023 (3y) | ||
| Courtney Brandon Peters | Registered representative | Aug 2023 (3y) | ||
| Dylan Andrew Heng | Registered representative | Aug 2023 (3y) | ||
| Lauren Ferris | Registered representative | Aug 2023 (3y) | ||
| Lynnel Fletcher | Registered representative | Aug 2023 (3y) | ||
| Madison Sullivan Duffy | Registered representative | Aug 2023 (3y) | ||
| Riley Pratt | Registered representative | Aug 2023 (3y) | ||
| Robert J Rogan | Registered representative | Aug 2023 (3y) | ||
| Stacy Ann Ruvo | Registered representative | Aug 2023 (3y) | ||
| Matthew Payton | Registered representative | Aug 2023 (3y) | ||
| Steven Joseph Bowers | Registered representative | Aug 2023 (3y) | ||
| Arlette Gurrola Morales | Registered representative | Aug 2023 (3y) | ||
| Hien Lai | Registered representative | Aug 2023 (3y) | ||
| Richard Alfonso Ibarra | Registered representative | Aug 2023 (3y) | ||
| Brian Michael Baca | Registered representative | Aug 2023 (3y) | ||
| Joe Alan Scott | Registered representative | Aug 2023 (3y) | ||
| Sasa Li | Registered representative | Aug 2023 (3y) | ||
| John Cork | Registered representative | CFP | Aug 2023 (3y) | |
| Aharon M Siegel | Registered representative | Aug 2023 (3y) | ||
| Robert Andrew Geveda | Registered representative | Aug 2023 (3y) | ||
| Brandon Michael Perry | Registered representative | Aug 2023 (3y) | ||
| Christian Clay Shveyda | Registered representative | Aug 2023 (3y) | ||
| David Rodney Webb | Registered representative | Aug 2023 (3y) | ||
| Joshua David Carr | Registered representative | Aug 2023 (3y) | ||
| Joshua Michael Roark | Registered representative | Aug 2023 (3y) | ||
| Masihullah Najibullah | Registered representative | Aug 2023 (3y) | ||
| William Edward Smith | Registered representative | Aug 2023 (3y) | ||
| Frederick Korfeh Tommy | Registered representative | Aug 2023 (3y) | ||
| Alan Lee Ward | Registered representative | Aug 2023 (3y) | ||
| Laura Agard | Registered representative | Aug 2023 (3y) | ||
| Skye Ferrell | Registered representative | Aug 2023 (3y) | ||
| Evan Prestera | Registered representative | Aug 2023 (3y) | ||
| Nicholas Alexander Jordan | Registered representative | Aug 2023 (3y) | ||
| Cody John Corcoran | Registered representative | Aug 2023 (3y) | ||
| Lareza Telan Hernandez | Registered representative | Aug 2023 (3y) | ||
| Melissa Noble Ligotti | Registered representative | Aug 2023 (3y) | ||
| Steven Mark Erenfryd | Registered representative | Aug 2023 (3y) | ||
| Victoria Cucina | Registered representative | Aug 2023 (3y) | ||
| Jeanette Erika Gecse Harriman | Registered representative | Aug 2023 (3y) | ||
| Thomas Michael Pittala | Registered representative | Aug 2023 (3y) | ||
| Victor Andres Lugo | Registered representative | Aug 2023 (3y) | ||
| Andres O Acosta | Registered representative | Sep 2023 (3y) | ||
| Kareli K Lopez Montoya | Registered representative | Sep 2023 (3y) | ||
| Matthew Martin Howley | Registered representative | Sep 2023 (3y) | ||
| Alvaro Antonio Pulido | Registered representative | Sep 2023 (3y) | ||
| Meghan M Fiorito | Registered representative | Sep 2023 (3y) | ||
| Andrew Joseph Lukcso | Registered representative | Sep 2023 (3y) | ||
| Eric C Sheridan | Registered representative | CFA | Sep 2023 (3y) | |
| Brandon Renard Wynn Milton | Registered representative | Sep 2023 (3y) | ||
| Brandon Haney | Registered representative | Sep 2023 (3y) | ||
| Jennifer Ruzicka Goeke | Registered representative | Sep 2023 (3y) | ||
| Michael Azzaro | Registered representative | Sep 2023 (3y) | ||
| Shane Scott Dempster | Registered representative | Sep 2023 (3y) | ||
| Yolanda F Wilson | Registered representative | Sep 2023 (3y) | ||
| Adel Refky Moussa | Registered representative | Sep 2023 (3y) | ||
| Anthony Christian Ricco Bojorquez | Registered representative | Sep 2023 (3y) | ||
| Julie Ann Sayasithsena | Registered representative | Sep 2023 (3y) | ||
| Amy Howe | Registered representative | Sep 2023 (3y) | ||
| Jesse Horton | Registered representative | Sep 2023 (3y) | ||
| Kathryn Black | Registered representative | Sep 2023 (3y) | ||
| Nataly V Miguel | Registered representative | Sep 2023 (3y) | ||
| Rima Chakraborty | Registered representative | Sep 2023 (3y) | ||
| Ian Eugene Sullivan | Registered representative | Sep 2023 (3y) | ||
| Mark D Stauffer | Registered representative | Sep 2023 (3y) | ||
| Brian P Moroz | Registered representative | Sep 2023 (3y) | ||
| Brandon William Hill | Registered representative | Sep 2023 (3y) | ||
| Bailey C Jensen | Registered representative | Sep 2023 (3y) | ||
| Kenneth Dejvongsa | Registered representative | Sep 2023 (3y) | ||
| Phuong Nguyen Lam | Registered representative | Sep 2023 (3y) | ||
| Suzanne Anita Small | Registered representative | Sep 2023 (3y) | ||
| Waheeda Kakar Noor | Registered representative | Sep 2023 (3y) | ||
| Alix Lee Storrer | Registered representative | Sep 2023 (3y) | ||
| Darien Shelton Mcdaniel | Registered representative | Sep 2023 (3y) | ||
| Shane Alan Mccurry | Registered representative | Sep 2023 (3y) | ||
| Micah Pinlac Pelletier | Registered representative | Sep 2023 (3y) | ||
| Ronsy Itty Thomas | Registered representative | Sep 2023 (3y) | ||
| Scott J B Crowell | Registered representative | Sep 2023 (3y) | ||
| Evelyn Aileen Mendez | Registered representative | Sep 2023 (3y) | ||
| Gregory Allen Cooper | Registered representative | Sep 2023 (3y) | ||
| Lovely Amar Agnihotri | Registered representative | Sep 2023 (3y) | ||
| Muhammad Abbas Dhanji | Registered representative | Sep 2023 (3y) | ||
| Alex Daniel Dahlen | Registered representative | Sep 2023 (3y) | ||
| Justo Raimundo Valladares | Registered representative | Sep 2023 (3y) | ||
| Yves Roussel | Registered representative | Sep 2023 (3y) | ||
| Adam T Dintelman | Registered representative | Sep 2023 (3y) | ||
| Daniel Morris Steinberg | Registered representative | CFA | Sep 2023 (3y) | |
| Essence Chane' Murphy Miller | Registered representative | Sep 2023 (3y) | ||
| Quinn Alexander Burkhalter | Registered representative | Sep 2023 (3y) | ||
| Shaun Skeris | Registered representative | CFA | Sep 2023 (3y) | |
| Jason Turner | Registered representative | Sep 2023 (3y) | ||
| Jordan Shapiro | Registered representative | Sep 2023 (3y) | ||
| Pedro Noe Ramirez Reyes | Registered representative | Sep 2023 (3y) | ||
| Lauren Davonne Williams | Registered representative | Sep 2023 (3y) | ||
| C Anthony Diclemente | Registered representative | Sep 2023 (3y) | ||
| Christopher Michael Curry | Registered representative | Sep 2023 (3y) | ||
| Michael John Dunleavy | Registered representative | Sep 2023 (3y) | ||
| Samuel David Gabin | Registered representative | Sep 2023 (3y) | ||
| Gail Annette Coleman | Registered representative | Oct 2023 (3y) | ||
| Ivan M Martinez Olmos | Registered representative | Oct 2023 (3y) | ||
| Jordan Felix | Registered representative | CFP | Oct 2023 (3y) | |
| Michael Pain | Registered representative | CFA | Oct 2023 (3y) | |
| Tyler A Solomon | Registered representative | Oct 2023 (3y) | ||
| Hai Bach Phan | Registered representative | Oct 2023 (3y) | ||
| Joshua Adam Paigen | Registered representative | CFP | Oct 2023 (3y) | |
| Quinston Daugherty | Registered representative | Oct 2023 (3y) | ||
| Grady Kane Coughlin | Registered representative | Oct 2023 (3y) | ||
| Alex Sanchez | Registered representative | Oct 2023 (3y) | ||
| Johnson Leung | Registered representative | Oct 2023 (3y) | ||
| David Henry Buterbaugh | Registered representative | Oct 2023 (3y) | ||
| Ana Ha Le | Registered representative | Oct 2023 (3y) | ||
| Jack Elton | Registered representative | Oct 2023 (3y) | ||
| Jennifer E Hulighan | Registered representative | Oct 2023 (3y) | ||
| Toiriste Winifred O'neal | Registered representative | Oct 2023 (3y) | ||
| Cameron Voegele | Registered representative | Oct 2023 (3y) | ||
| David Stern | Registered representative | Oct 2023 (3y) | ||
| Jeffrey G Kanterman | Registered representative | Oct 2023 (3y) | ||
| Cheryl Garcia Salerno | Registered representative | Oct 2023 (3y) | ||
| Evan T Dixon | Registered representative | Oct 2023 (3y) | ||
| Joseph Matthew Michalski | Registered representative | CFP | Oct 2023 (3y) | |
| Philip Kwon Hoa Cheng | Registered representative | Oct 2023 (3y) | ||
| David John Peyton | Registered representative | Oct 2023 (3y) | ||
| David N Ketchem | Registered representative | Oct 2023 (3y) | ||
| Jeffry Neal Carel | Registered representative | Oct 2023 (3y) | ||
| Jackson B Norman | Registered representative | Oct 2023 (3y) | ||
| Christian Hicks | Registered representative | Oct 2023 (3y) | ||
| Nathan Christopher Peters | Registered representative | Oct 2023 (3y) | ||
| Bailey J Rudolph | Registered representative | Oct 2023 (3y) | ||
| Carrie Anderson | Registered representative | Oct 2023 (3y) | ||
| Eric William Beatty | Registered representative | Oct 2023 (3y) | ||
| Lacey R Hodde | Registered representative | Oct 2023 (3y) | ||
| Malcolm K Briggs | Registered representative | Oct 2023 (3y) | ||
| Vishnu Kumar Bhatt | Registered representative | Oct 2023 (3y) | ||
| Ayden M Zuber | Registered representative | Oct 2023 (3y) | ||
| Isabella Holzschuh | Registered representative | Oct 2023 (3y) | ||
| Ross C Johnson | Registered representative | Oct 2023 (3y) | ||
| Yaopa Cheng | Registered representative | Oct 2023 (3y) | ||
| Adrian Alberto Ortega | Registered representative | Oct 2023 (3y) | ||
| Brendan R Kahl | Registered representative | Oct 2023 (3y) | ||
| Brian Scarberry | Registered representative | Oct 2023 (3y) | ||
| Joseph Michael Bonczek | Registered representative | Oct 2023 (3y) | ||
| Michael Robben | Registered representative | Oct 2023 (3y) | ||
| Nicholas Steve Stavrakis | Registered representative | Oct 2023 (3y) | ||
| Keven Michael Sheehy | Registered representative | Oct 2023 (3y) | ||
| Rachel Lauren Yelley | Registered representative | Oct 2023 (3y) | ||
| Shelby Williams | Registered representative | Oct 2023 (3y) | ||
| Behnam Lavian | Registered representative | Oct 2023 (3y) | ||
| Danielle Davidson Coleman | Registered representative | Oct 2023 (3y) | ||
| Gianpaolo Bicego | Registered representative | Oct 2023 (3y) | ||
| Jacob Rabin | Registered representative | Oct 2023 (3y) | ||
| Mark Dijamco | Registered representative | Oct 2023 (3y) | ||
| Neeraj Sharma | Registered representative | Oct 2023 (3y) | ||
| Nicholas Meinert | Registered representative | CFP | Oct 2023 (3y) | |
| Andrew Salvatore Vallone | Registered representative | Oct 2023 (3y) | ||
| Kellen Robert Dalrymple | Registered representative | Oct 2023 (3y) | ||
| Sameer Sait | Registered representative | Oct 2023 (3y) | ||
| Zachary S Henderson | Registered representative | Oct 2023 (3y) | ||
| Hernan Teran | Registered representative | Oct 2023 (3y) | ||
| Scott Haggas | Registered representative | Oct 2023 (3y) | ||
| David Lew | Registered representative | Oct 2023 (3y) | ||
| Elizabeth Adden Parsons | Registered representative | Oct 2023 (3y) | ||
| Helen Y Lee | Registered representative | Oct 2023 (3y) | ||
| Jessica Marie Tosti | Registered representative | Oct 2023 (3y) | ||
| Alexandra Nicole Puzon | Registered representative | Oct 2023 (3y) | ||
| Emelyn Larissa Sebastian | Registered representative | Oct 2023 (3y) | ||
| Jazmine L Hartzel | Registered representative | Oct 2023 (3y) | ||
| Andrea Gittleson | Registered representative | Oct 2023 (3y) | ||
| Ashley N Gilliam | Registered representative | Oct 2023 (3y) | ||
| Jeffrey David Sustarsic | Registered representative | Oct 2023 (3y) | ||
| Tina Mai Tran Vutam | Registered representative | Oct 2023 (3y) | ||
| Michael Scott Rains | Registered representative | Oct 2023 (3y) | ||
| Adam Khan Sahak | Registered representative | Nov 2023 (3y) | ||
| Matthew Pitzer | Registered representative | Nov 2023 (3y) | ||
| Allen Philip Cantoni | Registered representative | CFP | Nov 2023 (3y) | |
| Christian M Gehlen | Registered representative | Chartered Financial Consultant | Nov 2023 (3y) | |
| John Wai Cheang | Registered representative | Nov 2023 (3y) | ||
| Wendel Gregory Young | Registered representative | Nov 2023 (3y) | ||
| Alexandar Milovanovich | Registered representative | Nov 2023 (3y) | ||
| Dennis Cody | Registered representative | Nov 2023 (3y) | ||
| Jace Teague Hansen | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Nessia | Registered representative | Nov 2023 (3y) | ||
| Joshua Adam Aranda | Registered representative | Nov 2023 (3y) | ||
| Richard F Wenzel | Registered representative | Nov 2023 (3y) | ||
| Theresa Anne Kumar | Registered representative | Nov 2023 (3y) | ||
| Victoria M Wuesthoff | Registered representative | Nov 2023 (3y) | ||
| Andres Montes De Oca | Registered representative | Nov 2023 (3y) | ||
| Andrew John Beckerdite | Registered representative | Nov 2023 (3y) | ||
| Charmaine Corpus Carino | Registered representative | Nov 2023 (3y) | ||
| Evan Paulsen | Registered representative | Nov 2023 (3y) | ||
| Jaicie Sangoi | Registered representative | Nov 2023 (3y) | ||
| Janina Domenica Morello | Registered representative | Nov 2023 (3y) | ||
| Mauricio Rolando Ramirez | Registered representative | Nov 2023 (3y) | ||
| Ryan Martin | Registered representative | Nov 2023 (3y) | ||
| Wesley Gary Gunter | Registered representative | Nov 2023 (3y) | ||
| William James Nelson | Registered representative | Nov 2023 (3y) | ||
| Aparna Srikanth | Registered representative | Nov 2023 (3y) | ||
| Sergio J Canevett | Registered representative | Nov 2023 (3y) | ||
| Shawn Aubrey Arner | Registered representative | Nov 2023 (3y) | ||
| Spencer James Crocco | Registered representative | Nov 2023 (3y) | ||
| Ana Evelyn Nelson | Registered representative | Nov 2023 (3y) | ||
| Calixto Perez | Registered representative | Nov 2023 (3y) | ||
| India Elliott | Registered representative | Nov 2023 (3y) | ||
| James Ruggiero | Registered representative | Nov 2023 (3y) | ||
| Vincent Alexander Villa | Registered representative | CFA | Nov 2023 (3y) | |
| Megan Hoholski | Registered representative | Nov 2023 (3y) | ||
| Frank Kuo | Registered representative | Nov 2023 (3y) | ||
| Michael Christopher Loveless | Registered representative | Nov 2023 (3y) | ||
| Michael Yanez | Registered representative | Nov 2023 (3y) | ||
| Edgar Adrian Lopez | Registered representative | Nov 2023 (3y) | ||
| Erin Luksza Boice | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Alan Schmidt | Registered representative | Nov 2023 (3y) | ||
| Andrew Barry Lee | Registered representative | Nov 2023 (3y) | ||
| Conglong Yu | Registered representative | Nov 2023 (3y) | ||
| Douglas Lawrence Rupiper | Registered representative | CFP | Nov 2023 (3y) | |
| Kevin James Mcknight | Registered representative | Nov 2023 (3y) | ||
| Richard Mckinstry | Registered representative | Nov 2023 (3y) | ||
| Ondina Del Carmen Clevenger | Registered representative | Nov 2023 (3y) | ||
| Amir Reza Enayati Shariat Panahi | Registered representative | Nov 2023 (3y) | ||
| Cameron Samuel Sinclair | Registered representative | Nov 2023 (3y) | ||
| Desirae L Bennett | Registered representative | Nov 2023 (3y) | ||
| Nikolette Marie Cautilli | Registered representative | Nov 2023 (3y) | ||
| Jesse Glyer | Registered representative | Nov 2023 (3y) | ||
| Carlos M Calderon | Registered representative | Nov 2023 (3y) | ||
| Jason Adam Yorgensen | Registered representative | Nov 2023 (3y) | ||
| Mark Blackmer | Registered representative | Nov 2023 (3y) | ||
| Michael David Morrow | Registered representative | Nov 2023 (3y) | ||
| Vivienne Monique Gustavsen | Registered representative | Nov 2023 (3y) | ||
| Zachary Head | Registered representative | Nov 2023 (3y) | ||
| Ashley Clare Robinson | Registered representative | Nov 2023 (3y) | ||
| Irene H Mao | Registered representative | Nov 2023 (3y) | ||
| Francesco Cosmo Zappoli | Registered representative | Nov 2023 (3y) | ||
| Sharon Diana Kaplan | Registered representative | Nov 2023 (3y) | ||
| Andre Potter | Registered representative | Nov 2023 (3y) | ||
| Cleon Robert Cato | Registered representative | Nov 2023 (3y) | ||
| Davion H Chaidez | Registered representative | Nov 2023 (3y) | ||
| Robert Thomas Hendricks | Registered representative | Nov 2023 (3y) | ||
| Samuel Lewis Crossley | Registered representative | Chartered Financial Consultant | Nov 2023 (3y) | |
| Caroline Walker Wilhelm | Registered representative | Nov 2023 (3y) | ||
| Cheng Lan Chi | Registered representative | Nov 2023 (3y) | ||
| Karla Cecilia Zuniga Rivera | Registered representative | Nov 2023 (3y) | ||
| Robert Chen | Registered representative | Nov 2023 (3y) | ||
| Theresa Ann Currier | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Thomas Zeigler | Registered representative | CFP | Nov 2023 (3y) | |
| Marc W Chait | Registered representative | Nov 2023 (3y) | ||
| Henry G. Hubbell | Registered representative | Dec 2023 (3y) | ||
| Joseph Mark Hubbell | Registered representative | Dec 2023 (3y) | ||
| Julian Daniel Demalleville | Registered representative | Dec 2023 (3y) | ||
| Megan Judge | Registered representative | Dec 2023 (3y) | ||
| Yosr El Gharbi Valle | Registered representative | Dec 2023 (3y) | ||
| Jonathan Primo Nash | Registered representative | Chartered Financial Consultant | Dec 2023 (3y) | |
| Edward Railey | Registered representative | Dec 2023 (3y) | ||
| Leonora Chryssafis Bitas | Registered representative | Dec 2023 (3y) | ||
| Aaron Michael Johnson | Registered representative | Dec 2023 (3y) | ||
| Kyung Suk Choi | Registered representative | Dec 2023 (3y) | ||
| Margarita Ada Cardentey | Registered representative | Dec 2023 (3y) | ||
| Steven Mark Veydt | Registered representative | Dec 2023 (3y) | ||
| Daniel Alexander Rosenthal | Registered representative | CFP | Dec 2023 (3y) | |
| Roosevelt Kirk | Registered representative | Dec 2023 (3y) | ||
| Yong Joon Cho | Registered representative | Dec 2023 (3y) | ||
| Francesco Papa | Registered representative | Dec 2023 (3y) | ||
| George L Michalke | Registered representative | Dec 2023 (3y) | ||
| Jessica Renee Snyder | Registered representative | Dec 2023 (3y) | ||
| Michael Banayan | Registered representative | Dec 2023 (3y) | ||
| Aleksey Reznikov | Registered representative | Dec 2023 (3y) | ||
| Allison Mae Mark | Registered representative | Dec 2023 (3y) | ||
| Julio Edgardo Raimundo Valladares | Registered representative | Dec 2023 (3y) | ||
| Carolina Mata | Registered representative | Dec 2023 (3y) | ||
| Shelley L Fraker | Registered representative | Dec 2023 (3y) | ||
| Ailun Wang | Registered representative | Dec 2023 (3y) | ||
| Dustin Drew Whiting | Registered representative | Dec 2023 (3y) | ||
| James Cameron Taylor | Registered representative | Dec 2023 (3y) | ||
| Robert Guerrieri | Registered representative | Dec 2023 (3y) | ||
| Sana Claire Chander | Registered representative | Dec 2023 (3y) | ||
| Vinay Ahuja | Registered representative | Dec 2023 (3y) | ||
| Aleksandr Dmitrievich Pshichenko | Registered representative | Dec 2023 (3y) | ||
| Melvin Manuel Marroquin | Registered representative | Dec 2023 (3y) | ||
| Michael Cunha Miranda | Registered representative | Dec 2023 (3y) | ||
| Sam Trushenski | Registered representative | Dec 2023 (3y) | ||
| Thomas J Pasko | Registered representative | Dec 2023 (3y) | ||
| Aiden A Kiani | Registered representative | Dec 2023 (3y) | ||
| Jeffrey James Lazcano | Registered representative | Dec 2023 (3y) | ||
| Kelly Le Ho | Registered representative | Dec 2023 (3y) | ||
| Wala Marwan Abudamous | Registered representative | Dec 2023 (3y) | ||
| Alexander J Senyshyn | Registered representative | CFP | Dec 2023 (3y) | |
| Alberto Benjamin Vitela | Registered representative | Dec 2023 (3y) | ||
| Audrey Shankia Scott | Registered representative | Dec 2023 (3y) | ||
| Jamie M Reed | Registered representative | Dec 2023 (3y) | ||
| Xavier Martinez | Registered representative | Dec 2023 (3y) | ||
| Kyle Luke Younan | Registered representative | Dec 2023 (3y) | ||
| Madison Lee Hartley | Registered representative | Dec 2023 (3y) | ||
| Victoria M Ongara | Registered representative | Dec 2023 (3y) | ||
| Ross Edwards Keck | Registered representative | Dec 2023 (3y) | ||
| Dalia Samir Amin | Registered representative | Dec 2023 (3y) | ||
| John R Shaffer | Registered representative | Dec 2023 (3y) | ||
| Brian Ruiz | Registered representative | Jan 2024 (3y) | ||
| Devin Cole | Registered representative | Jan 2024 (3y) | ||
| Michael Lawrence Rickerby | Registered representative | Jan 2024 (3y) | ||
| Nilsson Estuardo Hernandez | Registered representative | Jan 2024 (3y) | ||
| Paula Pearce Griffin | Registered representative | Jan 2024 (3y) | ||
| Gary Wayne Edgar | Registered representative | Jan 2024 (3y) | ||
| Jade Alyse Skelton | Registered representative | Jan 2024 (3y) | ||
| Latonya Rose Golson Ballard | Registered representative | Jan 2024 (3y) | ||
| Nathan R Durham | Registered representative | CFP | Jan 2024 (3y) | |
| Yolanda Clark Suradarma | Registered representative | Jan 2024 (3y) | ||
| Andrew Christopher Stearns | Registered representative | Jan 2024 (3y) | ||
| Benjamin Parker Harrison | Registered representative | Jan 2024 (3y) | ||
| Erika Johana Hogan | Registered representative | Jan 2024 (3y) | ||
| Anthony Nichols | Registered representative | CFP | Jan 2024 (3y) | |
| Parker Kane Messick | Registered representative | Jan 2024 (3y) | ||
| Blake William Loen | Registered representative | Jan 2024 (3y) | ||
| Howard Kyle Hartley | Registered representative | Jan 2024 (3y) | ||
| Jason J Lewis | Registered representative | Jan 2024 (3y) | ||
| Johnny Daswani | Registered representative | Jan 2024 (3y) | ||
| Alex Dewey | Registered representative | Jan 2024 (3y) | ||
| Chloe D Sullivan | Registered representative | Jan 2024 (3y) | ||
| Hector Armando Pachuca Lara | Registered representative | Jan 2024 (3y) | ||
| Liya Lin | Registered representative | Jan 2024 (3y) | ||
| Seth Pirc | Registered representative | CFP | Jan 2024 (3y) | |
| Christopher John Bouley | Registered representative | Jan 2024 (3y) | ||
| Frank Martin Hobson | Registered representative | Jan 2024 (3y) | ||
| Morgan Elizabeth Kane | Registered representative | Jan 2024 (3y) | ||
| Graziella Bria La Rosa | Registered representative | Jan 2024 (3y) | ||
| Matthew David Boggs | Registered representative | Jan 2024 (3y) | ||
| Simone Clarke | Registered representative | Jan 2024 (3y) | ||
| Brooke Ashton Gray | Registered representative | Jan 2024 (3y) | ||
| Christina Livecchi | Registered representative | Jan 2024 (3y) | ||
| Gary P Wayne | Registered representative | Jan 2024 (3y) | ||
| Gregory Michel | Registered representative | Jan 2024 (3y) | ||
| Jacqueline R Pederson | Registered representative | Jan 2024 (3y) | ||
| Lisa L Malkin | Registered representative | Jan 2024 (3y) | ||
| Matthew James Alberding | Registered representative | Jan 2024 (3y) | ||
| Reed Sparling | Registered representative | Jan 2024 (3y) | ||
| Angelo J Brucchieri | Registered representative | Jan 2024 (3y) | ||
| Gregory Donahue | Registered representative | Jan 2024 (3y) | ||
| Rebekah Anne Woei | Registered representative | Jan 2024 (3y) | ||
| Kevin Connelly | Registered representative | Jan 2024 (3y) | ||
| Jacob Nathaniel Cumbo | Registered representative | Jan 2024 (3y) | ||
| Trent Brining | Registered representative | Jan 2024 (3y) | ||
| Anderson Wren | Registered representative | Jan 2024 (3y) | ||
| Harrison J Barnard | Registered representative | Jan 2024 (3y) | ||
| Taylor Seffels | Registered representative | Jan 2024 (3y) | ||
| Tyler Shigenaga | Registered representative | Jan 2024 (3y) | ||
| Kevin David Connelly | Registered representative | Jan 2024 (3y) | ||
| Preston T Brinkley | Registered representative | Jan 2024 (3y) | ||
| Caden Burns | Registered representative | Jan 2024 (3y) | ||
| H W Constantin Nelson | Registered representative | Jan 2024 (3y) | ||
| Michael Richard Schag | Registered representative | Jan 2024 (3y) | ||
| Nathaniel James Romero | Registered representative | Jan 2024 (3y) | ||
| Paul Joseph Curcio | Registered representative | Jan 2024 (3y) | ||
| Philip Schlitter | Registered representative | Jan 2024 (3y) | ||
| Shannon Kropp | Registered representative | CFP | Jan 2024 (3y) | |
| Demetrius Gill Levantini | Registered representative | Jan 2024 (3y) | ||
| Elliot Debrabander | Registered representative | Jan 2024 (3y) | ||
| Jacob Hyo Bless | Registered representative | Jan 2024 (3y) | ||
| Audra Renae Pritt | Registered representative | Jan 2024 (3y) | ||
| James Anthony Parsons | Registered representative | Jan 2024 (3y) | ||
| Michael Avery | Registered representative | Jan 2024 (3y) | ||
| Brett Fleckman | Registered representative | Jan 2024 (3y) | ||
| Garrett H Jernigan | Registered representative | Jan 2024 (3y) | ||
| Matthew Checkla | Registered representative | Jan 2024 (3y) | ||
| Morris Anthony Hilton | Registered representative | Jan 2024 (3y) | ||
| Guillermo Garsed | Registered representative | Jan 2024 (3y) | ||
| Jenniffer Edna Andrew | Registered representative | Jan 2024 (3y) | ||
| John Muir | Registered representative | Jan 2024 (3y) | ||
| Wilson Tyler Stokes | Registered representative | Jan 2024 (3y) | ||
| Daniel Leder | Registered representative | Jan 2024 (3y) | ||
| David Levin | Registered representative | CFP | Jan 2024 (3y) | |
| Isaac Joseph Matheny | Registered representative | Jan 2024 (3y) | ||
| Jennifer Johnson | Registered representative | Jan 2024 (3y) | ||
| Michael Anthony Dellisant | Registered representative | CFP | Jan 2024 (3y) | |
| Bryan Arnold Rhodes | Registered representative | Jan 2024 (3y) | ||
| Nydia Lupo | Registered representative | Jan 2024 (3y) | ||
| Vincent Jack Livigni | Registered representative | Jan 2024 (3y) | ||
| Luis Alberto Rivera | Registered representative | Feb 2024 (3y) | ||
| Chafic Rouhana | Registered representative | Feb 2024 (2y) | ||
| Kimberly Chu Jones | Registered representative | Feb 2024 (2y) | ||
| Linda Louise Capellupo | Registered representative | Feb 2024 (2y) | ||
| Bridget L Olson | Registered representative | Feb 2024 (2y) | ||
| Christopher Paul Ledoux | Registered representative | Feb 2024 (2y) | ||
| Giorgi Batiashvili | Registered representative | Feb 2024 (2y) | ||
| James Mooney Miller | Registered representative | Feb 2024 (2y) | ||
| Jonathan Matthew Pasimio | Registered representative | Feb 2024 (2y) | ||
| Ross B Miller | Registered representative | Feb 2024 (2y) | ||
| Wesley Blake Pool | Registered representative | Feb 2024 (2y) | ||
| Shirine Varsha Prasad | Registered representative | Feb 2024 (2y) | ||
| Ashley Armbruster Leightner | Registered representative | Feb 2024 (2y) | ||
| Ashley Elizabeth Hamilton | Registered representative | Feb 2024 (2y) | ||
| Brian Stevens | Registered representative | Feb 2024 (2y) | ||
| Clayton Runzo | Registered representative | Feb 2024 (2y) | ||
| Logan Zlomke | Registered representative | Feb 2024 (2y) | ||
| Stephen Marshall | Registered representative | Feb 2024 (2y) | ||
| Susanne P Robinson | Registered representative | Feb 2024 (2y) | ||
| Jane Teel | Registered representative | CFP | Feb 2024 (2y) | |
| Matthew Gafoa Fetui | Registered representative | Feb 2024 (2y) | ||
| Melodi A Cupp | Registered representative | Feb 2024 (2y) | ||
| Albert Yeboah | Registered representative | Feb 2024 (2y) | ||
| Gregory Thomas Chevrier | Registered representative | Feb 2024 (2y) | ||
| Jacqueline Messado | Registered representative | Feb 2024 (2y) | ||
| Jenna Myrick | Registered representative | Feb 2024 (2y) | ||
| Quinten Lyndell Bickford | Registered representative | Feb 2024 (2y) | ||
| Kristopher M Partridge | Registered representative | Feb 2024 (2y) | ||
| Whitney Leigh Welty | Registered representative | Feb 2024 (2y) | ||
| Brenda Patricia De La Riva Carpio | Registered representative | Feb 2024 (2y) | ||
| Georgina Ting Ting Man | Registered representative | Feb 2024 (2y) | ||
| Charles Hunt Griffith | Registered representative | Feb 2024 (2y) | ||
| Emily A Christian | Registered representative | Feb 2024 (2y) | ||
| Jenna Olson | Registered representative | Feb 2024 (2y) | ||
| Jennifer Marie Eberhard | Registered representative | Feb 2024 (2y) | ||
| Louis Benjamin Weitz | Registered representative | Feb 2024 (2y) | ||
| Mary Griffith Finkbohner | Registered representative | Feb 2024 (2y) | ||
| Shawn Michael Haider | Registered representative | Feb 2024 (2y) | ||
| Andrew Dane Mantack | Registered representative | Feb 2024 (2y) | ||
| Sylvia Guadalupe Sanchez | Registered representative | Feb 2024 (2y) | ||
| Matthew Allen Hartung | Registered representative | Feb 2024 (2y) | ||
| Michael Adam Pace | Registered representative | Feb 2024 (2y) | ||
| Sarah Scholz Mijts | Registered representative | Feb 2024 (2y) | ||
| Steven Michael Smith | Registered representative | Feb 2024 (2y) | ||
| Shalvindra Dutt | Registered representative | Feb 2024 (2y) | ||
| Matt Frederick | Registered representative | Feb 2024 (2y) | ||
| Susana Bee | Registered representative | Feb 2024 (2y) | ||
| Brian Witte | Registered representative | Feb 2024 (2y) | ||
| Carolyn Margaret Mciver | Registered representative | Feb 2024 (2y) | ||
| Gabriela Andreina Payot Borges | Registered representative | Feb 2024 (2y) | ||
| Manhsoort Lysanh | Registered representative | Feb 2024 (2y) | ||
| Daniel Thomas Pribble | Registered representative | Feb 2024 (2y) | ||
| William Kenneth Williams | Registered representative | Feb 2024 (2y) | ||
| Caleb Edward Greene | Registered representative | Feb 2024 (2y) | ||
| Chase William Cullison | Registered representative | Feb 2024 (2y) | ||
| Daniela Pineda | Registered representative | Feb 2024 (2y) | ||
| Gerald Yungling | Registered representative | Feb 2024 (2y) | ||
| Adam King | Registered representative | Feb 2024 (2y) | ||
| Alyssa Marie Peponis | Registered representative | Feb 2024 (2y) | ||
| Bryce Mitchell Whitaker | Registered representative | Feb 2024 (2y) | ||
| Ismael Eduardo Mejia | Registered representative | Feb 2024 (2y) | ||
| Justin M Oubre | Registered representative | Feb 2024 (2y) | ||
| Marcus Robinson | Registered representative | Feb 2024 (2y) | ||
| Robert E Simon | Registered representative | Feb 2024 (2y) | ||
| Aaron Thomas Lewis | Registered representative | Feb 2024 (2y) | ||
| Gregori Alexandre Volokhine | Registered representative | Feb 2024 (2y) | ||
| Jose Lee Laszlo | Registered representative | Feb 2024 (2y) | ||
| Brad Mitchell Lipsig | Registered representative | Mar 2024 (2y) | ||
| Brian Keith Davis | Registered representative | Mar 2024 (2y) | ||
| Joseph Anthony Queppet | Registered representative | Mar 2024 (2y) | ||
| Abel Rodriguez | Registered representative | Mar 2024 (2y) | ||
| Brittany Cheney | Registered representative | Mar 2024 (2y) | ||
| Merri Carol Hall | Registered representative | CFP | Mar 2024 (2y) | |
| Thomas Ronald Munshower | Registered representative | Mar 2024 (2y) | ||
| Casey Adam Muhtadi | Registered representative | Mar 2024 (2y) | ||
| Michael Mayer | Registered representative | Mar 2024 (2y) | ||
| Rodrigo Martinez | Registered representative | Mar 2024 (2y) | ||
| Jacob R Flading | Registered representative | Mar 2024 (2y) | ||
| Kevin John Cyr | Registered representative | Mar 2024 (2y) | ||
| Michael L Stewart | Registered representative | CFP | Mar 2024 (2y) | |
| Rick Lowell Conrad Vollmar | Registered representative | Mar 2024 (2y) | ||
| Sean Adler | Registered representative | Mar 2024 (2y) | ||
| Catherine King | Registered representative | Mar 2024 (2y) | ||
| Emily Anna Spyrou | Registered representative | Mar 2024 (2y) | ||
| Igor Lukajic | Registered representative | Mar 2024 (2y) | ||
| Jeremy T Booker | Registered representative | Mar 2024 (2y) | ||
| John Erik Olson | Registered representative | Mar 2024 (2y) | ||
| Joseph Brady Greco | Registered representative | Mar 2024 (2y) | ||
| Troy Anthony Litle | Registered representative | Mar 2024 (2y) | ||
| Fernando Rivera | Registered representative | Mar 2024 (2y) | ||
| Matthew Estel | Registered representative | Mar 2024 (2y) | ||
| Alex M Sullivan | Registered representative | Mar 2024 (2y) | ||
| Allison Suzanne Rhodes | Registered representative | Mar 2024 (2y) | ||
| Armeldo Hernandez | Registered representative | Mar 2024 (2y) | ||
| Chase Rene Sandera | Registered representative | CFP | Mar 2024 (2y) | |
| David Z Li | Registered representative | Mar 2024 (2y) | ||
| Jason W Camuti | Registered representative | Mar 2024 (2y) | ||
| Ro Derrick Vicente Branch | Registered representative | Mar 2024 (2y) | ||
| Matthew Buenafe Del Rosario | Registered representative | Mar 2024 (2y) | ||
| Ryan Aquino Ucol | Registered representative | Mar 2024 (2y) | ||
| Aalesa Jeniene Barker | Registered representative | Mar 2024 (2y) | ||
| Alex Patrick Beda | Registered representative | Mar 2024 (2y) | ||
| Caleb Phillips | Registered representative | Mar 2024 (2y) | ||
| Evelina Grigorova Delyakova Plummer | Registered representative | Mar 2024 (2y) | ||
| Kyle D Fryer | Registered representative | Mar 2024 (2y) | ||
| Michael Edward Maitner | Registered representative | Mar 2024 (2y) | ||
| Neil M Faulmino | Registered representative | Mar 2024 (2y) | ||
| Xiaoyu Jiang | Registered representative | Mar 2024 (2y) | ||
| Daulton Jacob Kline | Registered representative | Mar 2024 (2y) | ||
| Jeffrey H Ma | Registered representative | Mar 2024 (2y) | ||
| Juan Angeles Bernal | Registered representative | Mar 2024 (2y) | ||
| Kimberly Robinson | Registered representative | Mar 2024 (2y) | ||
| August Cohen | Registered representative | Mar 2024 (2y) | ||
| James C Newsom | Registered representative | Mar 2024 (2y) | ||
| Angus Sterling Mcdonald | Registered representative | Mar 2024 (2y) | ||
| Aracely Flores Chavez | Registered representative | Mar 2024 (2y) | ||
| Conveasna Ouch | Registered representative | Mar 2024 (2y) | ||
| Joshua Robert Curran | Registered representative | CFP | Mar 2024 (2y) | |
| Mark Allen Herega | Registered representative | Mar 2024 (2y) | ||
| Maryjo Sellers | Registered representative | Mar 2024 (2y) | ||
| Trenton Potter | Registered representative | Mar 2024 (2y) | ||
| Anthony Lopez | Registered representative | Mar 2024 (2y) | ||
| Marcy Morgan | Registered representative | Mar 2024 (2y) | ||
| Robin Michelle Heward | Registered representative | Mar 2024 (2y) | ||
| Bradley Cameron Roberson | Registered representative | Mar 2024 (2y) | ||
| Christopher James Andrews | Registered representative | Mar 2024 (2y) | ||
| Jose Rubio | Registered representative | Mar 2024 (2y) | ||
| Spencer Edward Cure | Registered representative | Mar 2024 (2y) | ||
| Joseph Jaime Camarena | Registered representative | Mar 2024 (2y) | ||
| Michael George O'connell | Registered representative | Mar 2024 (2y) | ||
| Oliver Hart Mische | Registered representative | Mar 2024 (2y) | ||
| Louis Kouri | Registered representative | Apr 2024 (2y) | ||
| Steven Corey Whitaker | Registered representative | Apr 2024 (2y) | ||
| Bernard Richards | Registered representative | Apr 2024 (2y) | ||
| Brittany Brianne Bruce | Registered representative | Apr 2024 (2y) | ||
| Michael Jay Haney | Registered representative | Apr 2024 (2y) | ||
| Shaundra Stapleton | Registered representative | Apr 2024 (2y) | ||
| Traci Lee Truett | Registered representative | Apr 2024 (2y) | ||
| Wasan Alzaidi | Registered representative | Apr 2024 (2y) | ||
| Andrew Arthur Jackson | Registered representative | Apr 2024 (2y) | ||
| James Anthony Ortega | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Kayla Elizabeth Anley | Registered representative | Apr 2024 (2y) | ||
| Susan Chrestman Boyd | Registered representative | Apr 2024 (2y) | ||
| Yung Yi | Registered representative | Apr 2024 (2y) | ||
| Bryant Harvey | Registered representative | Apr 2024 (2y) | ||
| Kevin Nagib Cordova Celleri | Registered representative | CFP | Apr 2024 (2y) | |
| Sophia Layla Ghaderi | Registered representative | Apr 2024 (2y) | ||
| Teodoro Uytingban | Registered representative | Apr 2024 (2y) | ||
| Thomas Miller | Registered representative | Apr 2024 (2y) | ||
| Lee Gleeman | Registered representative | Apr 2024 (2y) | ||
| Lisa Mccoy | Registered representative | Apr 2024 (2y) | ||
| Peter James Lamberti | Registered representative | Apr 2024 (2y) | ||
| Thiago De Souza Mendes | Registered representative | Apr 2024 (2y) | ||
| Bobson Lee | Registered representative | Apr 2024 (2y) | ||
| Cecily Lynn Mckenna | Registered representative | Apr 2024 (2y) | ||
| Connor Schene | Registered representative | Apr 2024 (2y) | ||
| Dianna Lynn Pasche | Registered representative | Apr 2024 (2y) | ||
| Erik Emmanuel Rodriguez Lopez | Registered representative | Apr 2024 (2y) | ||
| Jacob Dennis Bert Shereck | Registered representative | Apr 2024 (2y) | ||
| Lindsey Michaelides | Registered representative | Apr 2024 (2y) | ||
| Alyssa Lichelle Alexander | Registered representative | Apr 2024 (2y) | ||
| Amy Weaver Kleparek | Registered representative | Apr 2024 (2y) | ||
| Maximilian John Clark | Registered representative | Apr 2024 (2y) | ||
| Sergio Soto | Registered representative | Apr 2024 (2y) | ||
| Zachary M Brown | Registered representative | Apr 2024 (2y) | ||
| Jennifer Snider | Registered representative | Apr 2024 (2y) | ||
| Juan Carlos Diez | Registered representative | Apr 2024 (2y) | ||
| Robert M Molnar | Registered representative | Apr 2024 (2y) | ||
| Stephen Keith Taylor | Registered representative | Apr 2024 (2y) | ||
| Adam Robert Janowitz | Registered representative | Apr 2024 (2y) | ||
| Amrinder Singh Dhaliwal | Registered representative | Apr 2024 (2y) | ||
| Gerald Paul Gallagher | Registered representative | Apr 2024 (2y) | ||
| Jory M Fong | Registered representative | Apr 2024 (2y) | ||
| Johnathan C Shaw | Registered representative | CFP | Apr 2024 (2y) | |
| Kelly Susan Drinan | Registered representative | Apr 2024 (2y) | ||
| Khoren Martikyan | Registered representative | Apr 2024 (2y) | ||
| Larry George Roth | Registered representative | Apr 2024 (2y) | ||
| Lisa Amster Gorodistian | Registered representative | Apr 2024 (2y) | ||
| Michael Thomas Blood | Registered representative | Apr 2024 (2y) | ||
| Ronald O. Cuellar | Registered representative | Apr 2024 (2y) | ||
| Carl A Bentata Gryting | Registered representative | Apr 2024 (2y) | ||
| Ellen Ann Heekin | Registered representative | Apr 2024 (2y) | ||
| Jordan Allan | Registered representative | Apr 2024 (2y) | ||
| Lydia Merck Baker | Registered representative | Apr 2024 (2y) | ||
| Mark David Evans | Registered representative | Apr 2024 (2y) | ||
| Miguel Rafael Valdez | Registered representative | Apr 2024 (2y) | ||
| Robert Pizzimenti | Registered representative | Apr 2024 (2y) | ||
| Scott Workman | Registered representative | Apr 2024 (2y) | ||
| Corine Hatch | Registered representative | Apr 2024 (2y) | ||
| Feng Taylor | Registered representative | Apr 2024 (2y) | ||
| Noah Jamison Peters | Registered representative | Apr 2024 (2y) | ||
| Noel Aaron Todd | Registered representative | Apr 2024 (2y) | ||
| Ross Patrick Salas | Registered representative | Apr 2024 (2y) | ||
| Sammy Elguindi | Registered representative | Apr 2024 (2y) | ||
| Sean Evans | Registered representative | Apr 2024 (2y) | ||
| Steven Edward Hauser | Registered representative | Apr 2024 (2y) | ||
| Angelina Gabrielle Barfield | Registered representative | Apr 2024 (2y) | ||
| Elizabeth Harris Stucker | Registered representative | Apr 2024 (2y) | ||
| Erich Brashears | Registered representative | Apr 2024 (2y) | ||
| Ryan Bruce Barnett | Registered representative | Apr 2024 (2y) | ||
| Tyler Daniel Crawford | Registered representative | Apr 2024 (2y) | ||
| Yisrael Goldman | Registered representative | Apr 2024 (2y) | ||
| Howard Jesus Wheelock | Registered representative | Apr 2024 (2y) | ||
| Jackson Weaver | Registered representative | Apr 2024 (2y) | ||
| Scott Tarkington | Registered representative | Apr 2024 (2y) | ||
| Victor H Calva | Registered representative | Apr 2024 (2y) | ||
| Dominique Eisen Maniquis Dela Cruz | Registered representative | Apr 2024 (2y) | ||
| Rebecca Bryant Brammer | Registered representative | Apr 2024 (2y) | ||
| Richard Louis Trotta | Registered representative | Apr 2024 (2y) | ||
| Roy N Apple | Registered representative | Apr 2024 (2y) | ||
| Anna Vazquez | Registered representative | Apr 2024 (2y) | ||
| Anthony William Rizzo | Registered representative | Apr 2024 (2y) | ||
| Brett Adam Langbert | Registered representative | Apr 2024 (2y) | ||
| Casey Dougherty | Registered representative | Apr 2024 (2y) | ||
| Haig Boghossian | Registered representative | Apr 2024 (2y) | ||
| Jeremy Scott Schneider | Registered representative | Apr 2024 (2y) | ||
| Jose Miguel Clinich | Registered representative | Apr 2024 (2y) | ||
| Julissa M Nunez Jaquez | Registered representative | Apr 2024 (2y) | ||
| Kevin Michael Gai | Registered representative | Apr 2024 (2y) | ||
| Joseph Donald Farrell | Registered representative | Apr 2024 (2y) | ||
| Matthew Ray Fortune | Registered representative | Apr 2024 (2y) | ||
| Connor Robert Ruddy | Registered representative | Apr 2024 (2y) | ||
| David K Graham | Registered representative | Apr 2024 (2y) | ||
| Fernando Jesus Landeo | Registered representative | Apr 2024 (2y) | ||
| Julianna Henderson | Registered representative | Apr 2024 (2y) | ||
| Keith Cohen | Registered representative | Apr 2024 (2y) | ||
| Zahra Khan | Registered representative | Apr 2024 (2y) | ||
| Manuel Alfonso Baca | Registered representative | Apr 2024 (2y) | ||
| Laura Kline Tayloe | Registered representative | Apr 2024 (2y) | ||
| Nicholas Edward Day | Registered representative | Apr 2024 (2y) | ||
| Jason Omar Diaz Rodriguez | Registered representative | Apr 2024 (2y) | ||
| Janice Milara | Registered representative | Apr 2024 (2y) | ||
| Mark Edward Schuurman | Registered representative | CFP | Apr 2024 (2y) | |
| Erik Alexander Jankowski | Registered representative | May 2024 (2y) | ||
| Mohammad Nayeem Qureshi | Registered representative | May 2024 (2y) | ||
| Alexander Baxter Lane | Registered representative | May 2024 (2y) | ||
| Juan S Alzate | Registered representative | May 2024 (2y) | ||
| Michael P Martin | Registered representative | CFP | May 2024 (2y) | |
| Brooke Osterman | Registered representative | May 2024 (2y) | ||
| Camille Hilario Chowdhury | Registered representative | May 2024 (2y) | ||
| Christopher John Arduini | Registered representative | May 2024 (2y) | ||
| Danny Jay Buesing | Registered representative | May 2024 (2y) | ||
| Joel Michael Kosoff | Registered representative | May 2024 (2y) | ||
| Joshua Long | Registered representative | May 2024 (2y) | ||
| Mai Elkantar | Registered representative | May 2024 (2y) | ||
| Salome Chun Han | Registered representative | May 2024 (2y) | ||
| Allison Fuller | Registered representative | May 2024 (2y) | ||
| Vladimir Vinokurov | Registered representative | May 2024 (2y) | ||
| Brenda E Chavez | Registered representative | May 2024 (2y) | ||
| Jordan T Lollis | Registered representative | May 2024 (2y) | ||
| Sebastien Hoang My Alezeau | Registered representative | May 2024 (2y) | ||
| Guy Levhar | Registered representative | May 2024 (2y) | ||
| Hector Eduardo Tello Gallardo | Registered representative | May 2024 (2y) | ||
| Rodney Derrick Nalle | Registered representative | May 2024 (2y) | ||
| Thomas Michael Cartin | Registered representative | May 2024 (2y) | ||
| Hunter Steven Vanderwaal | Registered representative | May 2024 (2y) | ||
| Steven J Rastrelli | Registered representative | May 2024 (2y) | ||
| Carla Michelle Bulnes | Registered representative | May 2024 (2y) | ||
| Jessica L Palpallatoc | Registered representative | May 2024 (2y) | ||
| Kristoffer Carseni | Registered representative | CFP | May 2024 (2y) | |
| Kevin Osborn | Registered representative | May 2024 (2y) | ||
| Abigail Elizabeth Marinelli | Registered representative | May 2024 (2y) | ||
| Kiara Thompson | Registered representative | May 2024 (2y) | ||
| Natalie Marie Sutcliffe | Registered representative | May 2024 (2y) | ||
| Alisha Cypcar Ruiz | Registered representative | May 2024 (2y) | ||
| Mairelys Salazar | Registered representative | May 2024 (2y) | ||
| Oscar Mejia Melendez | Registered representative | May 2024 (2y) | ||
| Christopher Daniel Ledezma | Registered representative | May 2024 (2y) | ||
| Elena Baymeeva | Registered representative | May 2024 (2y) | ||
| Frank Albert Kraft | Registered representative | May 2024 (2y) | ||
| Jesse Wayne Riley | Registered representative | May 2024 (2y) | ||
| Leigh Ludwig Staton | Registered representative | May 2024 (2y) | ||
| Sarah Dawn Wilson | Registered representative | May 2024 (2y) | ||
| Vincent Anthony O'reilly | Registered representative | May 2024 (2y) | ||
| Chase Timothy Endreson | Registered representative | May 2024 (2y) | ||
| Colby Rebecca Edmonds | Registered representative | May 2024 (2y) | ||
| Cisar Ocana | Registered representative | May 2024 (2y) | ||
| Jenita Somsina Pheth | Registered representative | May 2024 (2y) | ||
| John Nuckolls | Registered representative | CFP | May 2024 (2y) | |
| Kevin Leroy Pierce | Registered representative | May 2024 (2y) | ||
| Lucas Henry Schnare | Registered representative | May 2024 (2y) | ||
| Michelle Pichsenmeister Phan | Registered representative | May 2024 (2y) | ||
| Naoko M Thigpen | Registered representative | May 2024 (2y) | ||
| Suzanne Pond Jones | Registered representative | May 2024 (2y) | ||
| Brendan Andrew Jones | Registered representative | May 2024 (2y) | ||
| Candace Ward Thompson | Registered representative | May 2024 (2y) | ||
| Ryan Book Woodard | Registered representative | May 2024 (2y) | ||
| Tajai F Smith | Registered representative | May 2024 (2y) | ||
| Gyamfi Kwarteng | Registered representative | May 2024 (2y) | ||
| Malleri Christine Temple | Registered representative | May 2024 (2y) | ||
| Michael Kessel | Registered representative | CFP | May 2024 (2y) | |
| Jonathan Tominac | Registered representative | May 2024 (2y) | ||
| Logan Lee Bockhahn | Registered representative | May 2024 (2y) | ||
| Nathan Lee Glaser | Registered representative | May 2024 (2y) | ||
| Ryan Cole Miracle | Registered representative | CFP | May 2024 (2y) | |
| Zachary Bryce Firestone | Registered representative | May 2024 (2y) | ||
| Allison Derosas | Registered representative | May 2024 (2y) | ||
| Corey Davidson | Registered representative | May 2024 (2y) | ||
| Erica Rose Orth Storey | Registered representative | May 2024 (2y) | ||
| Nolan Tran | Registered representative | May 2024 (2y) | ||
| Ryan Oliver Grauman | Registered representative | May 2024 (2y) | ||
| Sean P Herron | Registered representative | May 2024 (2y) | ||
| Beth Danielle Walters | Registered representative | May 2024 (2y) | ||
| Carlos Andres Suarez | Registered representative | May 2024 (2y) | ||
| John Campbell Brinkmeyer | Registered representative | May 2024 (2y) | ||
| Kevin J Donovan | Registered representative | May 2024 (2y) | ||
| Robert B Gardner | Registered representative | May 2024 (2y) | ||
| Ryan Williams | Registered representative | May 2024 (2y) | ||
| Grant Mcguire | Registered representative | CFP CFA | May 2024 (2y) | |
| Jennifer Anne Heise | Registered representative | May 2024 (2y) | ||
| John Sang Hyun Lee | Registered representative | May 2024 (2y) | ||
| Sergio Antonio Mada Villa | Registered representative | May 2024 (2y) | ||
| Timothy Peter Rossi | Registered representative | May 2024 (2y) | ||
| David Alan Netjes | Registered representative | May 2024 (2y) | ||
| Jake Cheatham | Registered representative | May 2024 (2y) | ||
| Robert Oliver Dela Cruz | Registered representative | May 2024 (2y) | ||
| Andrew James Heimdahl | Registered representative | May 2024 (2y) | ||
| Andrew Wilks Mischke | Registered representative | May 2024 (2y) | ||
| Arsalan Ahmed Khan | Registered representative | May 2024 (2y) | ||
| Bennett Whitney Smith | Registered representative | May 2024 (2y) | ||
| Natasha Ann Mihaylov | Registered representative | May 2024 (2y) | ||
| Peter Crellin Smith | Registered representative | May 2024 (2y) | ||
| Taylor Louis Williams | Registered representative | May 2024 (2y) | ||
| Thomas David Russo | Registered representative | May 2024 (2y) | ||
| Hill Carter Mallory | Registered representative | Jun 2024 (2y) | ||
| Jordon Lena Nicole Riggs | Registered representative | Jun 2024 (2y) | ||
| Ashley Marie Stone | Registered representative | Jun 2024 (2y) | ||
| Alesia Cooper | Registered representative | Jun 2024 (2y) | ||
| Christopher Mark Schmidt | Registered representative | Jun 2024 (2y) | ||
| George M. Stavrinakis | Registered representative | Jun 2024 (2y) | ||
| Gregory Martinez | Registered representative | Jun 2024 (2y) | ||
| Jason R Ross | Registered representative | Jun 2024 (2y) | ||
| Kenneth Ladd | Registered representative | Jun 2024 (2y) | ||
| Richard Augustus Samaroo | Registered representative | Jun 2024 (2y) | ||
| Soren Sebastian Lewis | Registered representative | Jun 2024 (2y) | ||
| Dan Joseph Coleman | Registered representative | Jun 2024 (2y) | ||
| Karl Pettijohn | Registered representative | Jun 2024 (2y) | ||
| Noma K Patel | Registered representative | Jun 2024 (2y) | ||
| Shivan Devaka Sanjeewa Somaratne | Registered representative | Jun 2024 (2y) | ||
| Trevor Huston | Registered representative | Jun 2024 (2y) | ||
| Zachary Alan Blaisdell | Registered representative | Jun 2024 (2y) | ||
| Arshan Abid | Registered representative | Jun 2024 (2y) | ||
| Alejandra Mendez | Registered representative | Jun 2024 (2y) | ||
| Luke Joseph Laputka | Registered representative | Jun 2024 (2y) | ||
| Victor Imoh | Registered representative | Jun 2024 (2y) | ||
| Walter Douglas Brady | Registered representative | Jun 2024 (2y) | ||
| William Lopez | Registered representative | Jun 2024 (2y) | ||
| Daniel Keith Bejster | Registered representative | CFP | Jun 2024 (2y) | |
| Jenna Lee Sanchez | Registered representative | Jun 2024 (2y) | ||
| Jeremy Oney | Registered representative | Jun 2024 (2y) | ||
| Kyle Kennington | Registered representative | CFP | Jun 2024 (2y) | |
| Lourdes Raily Rada | Registered representative | Jun 2024 (2y) | ||
| Tyler Rhodes | Registered representative | Jun 2024 (2y) | ||
| William James Baxter | Registered representative | Jun 2024 (2y) | ||
| John Maguire Heckler | Registered representative | Jun 2024 (2y) | ||
| Juan G Piedrahita | Registered representative | Jun 2024 (2y) | ||
| Scott Desmarais | Registered representative | Jun 2024 (2y) | ||
| Alycia Lynn Zuanich | Registered representative | Jun 2024 (2y) | ||
| Mary Edminson Newcomb | Registered representative | Jun 2024 (2y) | ||
| Raphael Joaquin Macay | Registered representative | Jun 2024 (2y) | ||
| Ryan Johnson | Registered representative | Jun 2024 (2y) | ||
| Tanner Seth Hammett | Registered representative | Jun 2024 (2y) | ||
| James Ryan Muff | Registered representative | Jun 2024 (2y) | ||
| Maya Catherine Horwath | Registered representative | Jun 2024 (2y) | ||
| Charlotta J Stroud | Registered representative | Jun 2024 (2y) | ||
| Elizabeth K Sheer | Registered representative | Jun 2024 (2y) | ||
| Gabriela Valencia | Registered representative | Jun 2024 (2y) | ||
| Gianna Rose Saso | Registered representative | Jun 2024 (2y) | ||
| Ilene Epstein | Registered representative | Jun 2024 (2y) | ||
| Juan Pablo Gonzalez | Registered representative | Jun 2024 (2y) | ||
| Morgan Harms | Registered representative | Jun 2024 (2y) | ||
| Phillip C Nivens | Registered representative | Jun 2024 (2y) | ||
| Conjia Delynn Bridges | Registered representative | Jun 2024 (2y) | ||
| Bayohan Jose Martinez | Registered representative | Jun 2024 (2y) | ||
| Christopher John Obrien | Registered representative | Jun 2024 (2y) | ||
| Gary Ford Munowitz | Registered representative | Jun 2024 (2y) | ||
| Jeanette Mary Allan | Registered representative | Jun 2024 (2y) | ||
| Joseph S. Segreto | Registered representative | Jun 2024 (2y) | ||
| William Jerome Tarleton | Registered representative | Jun 2024 (2y) | ||
| Lina Luu | Registered representative | Jun 2024 (2y) | ||
| Nicholas Konecny | Registered representative | Jun 2024 (2y) | ||
| Sapna Mahalingham | Registered representative | Jun 2024 (2y) | ||
| Dahianna I Madera | Registered representative | Jun 2024 (2y) | ||
| Matthew Alan Collette | Registered representative | Jun 2024 (2y) | ||
| Sonia Karia | Registered representative | Jun 2024 (2y) | ||
| Tracey Anne Beyer | Registered representative | Jun 2024 (2y) | ||
| Vani Bukkuri | Registered representative | Jun 2024 (2y) | ||
| Katie Edwards | Registered representative | Jun 2024 (2y) | ||
| Abby Repka | Registered representative | Jun 2024 (2y) | ||
| Brett Mccue | Registered representative | Jun 2024 (2y) | ||
| Dalton Preston Combs | Registered representative | Jun 2024 (2y) | ||
| George Seiler | Registered representative | Jun 2024 (2y) | ||
| Janaia Clifford | Registered representative | Jun 2024 (2y) | ||
| Mahyar Mohammadzadeh | Registered representative | Jun 2024 (2y) | ||
| Daniel Isaac Brecher | Registered representative | Jun 2024 (2y) | ||
| Neyci Yadira Sued | Registered representative | Jun 2024 (2y) | ||
| Sammy C. Chang | Registered representative | Jun 2024 (2y) | ||
| Cole Guillien Anthony | Registered representative | Jun 2024 (2y) | ||
| Frendisha Renee Davis | Registered representative | Jun 2024 (2y) | ||
| Katherine Emily Ferrazzara | Registered representative | Jun 2024 (2y) | ||
| Michael David Ballard | Registered representative | Jun 2024 (2y) | ||
| Robby William Engeldinger | Registered representative | Jun 2024 (2y) | ||
| Ryan Michael Juliot | Registered representative | Jun 2024 (2y) | ||
| Douglas J Thompson | Registered representative | Jun 2024 (2y) | ||
| Karter Rowekamp | Registered representative | Jun 2024 (2y) | ||
| Minh Cong Doan | Registered representative | Jun 2024 (2y) | ||
| Anyi Mariel Izaguirre Funez | Registered representative | Jun 2024 (2y) | ||
| Craig Scott Fein | Registered representative | Jun 2024 (2y) | ||
| Jonathan Zama | Registered representative | CFP | Jun 2024 (2y) | |
| Katherine Elizabeth Humphreys | Registered representative | Jun 2024 (2y) | ||
| Maxwell Murray Smith | Registered representative | Jun 2024 (2y) | ||
| Stacey Lynn Littlejohn | Registered representative | Jun 2024 (2y) | ||
| William John Cering | Registered representative | Jun 2024 (2y) | ||
| Mario Di Stefano | Registered representative | Jun 2024 (2y) | ||
| Sang Hyun Lee | Registered representative | Jun 2024 (2y) | ||
| Albert M Stephens | Registered representative | Jul 2024 (2y) | ||
| Andrew Tyler Wynn Keller | Registered representative | Jul 2024 (2y) | ||
| Dominik Steven Routhe | Registered representative | Jul 2024 (2y) | ||
| Gregory Keith Brown | Registered representative | Jul 2024 (2y) | ||
| Matthew David Newman | Registered representative | Jul 2024 (2y) | ||
| Zachary Paul Anderson | Registered representative | Jul 2024 (2y) | ||
| Akash Kamlesh Patel | Registered representative | Jul 2024 (2y) | ||
| Jassmin Elizabeth Penado | Registered representative | Jul 2024 (2y) | ||
| Lourdes Anahi Camacho | Registered representative | Jul 2024 (2y) | ||
| Thomas Gaines Zarzour | Registered representative | Jul 2024 (2y) | ||
| Andrei Magana | Registered representative | CFP | Jul 2024 (2y) | |
| Jennifer Lynn Garver | Registered representative | Jul 2024 (2y) | ||
| Jesse Glaser | Registered representative | Jul 2024 (2y) | ||
| Nancy Elizabeth Sheerin Floros | Registered representative | Jul 2024 (2y) | ||
| Tharaka Malinthi Ramdeo | Registered representative | Jul 2024 (2y) | ||
| Andrew Alexander Glaser | Registered representative | Jul 2024 (2y) | ||
| Benjamin Santiago | Registered representative | Jul 2024 (2y) | ||
| Brent Ryan Bodner | Registered representative | Jul 2024 (2y) | ||
| Claudia Clare Donnelly | Registered representative | Jul 2024 (2y) | ||
| Corey G Sherf | Registered representative | Jul 2024 (2y) | ||
| Christopher Gilman | Registered representative | Jul 2024 (2y) | ||
| David Scott Graehler | Registered representative | Jul 2024 (2y) | ||
| Heather Baird Duquette | Registered representative | Jul 2024 (2y) | ||
| Justin Mathew Boger | Registered representative | Jul 2024 (2y) | ||
| Malachi Epifanio Rodriquez | Registered representative | Jul 2024 (2y) | ||
| Peter J Russo | Registered representative | Jul 2024 (2y) | ||
| Alexander Miller | Registered representative | Jul 2024 (2y) | ||
| Wilson Collett Kistler | Registered representative | CFP | Jul 2024 (2y) | |
| Yufen Wang | Registered representative | Jul 2024 (2y) | ||
| Anne E Thomas | Registered representative | Jul 2024 (2y) | ||
| Colten Meador | Registered representative | Jul 2024 (2y) | ||
| Lucas Wayne Dorrough | Registered representative | Jul 2024 (2y) | ||
| Alon Haim | Registered representative | Jul 2024 (2y) | ||
| Andrew Matthew Wilson | Registered representative | Jul 2024 (2y) | ||
| Christopher John Murrer | Registered representative | Jul 2024 (2y) | ||
| Emily Nicole Brudnicki | Registered representative | Jul 2024 (2y) | ||
| Holt Gandy | Registered representative | Jul 2024 (2y) | ||
| Kevin Brent Rossow | Registered representative | Jul 2024 (2y) | ||
| Preni Keshishi | Registered representative | Jul 2024 (2y) | ||
| Adam Anakota | Registered representative | Jul 2024 (2y) | ||
| Brant Judson White | Registered representative | Jul 2024 (2y) | ||
| Daniel Patrick Palombo | Registered representative | Jul 2024 (2y) | ||
| Harrison Bromley | Registered representative | CFP | Jul 2024 (2y) | |
| John Franklin Durham | Registered representative | Jul 2024 (2y) | ||
| Xang Xiong | Registered representative | Jul 2024 (2y) | ||
| Cristina Lee Mangrum | Registered representative | Jul 2024 (2y) | ||
| Mario James Kokolis | Registered representative | Jul 2024 (2y) | ||
| Michael Anthony Guzman | Registered representative | Jul 2024 (2y) | ||
| Kassandra Nadine Van Egmond | Registered representative | Jul 2024 (2y) | ||
| Mario Cordova | Registered representative | Jul 2024 (2y) | ||
| Otis Hudson | Registered representative | Jul 2024 (2y) | ||
| Charles G Reynolds | Registered representative | Jul 2024 (2y) | ||
| Christ C Sterious | Registered representative | Jul 2024 (2y) | ||
| Daniel Alejandro Nunez | Registered representative | Jul 2024 (2y) | ||
| Joseph John D'arrigo | Registered representative | Jul 2024 (2y) | ||
| Parker Jax Yochim | Registered representative | Jul 2024 (2y) | ||
| Aamir Mohammed Lalani | Registered representative | Jul 2024 (2y) | ||
| Elton Eduardo Rodriguez | Registered representative | Jul 2024 (2y) | ||
| Gideon Luke Carper | Registered representative | Jul 2024 (2y) | ||
| Grace Ann Hardison | Registered representative | Jul 2024 (2y) | ||
| Gregory Smith | Registered representative | Jul 2024 (2y) | ||
| Gail Lindstrom | Registered representative | Jul 2024 (2y) | ||
| Jia Hui Huang | Registered representative | Jul 2024 (2y) | ||
| Terry Michael Gras | Registered representative | Jul 2024 (2y) | ||
| Jake Wayne | Registered representative | Jul 2024 (2y) | ||
| Joellen Kay Herkert | Registered representative | Jul 2024 (2y) | ||
| Andrew Moss | Registered representative | Jul 2024 (2y) | ||
| Calvin Y. Jackson | Registered representative | Jul 2024 (2y) | ||
| Daniel Kozuck | Registered representative | Jul 2024 (2y) | ||
| Delrol Peters | Registered representative | Jul 2024 (2y) | ||
| Kirstin Brooke Fowler | Registered representative | Jul 2024 (2y) | ||
| Matthew Rainier Zeliff | Registered representative | Jul 2024 (2y) | ||
| Stephanie Gay Sullenger | Registered representative | Jul 2024 (2y) | ||
| Aaron Joseph Downing | Registered representative | Jul 2024 (2y) | ||
| Albert Makram Aiad | Registered representative | Jul 2024 (2y) | ||
| Christian Edward Rodriguez | Registered representative | Jul 2024 (2y) | ||
| Dmitriy Ginosyan | Registered representative | Jul 2024 (2y) | ||
| Gary Thomas Gabor | Registered representative | Jul 2024 (2y) | ||
| Jose Emmanuel Maldonado | Registered representative | Jul 2024 (2y) | ||
| Mark Signor | Registered representative | Jul 2024 (2y) | ||
| Christina Moore | Registered representative | Jul 2024 (2y) | ||
| Cullen Richard Gess | Registered representative | Jul 2024 (2y) | ||
| Henry Clay Shores | Registered representative | Jul 2024 (2y) | ||
| Kevin T Wood | Registered representative | Jul 2024 (2y) | ||
| Kim Felts Mccauley | Registered representative | Jul 2024 (2y) | ||
| Maryanne Catherine Diggs | Registered representative | Jul 2024 (2y) | ||
| Thomas J Kittock | Registered representative | Jul 2024 (2y) | ||
| Alejandro Davila Velazquez | Registered representative | Jul 2024 (2y) | ||
| Danielle Kay Wright | Registered representative | Jul 2024 (2y) | ||
| Julie Holstrom | Registered representative | Jul 2024 (2y) | ||
| Scott Thomas Yee | Registered representative | Jul 2024 (2y) | ||
| Berlin Madison Perkins | Registered representative | Jul 2024 (2y) | ||
| David Youngblood Moran | Registered representative | Jul 2024 (2y) | ||
| Flor De Maria Gonzalez | Registered representative | Jul 2024 (2y) | ||
| Konstantin Rusin | Registered representative | CFP Chartered Financial Consultant | Jul 2024 (2y) | |
| Robin Amelia Patterson | Registered representative | Jul 2024 (2y) | ||
| Adam Zachary Taylor | Registered representative | Jul 2024 (2y) | ||
| Alain Bahram Brown | Registered representative | Jul 2024 (2y) | ||
| Aldo G Rodriguez | Registered representative | Jul 2024 (2y) | ||
| David Joseph Gunderson | Registered representative | Jul 2024 (2y) | ||
| Joseph M Harter | Registered representative | Jul 2024 (2y) | ||
| Jung M Kim | Registered representative | Jul 2024 (2y) | ||
| Marlon Stanley Carranza Salazar | Registered representative | Jul 2024 (2y) | ||
| Christopher Clay Friend | Registered representative | Aug 2024 (2y) | ||
| Jordan Lewis Ethington | Registered representative | Aug 2024 (2y) | ||
| Maricela Hyatt | Registered representative | Aug 2024 (2y) | ||
| Marie Garner | Registered representative | Aug 2024 (2y) | ||
| Michael Scott | Registered representative | Aug 2024 (2y) | ||
| Nauman Saeed | Registered representative | Aug 2024 (2y) | ||
| Stefen T. Blount | Registered representative | CFP | Aug 2024 (2y) | |
| Amanda Nicole Murdza | Registered representative | Aug 2024 (2y) | ||
| Jerry Khamnivong | Registered representative | Aug 2024 (2y) | ||
| Maksym Pylypenko | Registered representative | Aug 2024 (2y) | ||
| Mohsen Babaeian | Registered representative | CFP | Aug 2024 (2y) | |
| Roderick Orville Agard | Registered representative | Aug 2024 (2y) | ||
| William Mark Lecorgne | Registered representative | Aug 2024 (2y) | ||
| Erin Rose Estes | Registered representative | Aug 2024 (2y) | ||
| Mark Nolan | Registered representative | Aug 2024 (2y) | ||
| Nick R. Louridas | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Rebecca Morgan Busalacchi | Registered representative | Aug 2024 (2y) | ||
| Sanjay Bedi | Registered representative | Aug 2024 (2y) | ||
| Sharon Jean Jaspers | Registered representative | Aug 2024 (2y) | ||
| Anthony Stavrati Patridge | Registered representative | Aug 2024 (2y) | ||
| Ching Eiler | Registered representative | Aug 2024 (2y) | ||
| Donna Catherine Dickinson | Registered representative | Aug 2024 (2y) | ||
| Louis Tyler Palazzo | Registered representative | Aug 2024 (2y) | ||
| Jennifer K Maher | Registered representative | Aug 2024 (2y) | ||
| Jordan Lane Johnson | Registered representative | Aug 2024 (2y) | ||
| Patrick James Baumann | Registered representative | Aug 2024 (2y) | ||
| Paul Alexander Couch | Registered representative | Aug 2024 (2y) | ||
| Larry Siu Kwong Ngai | Registered representative | Aug 2024 (2y) | ||
| Charlotte Anne Galamb | Registered representative | Aug 2024 (2y) | ||
| David Nelson Flora | Registered representative | Aug 2024 (2y) | ||
| Jared Duncan Swift | Registered representative | Aug 2024 (2y) | ||
| Brandon Perkins | Registered representative | Aug 2024 (2y) | ||
| John Myongkyun Im | Registered representative | Aug 2024 (2y) | ||
| Neil Christopher Schimka | Registered representative | Aug 2024 (2y) | ||
| Paul Benard Finby | Registered representative | Aug 2024 (2y) | ||
| William Robert Helmrich | Registered representative | Aug 2024 (2y) | ||
| Drew Addison Farrell | Registered representative | Aug 2024 (2y) | ||
| Biancha Soledad Infante | Registered representative | Aug 2024 (2y) | ||
| Souad Ajan | Registered representative | Aug 2024 (2y) | ||
| David Salinas | Registered representative | Aug 2024 (2y) | ||
| Dylan Vincent Shepherd | Registered representative | CFP | Aug 2024 (2y) | |
| Eric F Cheng | Registered representative | Aug 2024 (2y) | ||
| Bryan David Benedict | Registered representative | Aug 2024 (2y) | ||
| James Joseph Vance | Registered representative | Aug 2024 (2y) | ||
| May Thuy Tran | Registered representative | Aug 2024 (2y) | ||
| Paul David West | Registered representative | Aug 2024 (2y) | ||
| Brett Pandelo | Registered representative | Aug 2024 (2y) | ||
| Damon C Wiemar | Registered representative | Aug 2024 (2y) | ||
| Dawn Mcenany | Registered representative | Aug 2024 (2y) | ||
| Kurtis Christian Larsen | Registered representative | Aug 2024 (2y) | ||
| Laura Lee Blackburn | Registered representative | Aug 2024 (2y) | ||
| Michael Hynes | Registered representative | Aug 2024 (2y) | ||
| Paul Anthony Stewart | Registered representative | Aug 2024 (2y) | ||
| Carla Leverman | Registered representative | Aug 2024 (2y) | ||
| Ernst Tullus | Registered representative | Aug 2024 (2y) | ||
| Oriana Echeverria | Registered representative | Aug 2024 (2y) | ||
| Collin Kee | Registered representative | Aug 2024 (2y) | ||
| William Miller | Registered representative | Aug 2024 (2y) | ||
| Anthony Frank Falco | Registered representative | Aug 2024 (2y) | ||
| Daniel Joseph Kakach | Registered representative | Aug 2024 (2y) | ||
| Andrew Sam Tran | Registered representative | Aug 2024 (2y) | ||
| Claude Calhoun Robinson | Registered representative | Aug 2024 (2y) | ||
| Elissa Winder | Registered representative | Aug 2024 (2y) | ||
| James Daniel Carpentier Levy | Registered representative | Aug 2024 (2y) | ||
| Mark S Armstrong | Registered representative | Aug 2024 (2y) | ||
| Max Myers | Registered representative | CFP | Aug 2024 (2y) | |
| Neilrey Humberto Ochoa | Registered representative | Aug 2024 (2y) | ||
| William Ferraro | Registered representative | Aug 2024 (2y) | ||
| Barak Raviv | Registered representative | Aug 2024 (2y) | ||
| Edward W Lapinski | Registered representative | Aug 2024 (2y) | ||
| Kevin Campano | Registered representative | Aug 2024 (2y) | ||
| Hagop Hovsep Keshishian | Registered representative | Sep 2024 (2y) | ||
| James Ray Rose | Registered representative | Sep 2024 (2y) | ||
| John Michael Kurinij | Registered representative | Sep 2024 (2y) | ||
| Ana Regina Lopez | Registered representative | Sep 2024 (2y) | ||
| Ashley Torrey Meachum | Registered representative | Sep 2024 (2y) | ||
| Cesar Alberto Valdes Pineda | Registered representative | Sep 2024 (2y) | ||
| Minh Xuan Gonzalez | Registered representative | Sep 2024 (2y) | ||
| Jonny Jay Heath | Registered representative | Sep 2024 (2y) | ||
| Yara Annette Rodriguez Aguilar | Registered representative | Sep 2024 (2y) | ||
| Christian J Franco | Registered representative | Sep 2024 (2y) | ||
| Jonatan Diaz | Registered representative | Sep 2024 (2y) | ||
| Michael Fowler | Registered representative | Sep 2024 (2y) | ||
| Margaret O'kelley | Registered representative | Sep 2024 (2y) | ||
| Christopher James Sheehan | Registered representative | Sep 2024 (2y) | ||
| John Ajwani | Registered representative | Sep 2024 (2y) | ||
| Mark Adrian Vollmer | Registered representative | Sep 2024 (2y) | ||
| Samantha Stringer | Registered representative | CFP | Sep 2024 (2y) | |
| Scott Parker Inabnet | Registered representative | CFP | Sep 2024 (2y) | |
| Rachael Irene Cronin | Registered representative | Sep 2024 (2y) | ||
| Rebeca Josefina Lacayo | Registered representative | Sep 2024 (2y) | ||
| Trang Hoang Pham | Registered representative | Sep 2024 (2y) | ||
| Willard Prather Varnum | Registered representative | CFP | Sep 2024 (2y) | |
| Zachary Todd Bramschreiber | Registered representative | Sep 2024 (2y) | ||
| Christopher Robert Benchik | Registered representative | CFP | Sep 2024 (2y) | |
| Maria E Granlund | Registered representative | Sep 2024 (2y) | ||
| Martin Jun Young Lee | Registered representative | Sep 2024 (2y) | ||
| Robert Dugan | Registered representative | CFP | Sep 2024 (2y) | |
| Stefanie Ann Scarp | Registered representative | Sep 2024 (2y) | ||
| Tammy Jo Praught | Registered representative | Sep 2024 (2y) | ||
| Devin Nathaniel Williams | Registered representative | Sep 2024 (2y) | ||
| Pedro Coello | Registered representative | Sep 2024 (2y) | ||
| Richard W. Fisher | Registered representative | Sep 2024 (2y) | ||
| Alejandro Jesus Diez | Registered representative | Sep 2024 (2y) | ||
| Brenda Aguilar Banda | Registered representative | Sep 2024 (2y) | ||
| Greyson Kalisa | Registered representative | Sep 2024 (2y) | ||
| Joseph Oliver Bear | Registered representative | Sep 2024 (2y) | ||
| Kerrie Coe | Registered representative | Sep 2024 (2y) | ||
| Kasha Mc Collough | Registered representative | Sep 2024 (2y) | ||
| Maghan Kuehl | Registered representative | Sep 2024 (2y) | ||
| Avdul Gjekaj Demiri | Registered representative | Sep 2024 (2y) | ||
| Kyle Cyril Kriener | Registered representative | Sep 2024 (2y) | ||
| Matthew Carl Ebaugh | Registered representative | Sep 2024 (2y) | ||
| Andrea L Curtis | Registered representative | Sep 2024 (2y) | ||
| Bryan D Basara | Registered representative | Sep 2024 (2y) | ||
| Corinne Emiko Doi Majorino | Registered representative | Sep 2024 (2y) | ||
| Shawn Hood | Registered representative | Sep 2024 (2y) | ||
| Shawn Patrick Hood | Registered representative | Sep 2024 (2y) | ||
| Greg Lovette | Registered representative | Sep 2024 (2y) | ||
| Robert Boisvert | Registered representative | Sep 2024 (2y) | ||
| Andrew Douglas Beckman | Registered representative | Sep 2024 (2y) | ||
| Nancy Ellen Baker | Registered representative | Sep 2024 (2y) | ||
| Chrystal Amber Swope | Registered representative | Sep 2024 (2y) | ||
| Grant Mark Hubbard | Registered representative | Sep 2024 (2y) | ||
| Michael Patrick Gomez | Registered representative | Sep 2024 (2y) | ||
| Troy Roger Piscioneri | Registered representative | Sep 2024 (2y) | ||
| Adam Catalfomo | Registered representative | Sep 2024 (2y) | ||
| Angela M. Jogie | Registered representative | Sep 2024 (2y) | ||
| Benjamin Mayo | Registered representative | Sep 2024 (2y) | ||
| David Harrison Rascoe | Registered representative | Sep 2024 (2y) | ||
| Daniel Zomback | Registered representative | Sep 2024 (2y) | ||
| Ethan Weksler | Registered representative | Sep 2024 (2y) | ||
| Jake Klarberg | Registered representative | Sep 2024 (2y) | ||
| Jay Barry Canell | Registered representative | Sep 2024 (2y) | ||
| Jeromy Barton | Registered representative | Sep 2024 (2y) | ||
| Justin Dembo | Registered representative | Sep 2024 (2y) | ||
| Neil Ivan Canell | Registered representative | Sep 2024 (2y) | ||
| Patricia Ann Lockwood | Registered representative | Sep 2024 (2y) | ||
| Rana Habib | Registered representative | Sep 2024 (2y) | ||
| Ryan Selman | Registered representative | Sep 2024 (2y) | ||
| Susan Kathryn Lacina | Registered representative | CFP | Sep 2024 (2y) | |
| Ward E Gorham | Registered representative | Sep 2024 (2y) | ||
| Brian Fermin | Registered representative | Sep 2024 (2y) | ||
| Jennifer Michelle Compton | Registered representative | Sep 2024 (2y) | ||
| Maher Joseph Majdalani | Registered representative | Sep 2024 (2y) | ||
| Anthony Terminello | Registered representative | Sep 2024 (2y) | ||
| Collin Fleming | Registered representative | Sep 2024 (2y) | ||
| Gary R. Carruthers | Registered representative | Sep 2024 (2y) | ||
| Gifford Lee | Registered representative | Sep 2024 (2y) | ||
| Hubert Wetzel Bays | Registered representative | Sep 2024 (2y) | ||
| John Paul Sauer | Registered representative | Sep 2024 (2y) | ||
| Robert Larose | Registered representative | Sep 2024 (2y) | ||
| David I Garcia | Registered representative | Oct 2024 (2y) | ||
| Baron Keith Ross | Registered representative | Oct 2024 (2y) | ||
| Erik Liodice | Registered representative | Oct 2024 (2y) | ||
| William Ellsworth Jenne | Registered representative | Oct 2024 (2y) | ||
| Ajay Kumar Gupta | Registered representative | Oct 2024 (2y) | ||
| Delmer Watson | Registered representative | Oct 2024 (2y) | ||
| Duane E. Young | Registered representative | Oct 2024 (2y) | ||
| Fadi Souhail Aridi | Registered representative | Oct 2024 (2y) | ||
| Michael Washington White | Registered representative | Oct 2024 (2y) | ||
| Nanette Jane Conradi | Registered representative | Oct 2024 (2y) | ||
| Nickolas Lallas | Registered representative | Oct 2024 (2y) | ||
| William Scott Freedman | Registered representative | Oct 2024 (2y) | ||
| Austin Patrick Dent | Registered representative | Oct 2024 (2y) | ||
| Amanda Ellen Fitz | Registered representative | Oct 2024 (2y) | ||
| Hannah Marie Mcnomee | Registered representative | Oct 2024 (2y) | ||
| Samuel Ramli | Registered representative | Oct 2024 (2y) | ||
| Zachary Taylor Guntz | Registered representative | Oct 2024 (2y) | ||
| Mark T Vander Veen | Registered representative | Oct 2024 (2y) | ||
| Andrew Douglas Eggert | Registered representative | Oct 2024 (2y) | ||
| Charity Renee Bolick | Registered representative | Oct 2024 (2y) | ||
| Christopher Scott Schmidt | Registered representative | Oct 2024 (2y) | ||
| Josue C Wong | Registered representative | Oct 2024 (2y) | ||
| Morgan Lloyd Williams | Registered representative | Oct 2024 (2y) | ||
| Ned Jacobson Cohen | Registered representative | CFP | Oct 2024 (2y) | |
| Nianfei Shen | Registered representative | Oct 2024 (2y) | ||
| Thomas Archer Ravenel Covington | Registered representative | Oct 2024 (2y) | ||
| Armond Lamar Herndon | Registered representative | CFP | Oct 2024 (2y) | |
| Blaise Poupore | Registered representative | Oct 2024 (2y) | ||
| Chiaheng John Chen | Registered representative | Oct 2024 (2y) | ||
| Dennis Gunderson | Registered representative | Oct 2024 (2y) | ||
| Kevin Jay Hoogenboom | Registered representative | Oct 2024 (2y) | ||
| Roderick Fox | Registered representative | Oct 2024 (2y) | ||
| Samantha Caitlyn Bailor | Registered representative | Oct 2024 (2y) | ||
| Thomas A Evans | Registered representative | Oct 2024 (2y) | ||
| Anna Reichenberger | Registered representative | Oct 2024 (2y) | ||
| Marcel H Brautigam | Registered representative | Oct 2024 (2y) | ||
| Michael Sisson | Registered representative | Oct 2024 (2y) | ||
| Taylor M Ohl | Registered representative | Oct 2024 (2y) | ||
| Walter Lee Hyde Iii | Registered representative | Oct 2024 (2y) | ||
| Eldad Neumeier | Registered representative | Oct 2024 (2y) | ||
| Joselito Aquino | Registered representative | Oct 2024 (2y) | ||
| Maria Elena Barletta | Registered representative | Oct 2024 (2y) | ||
| Matthew Robert Gillette | Registered representative | Oct 2024 (2y) | ||
| Nick Kaloyios | Registered representative | Oct 2024 (2y) | ||
| Peter Meizels | Registered representative | Oct 2024 (2y) | ||
| Brandon Barker | Registered representative | Oct 2024 (2y) | ||
| Derek Driver | Registered representative | Oct 2024 (2y) | ||
| Gloria Yanet Roque Gutierrez | Registered representative | Oct 2024 (2y) | ||
| Jackson Schott | Registered representative | Oct 2024 (2y) | ||
| Joshua Edgardo Torres | Registered representative | Oct 2024 (2y) | ||
| Kai B Carroll | Registered representative | Oct 2024 (2y) | ||
| Margaret L Beeler | Registered representative | Oct 2024 (2y) | ||
| Ross Gompertz | Registered representative | Oct 2024 (2y) | ||
| Trevor Anderson | Registered representative | Oct 2024 (2y) | ||
| Tyler Hayes Hunter | Registered representative | Oct 2024 (2y) | ||
| Christopher Michael Cowan Banker | Registered representative | Oct 2024 (2y) | ||
| Gregory P Seiders | Registered representative | Oct 2024 (2y) | ||
| Joseph P Barreca | Registered representative | Oct 2024 (2y) | ||
| Lauren Biggs | Registered representative | Oct 2024 (2y) | ||
| Samuel Oliver Scott | Registered representative | Oct 2024 (2y) | ||
| Jessica Juanico | Registered representative | Oct 2024 (2y) | ||
| Michelle Elizabeth Graham | Registered representative | Oct 2024 (2y) | ||
| Paul Gallardo | Registered representative | Oct 2024 (2y) | ||
| Taylor Bacchus | Registered representative | Oct 2024 (2y) | ||
| William Vargas | Registered representative | Oct 2024 (2y) | ||
| Ann Kraft Johnson | Registered representative | Oct 2024 (2y) | ||
| Jamie Marie Harrison | Registered representative | Oct 2024 (2y) | ||
| Moreen Latchman | Registered representative | Oct 2024 (2y) | ||
| Stephanie N May | Registered representative | Oct 2024 (2y) | ||
| Afua Kusiwah Bandoh | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Archana Gupta | Registered representative | Oct 2024 (2y) | ||
| Erika Virginia Perez Castillo | Registered representative | Oct 2024 (2y) | ||
| Jenine C Wamsher | Registered representative | Oct 2024 (2y) | ||
| Lori Lynn Gallelli | Registered representative | Oct 2024 (2y) | ||
| Michael Anthony Shovlain | Registered representative | Oct 2024 (2y) | ||
| Rylee James King | Registered representative | Oct 2024 (2y) | ||
| Shariq Tabrez Ali | Registered representative | Oct 2024 (2y) | ||
| Nathan Mcreynolds | Registered representative | Oct 2024 (2y) | ||
| William Joseph Duffy | Registered representative | CFP | Oct 2024 (2y) | |
| Charles Erskin George Lynn | Registered representative | Oct 2024 (2y) | ||
| Matthew L Barreto | Registered representative | Oct 2024 (2y) | ||
| Robert David Makowski | Registered representative | Oct 2024 (2y) | ||
| Ronald Jr Kokas | Registered representative | Oct 2024 (2y) | ||
| Christian Mckay Hale | Registered representative | Oct 2024 (2y) | ||
| Connor Gary Pierson | Registered representative | Oct 2024 (2y) | ||
| Damon B. Dozier | Registered representative | Oct 2024 (2y) | ||
| Diana Lynn Mooney | Registered representative | Oct 2024 (2y) | ||
| Joe Ryan Flores | Registered representative | Oct 2024 (2y) | ||
| Mark A Smith | Registered representative | Oct 2024 (2y) | ||
| Renee Wallace | Registered representative | Oct 2024 (2y) | ||
| Patrick Henry Phimmasone | Registered representative | Oct 2024 (2y) | ||
| Brandon Lee Harris | Registered representative | Oct 2024 (2y) | ||
| Charles David Willis | Registered representative | CFP | Oct 2024 (2y) | |
| Sean Robert Degenhart | Registered representative | Oct 2024 (2y) | ||
| Shawntel Nicole Carter | Registered representative | Oct 2024 (2y) | ||
| Thomas B Garfinkel | Registered representative | CFP | Oct 2024 (2y) | |
| Thomas Casey Sullivan | Registered representative | CFP | Oct 2024 (2y) | |
| Granville Calvin Washington | Registered representative | Oct 2024 (2y) | ||
| Joshua Frederick Williford | Registered representative | Oct 2024 (2y) | ||
| Miguel Montejano | Registered representative | Oct 2024 (2y) | ||
| Milad Javaherian | Registered representative | Oct 2024 (2y) | ||
| Nicolas Mitchell Quintero | Registered representative | Oct 2024 (2y) | ||
| Aja Laquan Gross | Registered representative | Oct 2024 (2y) | ||
| Cary Blake Kelly | Registered representative | Oct 2024 (2y) | ||
| David Renken | Registered representative | Oct 2024 (2y) | ||
| Hovhannes Tokatlian | Registered representative | Oct 2024 (2y) | ||
| Jackeline Carolina Matter | Registered representative | Oct 2024 (2y) | ||
| Joe Loiodice | Registered representative | Oct 2024 (2y) | ||
| Lawrence Dorman | Registered representative | Oct 2024 (2y) | ||
| Brandon Acevedo | Registered representative | Oct 2024 (2y) | ||
| Jyoti Madhukar Gokhale | Registered representative | Oct 2024 (2y) | ||
| Patrick A Droney | Registered representative | Oct 2024 (2y) | ||
| Penny A Mody | Registered representative | Oct 2024 (2y) | ||
| Brendan J Blight | Registered representative | Oct 2024 (2y) | ||
| Joshua Dewitt | Registered representative | Oct 2024 (2y) | ||
| Robert Elvin Hendrix | Registered representative | Oct 2024 (2y) | ||
| Blake Alexander Schmitt | Registered representative | Nov 2024 (2y) | ||
| Daniel Henry Foley | Registered representative | Nov 2024 (2y) | ||
| Debera Hansen Aiken | Registered representative | Nov 2024 (2y) | ||
| David Richard Wells | Registered representative | Nov 2024 (2y) | ||
| David Scott Patterson | Registered representative | Nov 2024 (2y) | ||
| Matthew David Jones | Registered representative | Nov 2024 (2y) | ||
| Ryan A Leaf | Registered representative | Nov 2024 (2y) | ||
| Sherine Ta | Registered representative | Nov 2024 (2y) | ||
| Dylan Jake Gleeman | Registered representative | CFP | Nov 2024 (2y) | |
| Jean Mclain Brault | Registered representative | Nov 2024 (2y) | ||
| Keeton Corder | Registered representative | Nov 2024 (2y) | ||
| Kenneth Scott Safran | Registered representative | CFP | Nov 2024 (2y) | |
| Sara Shahine Bassiouny | Registered representative | Nov 2024 (2y) | ||
| Daniel Schroeder | Registered representative | Nov 2024 (2y) | ||
| Hali Claire Flintrop | Registered representative | Nov 2024 (2y) | ||
| Lee Michael Sherlock | Registered representative | CFP | Nov 2024 (2y) | |
| Ralph Roland Colimon | Registered representative | Nov 2024 (2y) | ||
| Brian Richard Doughty | Registered representative | Nov 2024 (2y) | ||
| Duyen Thi Bui | Registered representative | Nov 2024 (2y) | ||
| James Loomis | Registered representative | Nov 2024 (2y) | ||
| Julian Acosta | Registered representative | Nov 2024 (2y) | ||
| Robert Beck Aronson | Registered representative | Nov 2024 (2y) | ||
| Erik Solis | Registered representative | Nov 2024 (2y) | ||
| Joseph M Paoletti | Registered representative | CFP | Nov 2024 (2y) | |
| Luis Manuel Bravo Medina | Registered representative | Nov 2024 (2y) | ||
| Sarah Leilah Daniels | Registered representative | Nov 2024 (2y) | ||
| Jarriet Burnell Bluitt | Registered representative | Nov 2024 (2y) | ||
| Marcy Lee Leprell | Registered representative | Nov 2024 (2y) | ||
| Nicholas Owen Phillips | Registered representative | Nov 2024 (2y) | ||
| William Carl Meyer | Registered representative | Nov 2024 (2y) | ||
| Adrian Sandoval | Registered representative | Nov 2024 (2y) | ||
| Anthony Alexander Vidal | Registered representative | Nov 2024 (2y) | ||
| Christopher Bolding | Registered representative | Nov 2024 (2y) | ||
| Jason Young Lee | Registered representative | Nov 2024 (2y) | ||
| Joanna Puder | Registered representative | Nov 2024 (2y) | ||
| Nicholas Dale | Registered representative | Nov 2024 (2y) | ||
| Ron Richard Fetsch | Registered representative | Nov 2024 (2y) | ||
| Tien Nguyen | Registered representative | Nov 2024 (2y) | ||
| William Cal Batchelor | Registered representative | Nov 2024 (2y) | ||
| Angela Michelle Corley | Registered representative | Nov 2024 (2y) | ||
| Joseph Peter Delaney | Registered representative | Nov 2024 (2y) | ||
| Juan Carlos Rosario | Registered representative | Nov 2024 (2y) | ||
| Kyle Shannon Potter | Registered representative | Nov 2024 (2y) | ||
| Landon Schabes | Registered representative | Nov 2024 (2y) | ||
| Sean Fansler | Registered representative | Nov 2024 (2y) | ||
| Blake Robert Wehling | Registered representative | Nov 2024 (2y) | ||
| Charles Edward Morrison | Registered representative | Nov 2024 (2y) | ||
| Christina Joy Johnson | Registered representative | Nov 2024 (2y) | ||
| Chris Ambrose | Registered representative | Nov 2024 (2y) | ||
| Daniel Stanley Derisio | Registered representative | Nov 2024 (2y) | ||
| Jared Andrew Whittle | Registered representative | Nov 2024 (2y) | ||
| Jeremy Wayne Ginn | Registered representative | Nov 2024 (2y) | ||
| John Michael Edward Prichard | Registered representative | Nov 2024 (2y) | ||
| Joshua Michael Young | Registered representative | Nov 2024 (2y) | ||
| Mandeep Singh Randhawa | Registered representative | Nov 2024 (2y) | ||
| Mohammad Hedayati Dezfouli | Registered representative | Nov 2024 (2y) | ||
| Robert Jack Martin | Registered representative | Nov 2024 (2y) | ||
| Robert William Hickey | Registered representative | Nov 2024 (2y) | ||
| Shawn Michael Adams | Registered representative | Nov 2024 (2y) | ||
| Vitaliy Kukhta | Registered representative | Nov 2024 (2y) | ||
| Corey Dale Reece | Registered representative | Nov 2024 (2y) | ||
| John Fry | Registered representative | Nov 2024 (2y) | ||
| Tania Luna Hossain | Registered representative | Nov 2024 (2y) | ||
| Christopher Isaac Chancellor | Registered representative | Nov 2024 (2y) | ||
| Anthony James Bavlish | Registered representative | Nov 2024 (2y) | ||
| David Stephen Randles | Registered representative | Nov 2024 (2y) | ||
| Jordan Osness | Registered representative | Nov 2024 (2y) | ||
| Megan Maughan | Registered representative | Nov 2024 (2y) | ||
| Ryan William Johnson | Registered representative | Nov 2024 (2y) | ||
| Paula Victoria Garver | Registered representative | Dec 2024 (2y) | ||
| Zachery Alexander | Registered representative | Dec 2024 (2y) | ||
| Blair Groh Ege | Registered representative | CFP | Dec 2024 (2y) | |
| Caesey Schneider Gehrt | Registered representative | Dec 2024 (2y) | ||
| Haven Jackson | Registered representative | Dec 2024 (2y) | ||
| James Jimmy Vera | Registered representative | Dec 2024 (2y) | ||
| Jessica Marie Camacho | Registered representative | Dec 2024 (2y) | ||
| Miriam Khorramian | Registered representative | Dec 2024 (2y) | ||
| Tai S. Park | Registered representative | Dec 2024 (2y) | ||
| Veronica Cyrus | Registered representative | Dec 2024 (2y) | ||
| Victor Hugo Carrizal | Registered representative | Dec 2024 (2y) | ||
| Jerry William Gold | Registered representative | Dec 2024 (2y) | ||
| John L Montgomery | Registered representative | Dec 2024 (2y) | ||
| Monica Marie Ambrose | Registered representative | Dec 2024 (2y) | ||
| Samantha Kate Dozier | Registered representative | Dec 2024 (2y) | ||
| Gabrielle Anne Hornak | Registered representative | Dec 2024 (2y) | ||
| Glenn Alan Krevans | Registered representative | Dec 2024 (2y) | ||
| Jonathan Neil Polakoff | Registered representative | Dec 2024 (2y) | ||
| Kyle Glenn Stephens | Registered representative | Dec 2024 (2y) | ||
| O Emmanuel Adepoju Grace | Registered representative | Dec 2024 (2y) | ||
| Angosa Chali Deressa | Registered representative | CFP | Dec 2024 (2y) | |
| Anthony Lovenberg | Registered representative | Dec 2024 (2y) | ||
| Cory Joseph Wilson | Registered representative | Dec 2024 (2y) | ||
| Cullen R Recktenwald | Registered representative | Dec 2024 (2y) | ||
| Ericka Lamsek | Registered representative | Dec 2024 (2y) | ||
| Farrie Malia Brown | Registered representative | Dec 2024 (2y) | ||
| Giovanni Nikolai Alberty | Registered representative | Dec 2024 (2y) | ||
| Patrick Graham | Registered representative | Dec 2024 (2y) | ||
| Rigoberto Lopez | Registered representative | Dec 2024 (2y) | ||
| Andres Valdez | Registered representative | Dec 2024 (2y) | ||
| Deanna Loesche | Registered representative | Dec 2024 (2y) | ||
| Jacquelynn Green | Registered representative | Dec 2024 (2y) | ||
| Jesus Gutierrez Chavez | Registered representative | Dec 2024 (2y) | ||
| Thomas Michael Wynn | Registered representative | Dec 2024 (2y) | ||
| Arlene F Leon | Registered representative | Dec 2024 (2y) | ||
| Blake G Cullen | Registered representative | Dec 2024 (2y) | ||
| Derrek Todd Hall | Registered representative | Dec 2024 (2y) | ||
| John Kevin Serocke | Registered representative | Dec 2024 (2y) | ||
| Kristin M Adam | Registered representative | Dec 2024 (2y) | ||
| Matthew James Wangler | Registered representative | Dec 2024 (2y) | ||
| Nakisha Purdiman | Registered representative | Dec 2024 (2y) | ||
| Stephen R Laddy | Registered representative | Dec 2024 (2y) | ||
| Terrence Newman | Registered representative | Dec 2024 (2y) | ||
| Meleah Michele Turner | Registered representative | Dec 2024 (2y) | ||
| Melisa Bahmanyar | Registered representative | Dec 2024 (2y) | ||
| Raul R Toro | Registered representative | Dec 2024 (2y) | ||
| Uvan Stewart | Registered representative | Dec 2024 (2y) | ||
| Alejandro Valdez | Registered representative | Dec 2024 (2y) | ||
| Daniel Richard Sieman | Registered representative | Dec 2024 (2y) | ||
| John Lance Wentworth | Registered representative | Dec 2024 (2y) | ||
| Kevin Charles Bishop | Registered representative | Dec 2024 (2y) | ||
| Lisette Artiga | Registered representative | Dec 2024 (2y) | ||
| Patrick V Chan | Registered representative | Dec 2024 (2y) | ||
| Thomas Bishop | Registered representative | Dec 2024 (2y) | ||
| Timothy Patrick Grumley | Registered representative | Dec 2024 (2y) | ||
| Ada Marisol Sanabria Flores | Registered representative | Dec 2024 (2y) | ||
| Benjamin Rodriguez | Registered representative | Dec 2024 (2y) | ||
| Deron Neil Stailey | Registered representative | Dec 2024 (2y) | ||
| Franc Burzotta | Registered representative | Dec 2024 (2y) | ||
| Darrell James | Registered representative | Dec 2024 (2y) | ||
| Anastas Beribak | Registered representative | Dec 2024 (2y) | ||
| Gregory R Brun | Registered representative | CFP Chartered Financial Consultant | Dec 2024 (2y) | |
| Marcella Coppola | Registered representative | Dec 2024 (2y) | ||
| Scott Rainaud | Registered representative | CFP | Dec 2024 (2y) | |
| John Evan Ohnemus | Registered representative | Dec 2024 (2y) | ||
| Joseph Scali Miller | Registered representative | Dec 2024 (2y) | ||
| Josh Deever | Registered representative | Dec 2024 (2y) | ||
| Juan Miguel Del Cid Pineda | Registered representative | Dec 2024 (2y) | ||
| Mary Beth Christine Ruth | Registered representative | CFP | Dec 2024 (2y) | |
| Jeffrey Tucker | Registered representative | Dec 2024 (2y) | ||
| Jordan Schoenburg | Registered representative | Dec 2024 (2y) | ||
| Christine Simek | Registered representative | Dec 2024 (2y) | ||
| Clarke David Straus | Registered representative | Dec 2024 (2y) | ||
| Patrick John Difuntorum | Registered representative | Dec 2024 (2y) | ||
| Dale L Malleck | Registered representative | Dec 2024 (2y) | ||
| Wei Che Chang | Registered representative | Dec 2024 (2y) | ||
| Brandon Dylan Custodio Apostol | Registered representative | Dec 2024 (2y) | ||
| David Lawrence Pollack | Registered representative | Dec 2024 (2y) | ||
| Michael Makram Mikheil | Registered representative | Dec 2024 (2y) | ||
| Daniel Ernesto Ortiz Ceron | Registered representative | Dec 2024 (2y) | ||
| Chase Santos | Registered representative | Jan 2025 (2y) | ||
| Christopher Wayne Paul | Registered representative | Jan 2025 (2y) | ||
| Gary St. Aubyn Sawyers | Registered representative | Jan 2025 (2y) | ||
| Heather Claire Berscheit | Registered representative | Jan 2025 (2y) | ||
| Kevon Harris | Registered representative | Jan 2025 (2y) | ||
| Sherezada Jenson | Registered representative | Jan 2025 (2y) | ||
| Christina Rose Rogers | Registered representative | Jan 2025 (2y) | ||
| John Francis Monahan | Registered representative | CFP | Jan 2025 (2y) | |
| Jesse G Cortez | Registered representative | Jan 2025 (2y) | ||
| Jesse Rauma | Registered representative | Jan 2025 (2y) | ||
| John Matthew Pierce | Registered representative | Jan 2025 (2y) | ||
| Maggie Denny Burke | Registered representative | Jan 2025 (2y) | ||
| Taylor Joseph Blakley | Registered representative | Jan 2025 (2y) | ||
| Antwan Francoise Nguyen | Registered representative | Jan 2025 (2y) | ||
| Carine Krikorian | Registered representative | Jan 2025 (2y) | ||
| Eddy R Montalvo | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Garett Jones | Registered representative | Jan 2025 (2y) | ||
| Michelle Elizabeth Reeder | Registered representative | Jan 2025 (2y) | ||
| Sajjad Ahmed | Registered representative | Jan 2025 (2y) | ||
| Trevor Matthew Mcluskey | Registered representative | Jan 2025 (2y) | ||
| Dylan Coe | Registered representative | Jan 2025 (2y) | ||
| Gloria Chen | Registered representative | Jan 2025 (2y) | ||
| Jennifer Lee | Registered representative | Jan 2025 (2y) | ||
| Marina Shinsky | Registered representative | Jan 2025 (2y) | ||
| Maya Aly | Registered representative | Jan 2025 (2y) | ||
| Pablo Munoz Garcia | Registered representative | Jan 2025 (2y) | ||
| Peter Fricke | Registered representative | Jan 2025 (2y) | ||
| Scott Flinn | Registered representative | Jan 2025 (2y) | ||
| William Squarciafico | Registered representative | Jan 2025 (2y) | ||
| Andrew Minard | Registered representative | Jan 2025 (2y) | ||
| Karmyn Larsen | Registered representative | Jan 2025 (2y) | ||
| Lauren Poindexter | Registered representative | Jan 2025 (2y) | ||
| Rodney Tyron Brown | Registered representative | Jan 2025 (2y) | ||
| Carson Smith | Registered representative | Jan 2025 (2y) | ||
| Dillon Richard Dunn | Registered representative | Jan 2025 (2y) | ||
| Hakima Benchalh | Registered representative | Jan 2025 (2y) | ||
| Nicholas John Steinbach | Registered representative | CFP | Jan 2025 (2y) | |
| Owen Kray Fuls | Registered representative | Jan 2025 (2y) | ||
| Shawn Manoukian | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Adam Beach | Registered representative | Jan 2025 (2y) | ||
| Owen Rahman | Registered representative | Jan 2025 (2y) | ||
| Richard Victor Dulle | Registered representative | Jan 2025 (2y) | ||
| Brendan Mark Wing | Registered representative | Jan 2025 (2y) | ||
| Daniel M Bochicchio | Registered representative | Jan 2025 (2y) | ||
| Josceline Nave | Registered representative | Jan 2025 (2y) | ||
| Kenneth Michael English | Registered representative | Jan 2025 (2y) | ||
| Mark Alexander Mc Manus | Registered representative | Jan 2025 (2y) | ||
| Cory M Haberkorn | Registered representative | Jan 2025 (2y) | ||
| Jacob Schaffer | Registered representative | Jan 2025 (2y) | ||
| Jeffrey Shaffer | Registered representative | Jan 2025 (2y) | ||
| Kevin Christopher Dielschneider | Registered representative | Jan 2025 (2y) | ||
| Kevin Ryan Pelhank | Registered representative | Jan 2025 (2y) | ||
| Mariana Campbell | Registered representative | Jan 2025 (2y) | ||
| Matthew T Ney | Registered representative | Jan 2025 (2y) | ||
| Rui Gao | Registered representative | Jan 2025 (2y) | ||
| Sara Katherine Borgmann | Registered representative | Jan 2025 (2y) | ||
| Austin Turner Barnett | Registered representative | Jan 2025 (2y) | ||
| Joseph S Baumhover | Registered representative | Jan 2025 (2y) | ||
| Belinda Garibay | Registered representative | Jan 2025 (2y) | ||
| Frances Hara | Registered representative | Jan 2025 (2y) | ||
| Jacob Zander | Registered representative | Jan 2025 (2y) | ||
| Jason Bartley Davis | Registered representative | CFP | Jan 2025 (2y) | |
| Jason T. Stramara | Registered representative | Jan 2025 (2y) | ||
| Jennifer Maricela Pickelhaupt | Registered representative | Jan 2025 (2y) | ||
| Johnathan Zmuda | Registered representative | Jan 2025 (2y) | ||
| William Buckley Mccann | Registered representative | Jan 2025 (2y) | ||
| Adrian C Lewis | Registered representative | Jan 2025 (2y) | ||
| Alexander Spiro | Registered representative | Jan 2025 (2y) | ||
| Erwel Manlapid | Registered representative | Jan 2025 (2y) | ||
| Ghassan C Howell | Registered representative | Jan 2025 (2y) | ||
| Gregg Allen Lippert | Registered representative | Jan 2025 (2y) | ||
| Jeanette Honey Schoenberg | Registered representative | Jan 2025 (2y) | ||
| Lucien Rose P Anselmo | Registered representative | Jan 2025 (2y) | ||
| Mark Heinen | Registered representative | Jan 2025 (2y) | ||
| Morgan E Miller | Registered representative | Jan 2025 (2y) | ||
| Richard Kyle Mcdaniel | Registered representative | CFP | Jan 2025 (2y) | |
| Ryan Allen Egebrecht | Registered representative | Jan 2025 (2y) | ||
| Zachary Yakel | Registered representative | Jan 2025 (2y) | ||
| Grace Tangen | Registered representative | Jan 2025 (2y) | ||
| Catalin Ionut Gard | Registered representative | Jan 2025 (2y) | ||
| Christian Benjamin Wandtke | Registered representative | Jan 2025 (2y) | ||
| Danielle Ta Yuan Lee | Registered representative | Jan 2025 (2y) | ||
| David Brian Cherrick | Registered representative | Jan 2025 (2y) | ||
| Jimmy Tran | Registered representative | CFP | Jan 2025 (2y) | |
| John Lewis Wohlgemuth | Registered representative | Jan 2025 (2y) | ||
| Mayra R Haro | Registered representative | Jan 2025 (2y) | ||
| Natalie Snow | Registered representative | Jan 2025 (2y) | ||
| Chase Potter | Registered representative | Jan 2025 (2y) | ||
| Daniel Andrew Dupont | Registered representative | Jan 2025 (2y) | ||
| John Tyson Andrew | Registered representative | Jan 2025 (2y) | ||
| Sofia Pitsavas | Registered representative | Jan 2025 (2y) | ||
| Tyler Lindquist | Registered representative | Jan 2025 (2y) | ||
| Alec Bouchee | Registered representative | Jan 2025 (2y) | ||
| Angela P Allen | Registered representative | Jan 2025 (2y) | ||
| Austin Jacobs | Registered representative | Jan 2025 (2y) | ||
| Chad Steven Holder | Registered representative | Jan 2025 (2y) | ||
| Jacob Scott Williams | Registered representative | Jan 2025 (2y) | ||
| Joanny Carmen Rivera | Registered representative | Jan 2025 (2y) | ||
| John Thomas Ferrier | Registered representative | Jan 2025 (2y) | ||
| Louise Kittrell Sheffield | Registered representative | Jan 2025 (2y) | ||
| Randy Allen Zimmermann | Registered representative | Jan 2025 (2y) | ||
| Rodney Wayman Tull | Registered representative | Jan 2025 (2y) | ||
| Sonje Moore | Registered representative | Jan 2025 (2y) | ||
| Brett Weaver | Registered representative | Jan 2025 (2y) | ||
| Caleb Samuel Breyer | Registered representative | Jan 2025 (2y) | ||
| Chad Allan Dworznik | Registered representative | Jan 2025 (2y) | ||
| Eric Jeffrey Boyer | Registered representative | Jan 2025 (2y) | ||
| Jeremy Jason Selecky | Registered representative | Jan 2025 (2y) | ||
| Khoi Dinh Vu | Registered representative | Jan 2025 (2y) | ||
| Andrew Bryan Bascom | Registered representative | Jan 2025 (2y) | ||
| Luis Antonio Esquivel | Registered representative | Jan 2025 (2y) | ||
| Adam Allsop | Registered representative | Jan 2025 (2y) | ||
| Charles Edward Rollins | Registered representative | Jan 2025 (2y) | ||
| Corey Kelva | Registered representative | Jan 2025 (2y) | ||
| Daniel Hyun Kim | Registered representative | Jan 2025 (2y) | ||
| David Rodriguez Cruz | Registered representative | Jan 2025 (2y) | ||
| Eric Karl Elmore | Registered representative | Jan 2025 (2y) | ||
| Paul Schieber | Registered representative | Jan 2025 (2y) | ||
| Samuel Lawrence Gonzales | Registered representative | Jan 2025 (2y) | ||
| Salvador Cervantes Esquivel | Registered representative | Jan 2025 (2y) | ||
| Thiago Moraes Garcia | Registered representative | Jan 2025 (2y) | ||
| William Anthony Murphy | Registered representative | Jan 2025 (2y) | ||
| William Thomas Turnbough | Registered representative | Jan 2025 (2y) | ||
| Evan Renner Moorer | Registered representative | Jan 2025 (2y) | ||
| James Russell Zorn | Registered representative | Jan 2025 (2y) | ||
| Sarah Elisa Pieri | Registered representative | Jan 2025 (2y) | ||
| Vanessa Ann Ray | Registered representative | Jan 2025 (2y) | ||
| Austin Cole Wagoner | Registered representative | Jan 2025 (2y) | ||
| Matthew James Lovell | Registered representative | Jan 2025 (2y) | ||
| William Andres | Registered representative | Jan 2025 (2y) | ||
| Geoffrey Zawatski | Registered representative | Feb 2025 (1y) | ||
| Edith Karina Lopez | Registered representative | Feb 2025 (1y) | ||
| Helen Olimpia Bourdier | Registered representative | Feb 2025 (1y) | ||
| Jack Andrew Deavila | Registered representative | Feb 2025 (1y) | ||
| Jemel Christian Lewis | Registered representative | Feb 2025 (1y) | ||
| Todd Driscoll | Registered representative | Feb 2025 (1y) | ||
| Tom D Nguyen | Registered representative | CFP | Feb 2025 (1y) | |
| Cody R Herring | Registered representative | Feb 2025 (1y) | ||
| Charles Lynch | Registered representative | Feb 2025 (1y) | ||
| David Blake Martin | Registered representative | Feb 2025 (1y) | ||
| Justina Germosen | Registered representative | Feb 2025 (1y) | ||
| Paul Phillips | Registered representative | Feb 2025 (1y) | ||
| Christopher Lubrino | Registered representative | Feb 2025 (1y) | ||
| Dylan Adesh Bridgemohan | Registered representative | Feb 2025 (1y) | ||
| Elvis Castro | Registered representative | Feb 2025 (1y) | ||
| Enrique J. Rabell | Registered representative | Feb 2025 (1y) | ||
| Grant Michael Amann | Registered representative | Feb 2025 (1y) | ||
| Hugo William Anderson | Registered representative | Feb 2025 (1y) | ||
| Isaac Dunlap | Registered representative | Feb 2025 (1y) | ||
| Kevin Edward Birch | Registered representative | Feb 2025 (1y) | ||
| Logan Zachary Nerad | Registered representative | Feb 2025 (1y) | ||
| Mohamed Tabbaa | Registered representative | Feb 2025 (1y) | ||
| Nicholas Barnett | Registered representative | Feb 2025 (1y) | ||
| Charles Michael Brodzinski | Registered representative | Feb 2025 (1y) | ||
| David Evan Tannenbaum | Registered representative | Feb 2025 (1y) | ||
| David S. Justman | Registered representative | Feb 2025 (1y) | ||
| Daniel Anthony Ryan | Registered representative | Feb 2025 (1y) | ||
| Edward Melvyn Tannenbaum | Registered representative | Feb 2025 (1y) | ||
| Robert Zeiger | Registered representative | Feb 2025 (1y) | ||
| Samuel C Callari | Registered representative | Feb 2025 (1y) | ||
| Vidal Torres | Registered representative | Feb 2025 (1y) | ||
| Michael Lee Tonga | Registered representative | Feb 2025 (1y) | ||
| Jeremy Neil Arbon | Registered representative | Feb 2025 (1y) | ||
| Johanna Grace Jackson | Registered representative | Feb 2025 (1y) | ||
| Robert Charles Young | Registered representative | Feb 2025 (1y) | ||
| Stirling Heath | Registered representative | Feb 2025 (1y) | ||
| Jaime Gabriel Reyes | Registered representative | Feb 2025 (1y) | ||
| Muhammad Altaf Awan | Registered representative | Feb 2025 (1y) | ||
| Thoma Capo | Registered representative | Feb 2025 (1y) | ||
| Michael John Violette | Registered representative | Feb 2025 (1y) | ||
| Selina Mari Savage | Registered representative | Feb 2025 (1y) | ||
| Tiffany Shevonne Diaz | Registered representative | Feb 2025 (1y) | ||
| Cliff Anderson | Registered representative | Feb 2025 (1y) | ||
| Cory Scott Byrd | Registered representative | Feb 2025 (1y) | ||
| Mustaf Ahmed Rufai | Registered representative | Feb 2025 (1y) | ||
| David Lorenzo Arocha | Registered representative | Feb 2025 (1y) | ||
| Matt T Kline | Registered representative | Feb 2025 (1y) | ||
| Matthew Nein | Registered representative | Feb 2025 (1y) | ||
| Matthew Wayne Mitchell | Registered representative | Feb 2025 (1y) | ||
| Sonny Jordan Botello | Registered representative | Feb 2025 (1y) | ||
| Marcus Dutra Mouro | Registered representative | Feb 2025 (1y) | ||
| Simran Kaur Samra | Registered representative | Feb 2025 (1y) | ||
| Devon Mclain | Registered representative | Feb 2025 (1y) | ||
| Elenor Pontillo Drick | Registered representative | Feb 2025 (1y) | ||
| Isabella Grace Wakeman | Registered representative | Feb 2025 (1y) | ||
| Jake Michael English | Registered representative | Feb 2025 (1y) | ||
| David Lowell Caterisano | Registered representative | Feb 2025 (1y) | ||
| Glory Anna Rodewald | Registered representative | Feb 2025 (1y) | ||
| Joshua Allen Brummett | Registered representative | Feb 2025 (1y) | ||
| Merih Savas Marshall | Registered representative | Feb 2025 (1y) | ||
| Michael Anthony Skalamera | Registered representative | Feb 2025 (1y) | ||
| Mai Lor Lee | Registered representative | Feb 2025 (1y) | ||
| Steven Don Packham | Registered representative | Feb 2025 (1y) | ||
| William Kinchen Abbott | Registered representative | Feb 2025 (1y) | ||
| Ryan Fiedorek | Registered representative | Feb 2025 (1y) | ||
| Tomas Flores | Registered representative | Feb 2025 (1y) | ||
| Igor Feldman | Registered representative | Feb 2025 (1y) | ||
| Kendall Thomason | Registered representative | Chartered Financial Consultant | Feb 2025 (1y) | |
| Luis Antonio Mercado | Registered representative | Feb 2025 (1y) | ||
| Mason Christopher Scott Weiler | Registered representative | Feb 2025 (1y) | ||
| Parker Kirkpatrick | Registered representative | Feb 2025 (1y) | ||
| Travis Allbee | Registered representative | Feb 2025 (1y) | ||
| David Nicholson | Registered representative | Feb 2025 (1y) | ||
| David Song | Registered representative | CFP | Feb 2025 (1y) | |
| Miguel J Alvarez | Registered representative | Feb 2025 (1y) | ||
| Erick Zhinan Liu | Registered representative | Feb 2025 (1y) | ||
| Jay Canfield Gutches | Registered representative | Feb 2025 (1y) | ||
| Mehwish Sana | Registered representative | Feb 2025 (1y) | ||
| Vincent Charles Mesker | Registered representative | Feb 2025 (1y) | ||
| Craig Michael Avery | Registered representative | Feb 2025 (1y) | ||
| Damon Dishman | Registered representative | Feb 2025 (1y) | ||
| Dustin Thomas Corey | Registered representative | Feb 2025 (1y) | ||
| Gary M Rudow | Registered representative | Feb 2025 (1y) | ||
| Holly Woosley | Registered representative | Feb 2025 (1y) | ||
| Jeffrey A Younger | Registered representative | Feb 2025 (1y) | ||
| Jennifer Smith | Registered representative | Feb 2025 (1y) | ||
| Julie Breault | Registered representative | Feb 2025 (1y) | ||
| Jonah Edward Evangelista | Registered representative | Feb 2025 (1y) | ||
| Omar Hernandez | Registered representative | Feb 2025 (1y) | ||
| Patrick Kent Leichliter | Registered representative | Feb 2025 (1y) | ||
| Ross Douglas Woody | Registered representative | Feb 2025 (1y) | ||
| Ryan Phillip Russell | Registered representative | Feb 2025 (1y) | ||
| Vincent Borgmann | Registered representative | Feb 2025 (1y) | ||
| Jared Drake George | Registered representative | Feb 2025 (1y) | ||
| Alissa Swip | Registered representative | Mar 2025 (1y) | ||
| Brian Dubyk | Registered representative | Mar 2025 (1y) | ||
| Cameron Buckelew | Registered representative | Mar 2025 (1y) | ||
| Justin Michael Skaggs | Registered representative | Mar 2025 (1y) | ||
| James Martin | Registered representative | Mar 2025 (1y) | ||
| Keith Kohlmann | Registered representative | Mar 2025 (1y) | ||
| Zain Khokhar | Registered representative | Mar 2025 (1y) | ||
| Cameron Edmiston | Registered representative | Mar 2025 (1y) | ||
| Cecilia Marie Minette | Registered representative | Mar 2025 (1y) | ||
| Julen Ormaza | Registered representative | CFP | Mar 2025 (1y) | |
| James Walter Huber | Registered representative | CFP Chartered Financial Consultant | Mar 2025 (1y) | |
| Michael Studer | Registered representative | Mar 2025 (1y) | ||
| Abbidale Recardo Spencer | Registered representative | Mar 2025 (1y) | ||
| Ariunaa Sukhee Scholte | Registered representative | Mar 2025 (1y) | ||
| Cory Jason Massey | Registered representative | Mar 2025 (1y) | ||
| Elizabeth Carrillo | Registered representative | Mar 2025 (1y) | ||
| Jacob Gonzalez | Registered representative | Mar 2025 (1y) | ||
| Justin Rivera | Registered representative | Mar 2025 (1y) | ||
| Andrew Jun | Registered representative | Mar 2025 (1y) | ||
| Austin Michael Smart | Registered representative | Mar 2025 (1y) | ||
| Rachel Malvasi | Registered representative | Mar 2025 (1y) | ||
| Rusti Alexander Gunn | Registered representative | Mar 2025 (1y) | ||
| Gerard Danzi | Registered representative | Mar 2025 (1y) | ||
| Hana Lee | Registered representative | Mar 2025 (1y) | ||
| Michael Katz | Registered representative | CFP | Mar 2025 (1y) | |
| Alanna Cuizon Jittayasotorn | Registered representative | Mar 2025 (1y) | ||
| Drew Lyon | Registered representative | Mar 2025 (1y) | ||
| Ingrid Kapbardhi | Registered representative | Mar 2025 (1y) | ||
| Jose Daniel Olarte Reina | Registered representative | Mar 2025 (1y) | ||
| Natalie Kaufman | Registered representative | Mar 2025 (1y) | ||
| Richard B. Renz | Registered representative | Mar 2025 (1y) | ||
| Ryan Bianchi | Registered representative | Mar 2025 (1y) | ||
| Samu Tahira Jancuk | Registered representative | Mar 2025 (1y) | ||
| Tejwant Singh | Registered representative | Mar 2025 (1y) | ||
| Amy L Kelly | Registered representative | Mar 2025 (1y) | ||
| Christopher J Maiurro | Registered representative | Mar 2025 (1y) | ||
| Gage Alexander Jackson | Registered representative | Mar 2025 (1y) | ||
| Glenn Hamburger | Registered representative | CFP | Mar 2025 (1y) | |
| Austin Douglas Belz | Registered representative | Mar 2025 (1y) | ||
| Cassandra Lorraine Keller | Registered representative | CFP | Mar 2025 (1y) | |
| Christina T Brown | Registered representative | Mar 2025 (1y) | ||
| David Ray Simmons | Registered representative | Mar 2025 (1y) | ||
| Gretchen Vaneyck | Registered representative | Mar 2025 (1y) | ||
| Jill Tochtermann | Registered representative | Mar 2025 (1y) | ||
| Joshua David Riga | Registered representative | Mar 2025 (1y) | ||
| Joshua Hayes Foy | Registered representative | Mar 2025 (1y) | ||
| Samuel Philip Briggs | Registered representative | Mar 2025 (1y) | ||
| Steven H Riga | Registered representative | Mar 2025 (1y) | ||
| Thomas James Sacharanski | Registered representative | Mar 2025 (1y) | ||
| David E Whetsell | Registered representative | Mar 2025 (1y) | ||
| Mark Jay Abramson | Registered representative | Mar 2025 (1y) | ||
| Adam G Shafiroff | Registered representative | Mar 2025 (1y) | ||
| Ashley Nicole Honeycutt | Registered representative | Mar 2025 (1y) | ||
| Christopher Todd Mathews | Registered representative | CFP | Mar 2025 (1y) | |
| Eugenio Espino Pedraza | Registered representative | Mar 2025 (1y) | ||
| Laurence Gladstone Shafiroff | Registered representative | Mar 2025 (1y) | ||
| Victoria Lucinda Cann Kyne | Registered representative | Mar 2025 (1y) | ||
| Grant S Haus | Registered representative | Mar 2025 (1y) | ||
| Kristy Jo Kurek | Registered representative | Mar 2025 (1y) | ||
| Erika T Schrade | Registered representative | Mar 2025 (1y) | ||
| Jason Huntsman | Registered representative | Mar 2025 (1y) | ||
| Joshua Schempp | Registered representative | Mar 2025 (1y) | ||
| Kyle Collins | Registered representative | Mar 2025 (1y) | ||
| Ryan Riley Westphal | Registered representative | Mar 2025 (1y) | ||
| Shane Breen | Registered representative | Mar 2025 (1y) | ||
| Stephen Miller Mcfadden | Registered representative | Mar 2025 (1y) | ||
| William N Rice | Registered representative | Mar 2025 (1y) | ||
| Alec Adelman | Registered representative | CFP | Mar 2025 (1y) | |
| John Stuart Miracle | Registered representative | Mar 2025 (1y) | ||
| Michael Mednansky | Registered representative | Mar 2025 (1y) | ||
| Joe Cline | Registered representative | Mar 2025 (1y) | ||
| Tyler Mc Alvain | Registered representative | Mar 2025 (1y) | ||
| Alex Blanco | Registered representative | Mar 2025 (1y) | ||
| Catherine Elizabeth Cole | Registered representative | Mar 2025 (1y) | ||
| Mark Allen Reed | Registered representative | Mar 2025 (1y) | ||
| Edward Ivan Cruz Ortiz | Registered representative | Mar 2025 (1y) | ||
| Joshua Michael Larsen | Registered representative | Mar 2025 (1y) | ||
| Magaly Mower | Registered representative | Mar 2025 (1y) | ||
| Paula Ann Conti | Registered representative | Mar 2025 (1y) | ||
| Robert Cittadini | Registered representative | Mar 2025 (1y) | ||
| Thiesman Brown | Registered representative | Mar 2025 (1y) | ||
| Danielle Lee Shughart | Registered representative | Mar 2025 (1y) | ||
| Mir Ali Mohsin Moosvi | Registered representative | Mar 2025 (1y) | ||
| Pariss Averi Minor | Registered representative | Mar 2025 (1y) | ||
| Sean Thomas Johnson | Registered representative | Mar 2025 (1y) | ||
| Deonte Vanhook | Registered representative | Mar 2025 (1y) | ||
| Leslie Collins | Registered representative | Mar 2025 (1y) | ||
| Neal Mischa Neff | Registered representative | Mar 2025 (1y) | ||
| Charles William Tripp | Registered representative | Mar 2025 (1y) | ||
| Claudia Lares Jimenez | Registered representative | Mar 2025 (1y) | ||
| Hersh Chudasama | Registered representative | Mar 2025 (1y) | ||
| Karen N. Noethen | Registered representative | Mar 2025 (1y) | ||
| Meghan Stisher | Registered representative | Mar 2025 (1y) | ||
| Timeyin Pamela Kimberly Olowu | Registered representative | Mar 2025 (1y) | ||
| Adam Christian Field | Registered representative | Mar 2025 (1y) | ||
| Gage Gustafson | Registered representative | Mar 2025 (1y) | ||
| Micah Drake | Registered representative | Mar 2025 (1y) | ||
| Thomas Jason Parker | Registered representative | Mar 2025 (1y) | ||
| Ashley M Fetsch | Registered representative | Apr 2025 (1y) | ||
| Dawnalee Grey | Registered representative | Apr 2025 (1y) | ||
| Jared Rettig | Registered representative | Apr 2025 (1y) | ||
| Joseph Demichele | Registered representative | Apr 2025 (1y) | ||
| Justin Michael Friedlander | Registered representative | Apr 2025 (1y) | ||
| Brett Canarelli | Registered representative | Apr 2025 (1y) | ||
| Clayton Daniel Haisley | Registered representative | Apr 2025 (1y) | ||
| Jason Watson | Registered representative | Apr 2025 (1y) | ||
| Bradford Brown | Registered representative | Apr 2025 (1y) | ||
| Liane Nichole Crouse | Registered representative | Apr 2025 (1y) | ||
| Tyler Michels | Registered representative | CFP | Apr 2025 (1y) | |
| Brittney Obrien | Registered representative | Apr 2025 (1y) | ||
| Joshua Wells Stanbrough | Registered representative | Apr 2025 (1y) | ||
| Ryan Berry | Registered representative | Apr 2025 (1y) | ||
| Charu Yadav | Registered representative | Apr 2025 (1y) | ||
| Erin Marie Towey | Registered representative | Apr 2025 (1y) | ||
| Kaycie Nolan | Registered representative | Apr 2025 (1y) | ||
| Mycole Jeremy Millsap | Registered representative | Apr 2025 (1y) | ||
| Samir Harish Patel | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Christopher Jesse Alvarez | Registered representative | Apr 2025 (1y) | ||
| Jermaine Tart | Registered representative | Apr 2025 (1y) | ||
| Manuel Ohanes Ashekian | Registered representative | CFP | Apr 2025 (1y) | |
| Riley Thomas Reynolds | Registered representative | Apr 2025 (1y) | ||
| Brandon Gioia | Registered representative | Apr 2025 (1y) | ||
| Ryan Meyler | Registered representative | Apr 2025 (1y) | ||
| Theresa Rosa | Registered representative | Apr 2025 (1y) | ||
| Aida Rosas | Registered representative | Apr 2025 (1y) | ||
| Andrew James Hansen | Registered representative | Apr 2025 (1y) | ||
| Blair Harrington | Registered representative | CFP | Apr 2025 (1y) | |
| Cynthia Armstrong | Registered representative | Apr 2025 (1y) | ||
| Eddy Tello Hernandez | Registered representative | Apr 2025 (1y) | ||
| Elizabeth A Jessup | Registered representative | Apr 2025 (1y) | ||
| Justin Robert Lane | Registered representative | Apr 2025 (1y) | ||
| Juana Angelica Esparza | Registered representative | Apr 2025 (1y) | ||
| K Vanessa Keith | Registered representative | Apr 2025 (1y) | ||
| Richard E Prince | Registered representative | Apr 2025 (1y) | ||
| William Chandler Hill | Registered representative | Apr 2025 (1y) | ||
| Zachary Bognar | Registered representative | Apr 2025 (1y) | ||
| Benjamin Joseph Ross | Registered representative | Apr 2025 (1y) | ||
| Charles Edward Rice | Registered representative | Apr 2025 (1y) | ||
| Craig Livoti | Registered representative | CFA | Apr 2025 (1y) | |
| Justin Blake Hamon | Registered representative | Apr 2025 (1y) | ||
| Shafiq Virani | Registered representative | Apr 2025 (1y) | ||
| Steven Richard Dow | Registered representative | Apr 2025 (1y) | ||
| Alexandre F Gomes | Registered representative | Apr 2025 (1y) | ||
| Dragan Antonio Gasic | Registered representative | Apr 2025 (1y) | ||
| Connor Chapais | Registered representative | Apr 2025 (1y) | ||
| John Bryant Blackmon | Registered representative | Apr 2025 (1y) | ||
| Kristina J Halverson | Registered representative | Apr 2025 (1y) | ||
| Michael Hogan Latham | Registered representative | Apr 2025 (1y) | ||
| Timur Yuldashev | Registered representative | Apr 2025 (1y) | ||
| Jack Duong Tran | Registered representative | Apr 2025 (1y) | ||
| Timmy Minh Nguyen | Registered representative | Apr 2025 (1y) | ||
| Bradley Glenn Garnett | Registered representative | Apr 2025 (1y) | ||
| Christopher Anthony Hart | Registered representative | Apr 2025 (1y) | ||
| Doris A Utterback | Registered representative | Apr 2025 (1y) | ||
| Farhad Firoozi | Registered representative | Apr 2025 (1y) | ||
| Jonathan Henry Smith | Registered representative | CFP | Apr 2025 (1y) | |
| Patrick Christopher Poate | Registered representative | Apr 2025 (1y) | ||
| Robert Klett | Registered representative | Apr 2025 (1y) | ||
| Sanjukta Chaudhuri | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Sunny James Kang | Registered representative | Apr 2025 (1y) | ||
| Thomas Joseph Spearing | Registered representative | Apr 2025 (1y) | ||
| Christina Stanislavovna Chernyshev | Registered representative | Apr 2025 (1y) | ||
| Jorge Alberto Maldonado | Registered representative | Apr 2025 (1y) | ||
| Scott Randall Jiskra | Registered representative | Apr 2025 (1y) | ||
| Trevon Marquis Moody | Registered representative | Apr 2025 (1y) | ||
| Amanda Thomas | Registered representative | Apr 2025 (1y) | ||
| Joseph Nguyen | Registered representative | Apr 2025 (1y) | ||
| Maurice Rashad Nix | Registered representative | Apr 2025 (1y) | ||
| Matthew Mc Crea | Registered representative | CFP | Apr 2025 (1y) | |
| Trishan Chand | Registered representative | Apr 2025 (1y) | ||
| Hrant Kargayan | Registered representative | Apr 2025 (1y) | ||
| Laura Ann Mcneely | Registered representative | Apr 2025 (1y) | ||
| Ann Hoang Seidel | Registered representative | Apr 2025 (1y) | ||
| Andrew Dickson | Registered representative | Apr 2025 (1y) | ||
| Brett T. Williams | Registered representative | CFP | Apr 2025 (1y) | |
| Danny Omar Lopez | Registered representative | CFP | Apr 2025 (1y) | |
| David Thomas Price | Registered representative | Apr 2025 (1y) | ||
| Della Elizabeth Moody Davis | Registered representative | Apr 2025 (1y) | ||
| Douglas Nathaniel Moore | Registered representative | Apr 2025 (1y) | ||
| Estarlin A Evangelista Tapia | Registered representative | Apr 2025 (1y) | ||
| Jeffrey Dalton Davis | Registered representative | Apr 2025 (1y) | ||
| Justin Taylor Lewis | Registered representative | Apr 2025 (1y) | ||
| Kyle Albert Kuykendall | Registered representative | CFP | Apr 2025 (1y) | |
| Paul Richard Adams | Registered representative | CFP | Apr 2025 (1y) | |
| Yuraisy Caban | Registered representative | Apr 2025 (1y) | ||
| Vincent Dorell Marsh | Registered representative | Apr 2025 (1y) | ||
| Alexander Joseph Rushing | Registered representative | Apr 2025 (1y) | ||
| Nicholas Payne | Registered representative | Apr 2025 (1y) | ||
| Sara Jadin Kennedy | Registered representative | Apr 2025 (1y) | ||
| Vicki Bowen | Registered representative | Apr 2025 (1y) | ||
| Alejandro Seferino Richardson | Registered representative | Apr 2025 (1y) | ||
| Joas Adlai De La Paz | Registered representative | Apr 2025 (1y) | ||
| Kevin Johns | Registered representative | Apr 2025 (1y) | ||
| Wayne James Randall | Registered representative | Apr 2025 (1y) | ||
| James Leon Pridgen | Registered representative | Apr 2025 (1y) | ||
| Jonathan Pickert | Registered representative | Apr 2025 (1y) | ||
| Olusegun Ayeni | Registered representative | Apr 2025 (1y) | ||
| Ralph Eugene Hughes | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Ravilochan Pola | Registered representative | Apr 2025 (1y) | ||
| Vivian Junco Leon | Registered representative | Apr 2025 (1y) | ||
| Alexis Lee Lyons | Registered representative | May 2025 (1y) | ||
| Christopher L Churney | Registered representative | May 2025 (1y) | ||
| David Scott Towers | Registered representative | May 2025 (1y) | ||
| Jason Capron | Registered representative | May 2025 (1y) | ||
| Jimmy R Peraffan | Registered representative | May 2025 (1y) | ||
| Mike Fitzgerald | Registered representative | May 2025 (1y) | ||
| Ryan Maley | Registered representative | CFP | May 2025 (1y) | |
| Tyler Lee Farrell | Registered representative | May 2025 (1y) | ||
| Jordan Hernandez | Registered representative | May 2025 (1y) | ||
| Ross Clark Udell | Registered representative | May 2025 (1y) | ||
| Ryan Henderson | Registered representative | May 2025 (1y) | ||
| Seth James Williams | Registered representative | May 2025 (1y) | ||
| Ashley N Warren Deleiko | Registered representative | May 2025 (1y) | ||
| Charles Patrick Smith | Registered representative | May 2025 (1y) | ||
| David Franklin Edwards | Registered representative | CFP | May 2025 (1y) | |
| Jack Kuhlman | Registered representative | May 2025 (1y) | ||
| Kevin Garcia | Registered representative | May 2025 (1y) | ||
| Rachel M Rauma | Registered representative | May 2025 (1y) | ||
| Adam Carney | Registered representative | May 2025 (1y) | ||
| Timothy M Phenecie | Registered representative | May 2025 (1y) | ||
| Yazmin Iza Mona | Registered representative | May 2025 (1y) | ||
| Linda Liu | Registered representative | May 2025 (1y) | ||
| Nicolaus John Robinson | Registered representative | May 2025 (1y) | ||
| Sabrina Guglielmi | Registered representative | May 2025 (1y) | ||
| Sophie Gabor | Registered representative | May 2025 (1y) | ||
| Alphonse Bautista | Registered representative | May 2025 (1y) | ||
| Chevelle Ss Tuck | Registered representative | May 2025 (1y) | ||
| Christopher J Lehan | Registered representative | May 2025 (1y) | ||
| Edward Thomas Reiser | Registered representative | May 2025 (1y) | ||
| Harish Kumar Jashnani | Registered representative | May 2025 (1y) | ||
| Henry Charles Mosher | Registered representative | May 2025 (1y) | ||
| Jake Luthardt | Registered representative | May 2025 (1y) | ||
| Toney D. Pennyamon | Registered representative | May 2025 (1y) | ||
| Anthon David Matkulak | Registered representative | May 2025 (1y) | ||
| Jayant Mehta Singh | Registered representative | May 2025 (1y) | ||
| John Fink | Registered representative | May 2025 (1y) | ||
| Joshua L Jinks | Registered representative | May 2025 (1y) | ||
| Leann Jean Coe | Registered representative | May 2025 (1y) | ||
| Marquee Daneen Smith | Registered representative | May 2025 (1y) | ||
| Rita Darlene Cooper | Registered representative | CFP | May 2025 (1y) | |
| Garry Fils Aime | Registered representative | May 2025 (1y) | ||
| Jeffery Alan Greathouse | Registered representative | May 2025 (1y) | ||
| Roswell Jonathan Tyler Steadman | Registered representative | May 2025 (1y) | ||
| Stacy K Leonard | Registered representative | May 2025 (1y) | ||
| Pierre Flores Vargas | Registered representative | May 2025 (1y) | ||
| Valerie Ann Forthun | Registered representative | May 2025 (1y) | ||
| Ashley Obryantwood | Registered representative | May 2025 (1y) | ||
| David Moses Salas | Registered representative | May 2025 (1y) | ||
| Matthew Scott Stockey | Registered representative | May 2025 (1y) | ||
| Mordechai Bock | Registered representative | May 2025 (1y) | ||
| Priyank P Rana | Registered representative | May 2025 (1y) | ||
| Tanner Leroy | Registered representative | May 2025 (1y) | ||
| Vicki Sue Davenport | Registered representative | May 2025 (1y) | ||
| Curtis Richard Eakin | Registered representative | May 2025 (1y) | ||
| Carlos Perez | Registered representative | May 2025 (1y) | ||
| Henry Anthony Hernandez | Registered representative | May 2025 (1y) | ||
| Jayden Alan Epperson | Registered representative | May 2025 (1y) | ||
| Jonathan David Cortes | Registered representative | May 2025 (1y) | ||
| Kevin Picard | Registered representative | May 2025 (1y) | ||
| Luis Alberto Tejeda | Registered representative | May 2025 (1y) | ||
| Luz Estrella Maylone | Registered representative | May 2025 (1y) | ||
| Thomas Anthony Robinson | Registered representative | May 2025 (1y) | ||
| Juan Miguel Guillen | Registered representative | May 2025 (1y) | ||
| Paul Hazen Slater | Registered representative | May 2025 (1y) | ||
| Rachel Kaylene Finnerty | Registered representative | May 2025 (1y) | ||
| Andrew John Lichaj | Registered representative | May 2025 (1y) | ||
| Bradford Edwin Mattox | Registered representative | May 2025 (1y) | ||
| Courtney Lee Saul | Registered representative | May 2025 (1y) | ||
| Lucas David Aubin | Registered representative | May 2025 (1y) | ||
| Susan Christine Leuver | Registered representative | May 2025 (1y) | ||
| Amanda Pauline Telotte | Registered representative | May 2025 (1y) | ||
| Brianna Christine Izzo | Registered representative | May 2025 (1y) | ||
| Benjamin S Kline | Registered representative | May 2025 (1y) | ||
| Charles Berryhill | Registered representative | May 2025 (1y) | ||
| Natalie Rodriguez Gutierrez | Registered representative | May 2025 (1y) | ||
| Riaz Abdul Hameed | Registered representative | May 2025 (1y) | ||
| Eliana Marcela Sanchez | Registered representative | May 2025 (1y) | ||
| Samuel Kenneth Bond | Registered representative | May 2025 (1y) | ||
| Christopher Marc Jette | Registered representative | May 2025 (1y) | ||
| Grace M Ruddy | Registered representative | May 2025 (1y) | ||
| Inna Raiskin White | Registered representative | May 2025 (1y) | ||
| Juleane Elizabeth Spittler | Registered representative | May 2025 (1y) | ||
| Paul S Zaferiou | Registered representative | May 2025 (1y) | ||
| Stefan Rainer | Registered representative | May 2025 (1y) | ||
| William Burke Allred | Registered representative | May 2025 (1y) | ||
| Philip David Poole | Registered representative | May 2025 (1y) | ||
| Tuan Anh Tran | Registered representative | May 2025 (1y) | ||
| Tyler Moore Olson | Registered representative | May 2025 (1y) | ||
| Waqas Ahmad Khan | Registered representative | May 2025 (1y) | ||
| William Painter | Registered representative | May 2025 (1y) | ||
| Darian Hogle | Registered representative | May 2025 (1y) | ||
| Jonathan Landon Olsen | Registered representative | CFP | May 2025 (1y) | |
| Komlan Agbenyigan Aflagah | Registered representative | May 2025 (1y) | ||
| Michael Charles Jamison | Registered representative | May 2025 (1y) | ||
| Michael Jared Shaw | Registered representative | CFP | May 2025 (1y) | |
| Rajkumar Namomal Motwani | Registered representative | May 2025 (1y) | ||
| Sherif Abdel Hamid | Registered representative | May 2025 (1y) | ||
| Ulises Diaz | Registered representative | May 2025 (1y) | ||
| Adela C. Coffey | Registered representative | May 2025 (1y) | ||
| Andrew M Schneider | Registered representative | May 2025 (1y) | ||
| Sandra Fernandes | Registered representative | May 2025 (1y) | ||
| Shamli Mamgain | Registered representative | May 2025 (1y) | ||
| Brian Joseph Dinka | Registered representative | May 2025 (1y) | ||
| Emmannuelle Alderete Rodriguez | Registered representative | May 2025 (1y) | ||
| Mibenge Sumaili | Registered representative | May 2025 (1y) | ||
| Scott Mercer Heath | Registered representative | May 2025 (1y) | ||
| Connie J Shen | Registered representative | May 2025 (1y) | ||
| Cory M Fitzhugh | Registered representative | May 2025 (1y) | ||
| Gregory G Downs | Registered representative | May 2025 (1y) | ||
| Tyler Watson Garrett | Registered representative | May 2025 (1y) | ||
| Anna Edwards | Registered representative | Jun 2025 (1y) | ||
| Amy Song | Registered representative | Jun 2025 (1y) | ||
| Daniel A Huerta Gonzalez | Registered representative | Jun 2025 (1y) | ||
| Kayla Miles Shockett | Registered representative | Jun 2025 (1y) | ||
| Charles Michael Frank | Registered representative | Jun 2025 (1y) | ||
| Dennis Lyn Smith | Registered representative | Jun 2025 (1y) | ||
| Irina Sergeyevna Lovelace | Registered representative | Jun 2025 (1y) | ||
| Tyler Stephen | Registered representative | Jun 2025 (1y) | ||
| Adam W Listerman | Registered representative | Jun 2025 (1y) | ||
| Ermias Eric Bode | Registered representative | Jun 2025 (1y) | ||
| Ian T Macneill | Registered representative | Jun 2025 (1y) | ||
| Priscilla Blanco | Registered representative | Jun 2025 (1y) | ||
| Christine Mills | Registered representative | Jun 2025 (1y) | ||
| Christopher James Coplien | Registered representative | Jun 2025 (1y) | ||
| Johann Ronald Donner | Registered representative | Jun 2025 (1y) | ||
| Patricia Karen Eardley | Registered representative | Jun 2025 (1y) | ||
| Lorraine Beth Calcote | Registered representative | CFP | Jun 2025 (1y) | |
| Arlo Sevi | Registered representative | Jun 2025 (1y) | ||
| Guy Thornton Mcbride | Registered representative | Jun 2025 (1y) | ||
| Kevin Sensbach | Registered representative | Jun 2025 (1y) | ||
| Michael Scott Allen | Registered representative | Jun 2025 (1y) | ||
| David M Whitney | Registered representative | Jun 2025 (1y) | ||
| Elizabeth Anne Jensen | Registered representative | CFP | Jun 2025 (1y) | |
| Eric Hanhold | Registered representative | Jun 2025 (1y) | ||
| Noah Benjamin Stubblefield | Registered representative | Jun 2025 (1y) | ||
| Scott Debeck | Registered representative | Jun 2025 (1y) | ||
| Nicholas Adam Drake | Registered representative | Jun 2025 (1y) | ||
| Sergio Ortiz Villalobos | Registered representative | Jun 2025 (1y) | ||
| Donald L Lavi | Registered representative | Jun 2025 (1y) | ||
| Stephanie Rebeca Groff | Registered representative | Jun 2025 (1y) | ||
| Adam Bakhash | Registered representative | Jun 2025 (1y) | ||
| Christina Marie Harmon | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Esmeralda Cortes Ruiz | Registered representative | Jun 2025 (1y) | ||
| Joseph Burwell | Registered representative | Jun 2025 (1y) | ||
| Joseph Mesnier | Registered representative | Jun 2025 (1y) | ||
| Juan Andres Sanchez Rincon | Registered representative | Jun 2025 (1y) | ||
| Kayla Jeanna Mae Calo | Registered representative | Jun 2025 (1y) | ||
| Thulio Goncalves | Registered representative | Jun 2025 (1y) | ||
| Benjamin Johnson Leggett | Registered representative | Jun 2025 (1y) | ||
| Brian Smith | Registered representative | Jun 2025 (1y) | ||
| Haley Graber | Registered representative | Jun 2025 (1y) | ||
| Jason Thomas Whitehead | Registered representative | Jun 2025 (1y) | ||
| Peter Timmerman | Registered representative | Jun 2025 (1y) | ||
| Christopher Francis Petrich | Registered representative | Jun 2025 (1y) | ||
| Ram Avadyaev | Registered representative | Jun 2025 (1y) | ||
| Adam Christopher Bouley | Registered representative | Jun 2025 (1y) | ||
| Brandon Bersett | Registered representative | Jun 2025 (1y) | ||
| Brendan Schaaf | Registered representative | Jun 2025 (1y) | ||
| Brett Denson | Registered representative | Jun 2025 (1y) | ||
| Debra Ann Skoda | Registered representative | Jun 2025 (1y) | ||
| Grant Patrick Keyser | Registered representative | Jun 2025 (1y) | ||
| Liana Lee Freeman | Registered representative | Jun 2025 (1y) | ||
| Philip Searcy | Registered representative | Jun 2025 (1y) | ||
| Trent James Wagner | Registered representative | Jun 2025 (1y) | ||
| Tyler J Donahue | Registered representative | Jun 2025 (1y) | ||
| Taylor James Jansen | Registered representative | Jun 2025 (1y) | ||
| William Graham Parton | Registered representative | Jun 2025 (1y) | ||
| William Riley Giddens | Registered representative | Jun 2025 (1y) | ||
| Ziyov Elias Mukhitdinov | Registered representative | Jun 2025 (1y) | ||
| Carolyn Anne Kleen | Registered representative | Jun 2025 (1y) | ||
| Michael Bono | Registered representative | Jun 2025 (1y) | ||
| Brenda Navarro | Registered representative | Jun 2025 (1y) | ||
| Crystal L Simmons | Registered representative | Jun 2025 (1y) | ||
| Daniel Timothy Mcmillan | Registered representative | Jun 2025 (1y) | ||
| Jacob Hruska | Registered representative | Jun 2025 (1y) | ||
| Jamie Niver Van Dyke | Registered representative | Jun 2025 (1y) | ||
| Nicholas Janssen | Registered representative | Jun 2025 (1y) | ||
| Anthony Richard Polidoro | Registered representative | Jun 2025 (1y) | ||
| Mina George Younan Basilious | Registered representative | Jun 2025 (1y) | ||
| Mofya Edith Zimba | Registered representative | Jun 2025 (1y) | ||
| Timothy O'connor | Registered representative | Jun 2025 (1y) | ||
| Amit Chadha | Registered representative | Jun 2025 (1y) | ||
| Andrew Lenzi | Registered representative | Jun 2025 (1y) | ||
| Charles Joseph Walters | Registered representative | Jun 2025 (1y) | ||
| James Elias Cox | Registered representative | Jun 2025 (1y) | ||
| James R Vender | Registered representative | Jun 2025 (1y) | ||
| Kim Schultz Abello | Registered representative | Jun 2025 (1y) | ||
| Mathew Bradford Halvorson | Registered representative | Jun 2025 (1y) | ||
| Matthew Harrison Spring | Registered representative | CFP | Jun 2025 (1y) | |
| Maha M Elkhateib | Registered representative | Jun 2025 (1y) | ||
| Owen Michael Christenson | Registered representative | Jun 2025 (1y) | ||
| Trevor G Ricks | Registered representative | CFP | Jun 2025 (1y) | |
| Dijana Burnic | Registered representative | Jun 2025 (1y) | ||
| Henry H Liang | Registered representative | Jun 2025 (1y) | ||
| Jamie R Klinnert | Registered representative | Jun 2025 (1y) | ||
| Jessica Mustacchio | Registered representative | Jun 2025 (1y) | ||
| Mukesh Vithalbhai Patel | Registered representative | Jun 2025 (1y) | ||
| Patricia Jane Kes Le Jeune | Registered representative | Jun 2025 (1y) | ||
| Samuel N. Djannie | Registered representative | Jun 2025 (1y) | ||
| Brian Matthew Major | Registered representative | Jun 2025 (1y) | ||
| Diamond Nicole Melvin | Registered representative | Jun 2025 (1y) | ||
| Kim Marie Valentine | Registered representative | Jun 2025 (1y) | ||
| Ricardo Daniel Carrion | Registered representative | Jun 2025 (1y) | ||
| Edgar Ivan Cornejo Chavez | Registered representative | Jun 2025 (1y) | ||
| Connor Judson Deuel | Registered representative | Jun 2025 (1y) | ||
| Jayson De Jesus Collazo | Registered representative | Jun 2025 (1y) | ||
| Johnny Ottoniel Dubon | Registered representative | Jun 2025 (1y) | ||
| Michelle Hattam | Registered representative | Jun 2025 (1y) | ||
| Patrick Jeffrey Nuter | Registered representative | Jun 2025 (1y) | ||
| Varun Soondar | Registered representative | Jun 2025 (1y) | ||
| Carlos Menicucci | Registered representative | CFP | Jul 2025 (1y) | |
| Daniel Stephen Spring | Registered representative | Jul 2025 (1y) | ||
| William Kobernusz | Registered representative | Jul 2025 (1y) | ||
| Ann Michele Vitale | Registered representative | Jul 2025 (1y) | ||
| Brett Goldberg | Registered representative | Jul 2025 (1y) | ||
| Caryn Nichole Cocchia | Registered representative | Jul 2025 (1y) | ||
| David David Pelton | Registered representative | Jul 2025 (1y) | ||
| David Ellman | Registered representative | Jul 2025 (1y) | ||
| John Gadallah | Registered representative | Jul 2025 (1y) | ||
| Parker Hendrickson | Registered representative | Jul 2025 (1y) | ||
| Stacy Thatcher | Registered representative | Jul 2025 (1y) | ||
| Simon Lui | Registered representative | Jul 2025 (1y) | ||
| Maria Luisa Marks | Registered representative | Jul 2025 (1y) | ||
| Omar Radney | Registered representative | CFP | Jul 2025 (1y) | |
| Eric Villa | Registered representative | Jul 2025 (1y) | ||
| Gregory Foos | Registered representative | Jul 2025 (1y) | ||
| Joshua Wesley Jahnke | Registered representative | Jul 2025 (1y) | ||
| Noah Connor Harvey | Registered representative | Jul 2025 (1y) | ||
| Tabetha Leanne Spedden | Registered representative | Jul 2025 (1y) | ||
| Alejandro Regalado Cruz | Registered representative | Jul 2025 (1y) | ||
| Joseph Franchi | Registered representative | Jul 2025 (1y) | ||
| Nohe Mezabahena | Registered representative | Jul 2025 (1y) | ||
| Robert Larry Burns | Registered representative | CFP | Jul 2025 (1y) | |
| Russell Landon Weinstein | Registered representative | Jul 2025 (1y) | ||
| Santos Francisco Herrera | Registered representative | Jul 2025 (1y) | ||
| Sheila Hernandez Calzada | Registered representative | Jul 2025 (1y) | ||
| Brian Hiram Gonzalez Hernandez | Registered representative | Jul 2025 (1y) | ||
| Daniel Brian Maude | Registered representative | Jul 2025 (1y) | ||
| Mary Dorothy Tibbs | Registered representative | Jul 2025 (1y) | ||
| Michael Joseph Beda | Registered representative | Jul 2025 (1y) | ||
| Robert Vylay Bouapaengphan | Registered representative | Jul 2025 (1y) | ||
| Sequoia Amanah Edwards | Registered representative | Jul 2025 (1y) | ||
| Amy Marie Longfellow | Registered representative | Jul 2025 (1y) | ||
| Bonnie A Weckler | Registered representative | Jul 2025 (1y) | ||
| Brandon Skaggs | Registered representative | Jul 2025 (1y) | ||
| Joshua K Sobas | Registered representative | Jul 2025 (1y) | ||
| Luis Ignacio Figueredo | Registered representative | Jul 2025 (1y) | ||
| Samantha Jane Savage | Registered representative | Jul 2025 (1y) | ||
| Travis B Sissler | Registered representative | Jul 2025 (1y) | ||
| Zhangde Lin | Registered representative | Jul 2025 (1y) | ||
| Eric Eugene Jackson | Registered representative | Jul 2025 (1y) | ||
| Nicholas Brandon Ash | Registered representative | Jul 2025 (1y) | ||
| Oren Yaccobe | Registered representative | Jul 2025 (1y) | ||
| Veronica Aguirregarayzar | Registered representative | Jul 2025 (1y) | ||
| Ye Su | Registered representative | Jul 2025 (1y) | ||
| Aengus Dubendorf | Registered representative | Jul 2025 (1y) | ||
| Brenzel W Guillory | Registered representative | Jul 2025 (1y) | ||
| Julian Klaude Lim Hanna | Registered representative | Jul 2025 (1y) | ||
| Robert Magallanes | Registered representative | Jul 2025 (1y) | ||
| Jeffrey Li | Registered representative | Jul 2025 (1y) | ||
| Anirudh D Sulibhavi | Registered representative | Jul 2025 (1y) | ||
| Michaela Klara Gutmann | Registered representative | Jul 2025 (1y) | ||
| Orlando R Zayas | Registered representative | Jul 2025 (1y) | ||
| Nickolas Elio Varani | Registered representative | Jul 2025 (1y) | ||
| Anthony David Chuck | Registered representative | Jul 2025 (1y) | ||
| Benjamin Evan Crane | Registered representative | Jul 2025 (1y) | ||
| Brittney Elizabeth Stephens | Registered representative | Jul 2025 (1y) | ||
| Flor Karen Grosch | Registered representative | Jul 2025 (1y) | ||
| Kyle T Spilman | Registered representative | Jul 2025 (1y) | ||
| Mark E Lebida | Registered representative | CFA | Jul 2025 (1y) | |
| Melita Ingram | Registered representative | Jul 2025 (1y) | ||
| Michael Rich Hatch | Registered representative | Jul 2025 (1y) | ||
| Monica L Dawes | Registered representative | Jul 2025 (1y) | ||
| Natalie Pearl Muscatell | Registered representative | Jul 2025 (1y) | ||
| Alberto Padilla | Registered representative | Jul 2025 (1y) | ||
| Freidy Mariano | Registered representative | Jul 2025 (1y) | ||
| Garet Haynes | Registered representative | Jul 2025 (1y) | ||
| Johnna Iantorno | Registered representative | Jul 2025 (1y) | ||
| Margarita Fabiola Enciso | Registered representative | Jul 2025 (1y) | ||
| Tien Huynh Lecroy | Registered representative | Jul 2025 (1y) | ||
| Yingquan Zhang | Registered representative | Jul 2025 (1y) | ||
| Amy Michelle White | Registered representative | Jul 2025 (1y) | ||
| Brian Baer | Registered representative | Jul 2025 (1y) | ||
| Francisco Javier Cabello Ortega | Registered representative | Jul 2025 (1y) | ||
| Jacob Alan Sherline | Registered representative | Jul 2025 (1y) | ||
| Jason Terrel Brown | Registered representative | Jul 2025 (1y) | ||
| Kevin Dwyer Johnson | Registered representative | Jul 2025 (1y) | ||
| Nicholas Bryce Bogie | Registered representative | Jul 2025 (1y) | ||
| Raymond Allen Whitner | Registered representative | Jul 2025 (1y) | ||
| Ryan Jacob Tester | Registered representative | Jul 2025 (1y) | ||
| Christian Fernando Lopez Ruiz | Registered representative | Jul 2025 (1y) | ||
| Hasan Ali Saadoon Al Khoja | Registered representative | Jul 2025 (1y) | ||
| Jacob William Kline | Registered representative | Jul 2025 (1y) | ||
| Trenton George Mckendrick | Registered representative | Jul 2025 (1y) | ||
| David Christopher Bake | Registered representative | Jul 2025 (1y) | ||
| Edwin Jacob Rivera | Registered representative | Jul 2025 (1y) | ||
| Jamey Barham | Registered representative | Jul 2025 (1y) | ||
| Kay Allisen Kelley | Registered representative | Jul 2025 (1y) | ||
| Ryan James Whelan | Registered representative | Jul 2025 (1y) | ||
| Alexander Stark | Registered representative | Jul 2025 (1y) | ||
| Christian James Malsom | Registered representative | Jul 2025 (1y) | ||
| Connor James Wiesner | Registered representative | CFP Chartered Financial Consultant CFA | Jul 2025 (1y) | |
| Gregory James Pelachik | Registered representative | CFP | Jul 2025 (1y) | |
| Nathaniel Garner | Registered representative | Jul 2025 (1y) | ||
| Nicholas A Harden | Registered representative | Jul 2025 (1y) | ||
| Nicholas A Loriaux | Registered representative | Jul 2025 (1y) | ||
| Samuel Ian Duncan | Registered representative | Jul 2025 (1y) | ||
| Sean Nicholson | Registered representative | Jul 2025 (1y) | ||
| Sean Quinn Leonard | Registered representative | Jul 2025 (1y) | ||
| Andrew Chang | Registered representative | Jul 2025 (1y) | ||
| Bonny Lynn Brown | Registered representative | Jul 2025 (1y) | ||
| Bryan Le | Registered representative | Jul 2025 (1y) | ||
| Connor Post | Registered representative | Jul 2025 (1y) | ||
| Heather Stauffer | Registered representative | Jul 2025 (1y) | ||
| Loran F Meehan | Registered representative | Jul 2025 (1y) | ||
| Rebecca Davis Merkel | Registered representative | Jul 2025 (1y) | ||
| John Wade | Registered representative | Jul 2025 (1y) | ||
| Mathew S Fabiani | Registered representative | CFP | Jul 2025 (1y) | |
| Mark R Tschinkel | Registered representative | Jul 2025 (1y) | ||
| Brian M Stamp | Registered representative | Aug 2025 (1y) | ||
| Emma Riley | Registered representative | Aug 2025 (1y) | ||
| Kylie Manganello | Registered representative | Aug 2025 (1y) | ||
| Margaret Luedloff | Registered representative | Aug 2025 (1y) | ||
| Jose A Herrera | Registered representative | Aug 2025 (1y) | ||
| Angel Omar Saucedo | Registered representative | Aug 2025 (1y) | ||
| Angela L Lankford | Registered representative | Aug 2025 (1y) | ||
| Aroosa Hamid | Registered representative | Aug 2025 (1y) | ||
| John Timmerman | Registered representative | Aug 2025 (1y) | ||
| Juliana Ferreira Lemos Kriske | Registered representative | Aug 2025 (1y) | ||
| Abigail Jean Blanton | Registered representative | Aug 2025 (1y) | ||
| Amy Gelo | Registered representative | Aug 2025 (1y) | ||
| Kyle Mc Adams Foster | Registered representative | CFP | Aug 2025 (1y) | |
| Luke Maura | Registered representative | Aug 2025 (1y) | ||
| Mark Higbee | Registered representative | Aug 2025 (1y) | ||
| Nader Khela | Registered representative | Aug 2025 (1y) | ||
| Yoana Michel Robles | Registered representative | Aug 2025 (1y) | ||
| Andrew J Nitti | Registered representative | Aug 2025 (1y) | ||
| Alma Pajova | Registered representative | Aug 2025 (1y) | ||
| Brandon Shemonia | Registered representative | Aug 2025 (1y) | ||
| Dalton Stockton | Registered representative | Aug 2025 (1y) | ||
| Darek Landrum | Registered representative | Aug 2025 (1y) | ||
| Steven Jeffrey Tucker | Registered representative | Aug 2025 (1y) | ||
| Tonya S. Hutchison | Registered representative | CFP | Aug 2025 (1y) | |
| Benjamin Alan Goldberg | Registered representative | Aug 2025 (1y) | ||
| Beverley Mason Hawfield | Registered representative | CFP | Aug 2025 (1y) | |
| Brian Lee Richmond | Registered representative | Aug 2025 (1y) | ||
| Jeanpierre Willis Parent | Registered representative | Aug 2025 (1y) | ||
| Kelsey Chicots | Registered representative | Aug 2025 (1y) | ||
| Lorraine B Anderson | Registered representative | Aug 2025 (1y) | ||
| Amir Khan | Registered representative | Aug 2025 (1y) | ||
| Andrew Mitchell Clanton | Registered representative | Aug 2025 (1y) | ||
| Christina L Smith | Registered representative | Aug 2025 (1y) | ||
| Erin Marie Jones | Registered representative | Aug 2025 (1y) | ||
| George Thomas Varones | Registered representative | Aug 2025 (1y) | ||
| Jaime Caraveo | Registered representative | Aug 2025 (1y) | ||
| Steven Justin Aloia | Registered representative | Aug 2025 (1y) | ||
| Sun Kyung Bae | Registered representative | CFA | Aug 2025 (1y) | |
| Paulina Griselda Perez | Registered representative | Aug 2025 (1y) | ||
| Andrew W Sheerin | Registered representative | Aug 2025 (1y) | ||
| Dayana Vili Medevsky | Registered representative | Aug 2025 (1y) | ||
| Laura Ariana Hernandez | Registered representative | Aug 2025 (1y) | ||
| Omotayo Andrew Famodu | Registered representative | Aug 2025 (1y) | ||
| Rafi Jon Nazarian | Registered representative | Aug 2025 (1y) | ||
| Wendy Roxana Hartje | Registered representative | Aug 2025 (1y) | ||
| Jose A Sanchez | Registered representative | Aug 2025 (1y) | ||
| Kate Krauser | Registered representative | Aug 2025 (1y) | ||
| Tijuana Lynn Brown | Registered representative | Aug 2025 (1y) | ||
| Allison Hazel Nosacka | Registered representative | Aug 2025 (1y) | ||
| Amado Sergio Delgado Manzanares | Registered representative | Aug 2025 (1y) | ||
| Brandon Mario Chagnard | Registered representative | Aug 2025 (1y) | ||
| Claire Drake Mcvea | Registered representative | Aug 2025 (1y) | ||
| Garrett Gamble | Registered representative | Aug 2025 (1y) | ||
| Ira Ross Feld | Registered representative | Aug 2025 (1y) | ||
| Jackson Grey Henson | Registered representative | Aug 2025 (1y) | ||
| Nicole Sause Fawley | Registered representative | Aug 2025 (1y) | ||
| Sergio D Collette | Registered representative | Aug 2025 (1y) | ||
| Shane Lee Rhodes | Registered representative | Aug 2025 (1y) | ||
| Albert Morris Israel | Registered representative | Aug 2025 (1y) | ||
| Alexander Neal | Registered representative | Aug 2025 (1y) | ||
| David Weinstein | Registered representative | Aug 2025 (1y) | ||
| David Farace | Registered representative | Aug 2025 (1y) | ||
| Jaiden Joshua Peter Nelson | Registered representative | Aug 2025 (1y) | ||
| Jason Allen Meinerding | Registered representative | Aug 2025 (1y) | ||
| Jordan Chalkley | Registered representative | CFP | Aug 2025 (1y) | |
| Aric S. Buck | Registered representative | Aug 2025 (1y) | ||
| Cherie Bogan Carmena | Registered representative | Aug 2025 (1y) | ||
| Chad Justin Minick | Registered representative | Aug 2025 (1y) | ||
| Edward Morio Kawahara | Registered representative | CFP | Aug 2025 (1y) | |
| Efrain Toro | Registered representative | Aug 2025 (1y) | ||
| Faith O Okoeguale | Registered representative | Aug 2025 (1y) | ||
| Garima Dembla | Registered representative | Aug 2025 (1y) | ||
| Jacob Gunzo Kawahara | Registered representative | Aug 2025 (1y) | ||
| Kyle Matthew Farley | Registered representative | Aug 2025 (1y) | ||
| Lakeisha Renee Blount | Registered representative | Aug 2025 (1y) | ||
| Richard Letchworth | Registered representative | Aug 2025 (1y) | ||
| Robert Lynn Bowen | Registered representative | Aug 2025 (1y) | ||
| Samantha Ann Nunn | Registered representative | Aug 2025 (1y) | ||
| Stephen James Fazio | Registered representative | Aug 2025 (1y) | ||
| William Knebel | Registered representative | Aug 2025 (1y) | ||
| Brian C Forseth | Registered representative | CFP Chartered Financial Consultant | Aug 2025 (1y) | |
| Kimberly Dawn Wunderlich | Registered representative | Aug 2025 (1y) | ||
| Nelia Mc Bride | Registered representative | Aug 2025 (1y) | ||
| Colby Patrick Boyle | Registered representative | Aug 2025 (1y) | ||
| Fionn Kieran Oliver | Registered representative | Aug 2025 (1y) | ||
| Lauren Tai Waletzki | Registered representative | Aug 2025 (1y) | ||
| Steve Kowal | Registered representative | Aug 2025 (1y) | ||
| Steven Gonzalez | Registered representative | Aug 2025 (1y) | ||
| William Michael Steadman | Registered representative | Aug 2025 (1y) | ||
| Yuying Lei | Registered representative | Aug 2025 (1y) | ||
| Austin G Churchel | Registered representative | Aug 2025 (1y) | ||
| Geoffrey Ivonnet | Registered representative | Aug 2025 (1y) | ||
| Mohanad Babikir Elhag | Registered representative | Aug 2025 (1y) | ||
| Deborah Ann Stewart | Registered representative | Aug 2025 (1y) | ||
| Luis Cabral | Registered representative | Aug 2025 (1y) | ||
| Salvatore Prisco | Registered representative | Aug 2025 (1y) | ||
| Alex Khoshnam | Registered representative | Aug 2025 (1y) | ||
| Alexander Hasni | Registered representative | Aug 2025 (1y) | ||
| Desiree Faith Campbell | Registered representative | Aug 2025 (1y) | ||
| Gabriel Edward Maxwell | Registered representative | Aug 2025 (1y) | ||
| Garrett Walsh | Registered representative | Aug 2025 (1y) | ||
| Jessi Sage Underbrink | Registered representative | Aug 2025 (1y) | ||
| Kelly K Hacker | Registered representative | Aug 2025 (1y) | ||
| Luis Enrique Leyva Madrid | Registered representative | Aug 2025 (1y) | ||
| Steven Keddington Davis | Registered representative | Aug 2025 (1y) | ||
| Alexander Dylan Cuthbertson | Registered representative | Aug 2025 (1y) | ||
| Aubrey Dawn Deigh | Registered representative | Aug 2025 (1y) | ||
| Joy Stephens | Registered representative | CFP | Aug 2025 (1y) | |
| Robert Carl Strong | Registered representative | Aug 2025 (1y) | ||
| Ernest Lau | Registered representative | Aug 2025 (1y) | ||
| Ethan Hoops | Registered representative | Aug 2025 (1y) | ||
| Valerie Irvine | Registered representative | Aug 2025 (1y) | ||
| Jacquelyn L Martinez | Registered representative | Aug 2025 (1y) | ||
| Jeffrey Quinn | Registered representative | CFP Chartered Financial Consultant | Aug 2025 (1y) | |
| Norma Jo Knox | Registered representative | Aug 2025 (1y) | ||
| Jonathan Ho Wang | Registered representative | CFP | Aug 2025 (1y) | |
| Natalie Bianca Estabrooks | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Nichol Stimac | Registered representative | Aug 2025 (1y) | ||
| Sarah Leota Gaona | Registered representative | Aug 2025 (1y) | ||
| Lisa Wise | Registered representative | Sep 2025 (1y) | ||
| Michael Lawrence Carmona | Registered representative | Sep 2025 (1y) | ||
| Anthony Richard Greco | Registered representative | CFP | Sep 2025 (1y) | |
| Daniel Edward Filippi | Registered representative | Sep 2025 (1y) | ||
| Hongjuan Zhang | Registered representative | Sep 2025 (1y) | ||
| John Andrew Digiacomo | Registered representative | Sep 2025 (1y) | ||
| Matthew Craigle | Registered representative | Sep 2025 (1y) | ||
| Youssef Habib Abdelsaid | Registered representative | Sep 2025 (1y) | ||
| Dionne Deborah Lloyd | Registered representative | Sep 2025 (1y) | ||
| Gregory Richard Siers | Registered representative | Sep 2025 (1y) | ||
| Melanie O Crawford | Registered representative | Sep 2025 (1y) | ||
| Nicholas Angel Phylactou | Registered representative | Sep 2025 (1y) | ||
| Olufemi Osei Millar | Registered representative | Sep 2025 (1y) | ||
| Pamela Ruiz Talamantez | Registered representative | Sep 2025 (1y) | ||
| Shayla Nicole Vieira | Registered representative | Sep 2025 (1y) | ||
| Sheryl Lynn Laduke | Registered representative | CFP | Sep 2025 (1y) | |
| Shannon L Hertzog | Registered representative | Sep 2025 (1y) | ||
| Zachary Scott Hanoyan | Registered representative | Sep 2025 (1y) | ||
| Adriana Perez | Registered representative | Sep 2025 (1y) | ||
| Elizabeth Marie Canales | Registered representative | Sep 2025 (1y) | ||
| Jeremy Daniel Cantu | Registered representative | Sep 2025 (1y) | ||
| Tatiana De Freitas Ramos | Registered representative | Sep 2025 (1y) | ||
| Brendan John Smith | Registered representative | Sep 2025 (1y) | ||
| Diego Enrique Fratus | Registered representative | Sep 2025 (1y) | ||
| Eric Bruce | Registered representative | Sep 2025 (1y) | ||
| Jacob Ross Klein | Registered representative | Sep 2025 (1y) | ||
| John Michael Magee | Registered representative | Sep 2025 (1y) | ||
| Ryan Stanislawski | Registered representative | Sep 2025 (1y) | ||
| Shampy Prakash | Registered representative | Sep 2025 (1y) | ||
| Thomas F Sylvestro | Registered representative | Sep 2025 (1y) | ||
| Adam Wescott Graves | Registered representative | Sep 2025 (1y) | ||
| Amit Battish | Registered representative | Sep 2025 (1y) | ||
| David Zelos Mayers | Registered representative | Sep 2025 (1y) | ||
| Drew Lawrence Duncan | Registered representative | Sep 2025 (1y) | ||
| Jeffrey Gordish | Registered representative | Sep 2025 (1y) | ||
| Jude Hanne Sayah | Registered representative | Sep 2025 (1y) | ||
| Sean Anthony Allen | Registered representative | Sep 2025 (1y) | ||
| Stephanie Leah Catherine Delano | Registered representative | Sep 2025 (1y) | ||
| Bradley Stephen Saler | Registered representative | Sep 2025 (1y) | ||
| Donal Barrett | Registered representative | Sep 2025 (1y) | ||
| Jaime Ramirez Cervantes | Registered representative | Sep 2025 (1y) | ||
| Jon Paul Cassada | Registered representative | Sep 2025 (1y) | ||
| Mack Zelnick | Registered representative | Sep 2025 (1y) | ||
| Michael J. Coles | Registered representative | CFP | Sep 2025 (1y) | |
| Steven Alan Kalodner | Registered representative | Sep 2025 (1y) | ||
| Albert Dandrea | Registered representative | Sep 2025 (1y) | ||
| David Chi Tran | Registered representative | Sep 2025 (1y) | ||
| Edwin Cruz Matias | Registered representative | Sep 2025 (1y) | ||
| Maxwell Harrison Fields | Registered representative | Sep 2025 (1y) | ||
| Megan Lee Ayscue | Registered representative | Sep 2025 (1y) | ||
| Michael Baxter | Registered representative | Sep 2025 (1y) | ||
| Nicole Lara Kinstler | Registered representative | Sep 2025 (1y) | ||
| Andrew M Forman | Registered representative | Sep 2025 (1y) | ||
| Anthony Wood | Registered representative | Sep 2025 (1y) | ||
| Brady Andrew Roberts | Registered representative | Sep 2025 (1y) | ||
| Bryce Pattison | Registered representative | Sep 2025 (1y) | ||
| Christopher Dale Smith | Registered representative | Sep 2025 (1y) | ||
| Hayden Hobbs | Registered representative | Sep 2025 (1y) | ||
| Innokentii Panteleev | Registered representative | CFP | Sep 2025 (1y) | |
| Melissa Grace Myers | Registered representative | Sep 2025 (1y) | ||
| Quinn Murray | Registered representative | Sep 2025 (1y) | ||
| Thomas Rohloff | Registered representative | Sep 2025 (1y) | ||
| Ethan Joseph Buysse | Registered representative | Sep 2025 (1y) | ||
| Nielsen Freeland Gordon | Registered representative | Sep 2025 (1y) | ||
| Odelia Alexiss Pustovit | Registered representative | Sep 2025 (1y) | ||
| William Frederick Meredith | Registered representative | Sep 2025 (1y) | ||
| Brandon Dunn | Registered representative | Sep 2025 (1y) | ||
| James Edward Herbert | Registered representative | Sep 2025 (1y) | ||
| Jeffery Lee Lisea | Registered representative | Sep 2025 (1y) | ||
| Liam Spagnolli | Registered representative | Sep 2025 (1y) | ||
| Peyton Ann Massie | Registered representative | Sep 2025 (1y) | ||
| Savannah Sowers Susanin | Registered representative | Sep 2025 (1y) | ||
| Alan Alexis Ponce Montes De Oca | Registered representative | Sep 2025 (1y) | ||
| Christopher R De Vito | Registered representative | Sep 2025 (1y) | ||
| Davidson Douglas Carroll | Registered representative | Sep 2025 (1y) | ||
| Everistus Etafo | Registered representative | Sep 2025 (1y) | ||
| Kegan Lee Morris | Registered representative | Sep 2025 (1y) | ||
| Andrew Eliot Tanenbaum | Registered representative | Sep 2025 (1y) | ||
| Britain Kern | Registered representative | Sep 2025 (1y) | ||
| Christine M Smith | Registered representative | Sep 2025 (1y) | ||
| Donald Lee Cast | Registered representative | Sep 2025 (1y) | ||
| Edward William Guerin | Registered representative | Sep 2025 (1y) | ||
| Jose Enrique Sierra | Registered representative | Sep 2025 (1y) | ||
| Shaun Michael Rowles | Registered representative | Sep 2025 (1y) | ||
| Benjamin Driskill Molinayvedia | Registered representative | Sep 2025 (1y) | ||
| Joseph J Jasmin | Registered representative | Sep 2025 (1y) | ||
| Monica Andrea Demichele | Registered representative | Sep 2025 (1y) | ||
| Owen N Bullard | Registered representative | Sep 2025 (1y) | ||
| Jonathan Andrew Labrador | Registered representative | Sep 2025 (1y) | ||
| Sara Kathryn Ortega | Registered representative | Sep 2025 (1y) | ||
| Tina Michelle Campbell | Registered representative | Sep 2025 (1y) | ||
| Dewey Gilbert Buhr | Registered representative | Sep 2025 (1y) | ||
| Jackson L Webber | Registered representative | CFP | Sep 2025 (1y) | |
| Joana Montero Flores | Registered representative | Sep 2025 (1y) | ||
| Stephanie Chaplinski Kane | Registered representative | Sep 2025 (1y) | ||
| Thomas M Kenny | Registered representative | Sep 2025 (1y) | ||
| Gerald Willcox | Registered representative | Sep 2025 (1y) | ||
| Gabriella Ivana Delgado | Registered representative | Sep 2025 (1y) | ||
| James Willis | Registered representative | Sep 2025 (1y) | ||
| Liliana Martinez | Registered representative | Sep 2025 (1y) | ||
| Mohammad Samkari | Registered representative | Sep 2025 (1y) | ||
| Nolan John Wahlberg | Registered representative | Sep 2025 (1y) | ||
| Tyler Thomas Brumfield | Registered representative | Sep 2025 (1y) | ||
| Asjha Noelle White Silas | Registered representative | Sep 2025 (1y) | ||
| Christopher Arthur Dack | Registered representative | CFA | Sep 2025 (1y) | |
| John Reece Le May | Registered representative | Sep 2025 (1y) | ||
| Madison Susanna Stenquist | Registered representative | Sep 2025 (1y) | ||
| Michael Austin Dykes | Registered representative | Sep 2025 (1y) | ||
| Matthew Shriber | Registered representative | CFP | Sep 2025 (1y) | |
| Mina George Elraheb | Registered representative | Sep 2025 (1y) | ||
| Andrew Davis | Registered representative | Sep 2025 (1y) | ||
| Brian Thomas Whitney | Registered representative | Sep 2025 (1y) | ||
| Cameron Thomas Obrien | Registered representative | Sep 2025 (1y) | ||
| Christopher Ryan Deering | Registered representative | Sep 2025 (1y) | ||
| Daniel J Dial | Registered representative | Sep 2025 (1y) | ||
| Kanisha Tasnean Mcpherson | Registered representative | Sep 2025 (1y) | ||
| David Christopher Gebhardt | Registered representative | Sep 2025 (1y) | ||
| Brennan Michael Kurtela | Registered representative | CFP | Sep 2025 (1y) | |
| Cory Cyprowski | Registered representative | Sep 2025 (1y) | ||
| Jack Lynam | Registered representative | Sep 2025 (1y) | ||
| James Summers | Registered representative | Sep 2025 (1y) | ||
| Mark Steven Bacon | Registered representative | Sep 2025 (1y) | ||
| Nathan Riley Hermanson | Registered representative | CFP | Sep 2025 (1y) | |
| Daniella K Jordan | Registered representative | Sep 2025 (1y) | ||
| Juan Jose Estrada | Registered representative | Oct 2025 (1y) | ||
| Jackson Lee Cusick | Registered representative | Oct 2025 (1y) | ||
| Kaori E Kotsugi | Registered representative | Oct 2025 (1y) | ||
| Maybelle Y Kim | Registered representative | Oct 2025 (1y) | ||
| Pavlo Ivanovych Kornivskyy | Registered representative | Oct 2025 (1y) | ||
| Taylor Goodsell | Registered representative | Oct 2025 (1y) | ||
| Victor Perez Campos | Registered representative | Oct 2025 (1y) | ||
| Jose A. Cuellar | Registered representative | CFP | Oct 2025 (1y) | |
| Thomas Le | Registered representative | Oct 2025 (1y) | ||
| Yi Yu | Registered representative | Oct 2025 (1y) | ||
| Adam Joshua Sadowy | Registered representative | Oct 2025 (1y) | ||
| Darin Wayne Hargreaves | Registered representative | CFP | Oct 2025 (1y) | |
| Meilue Vang | Registered representative | Oct 2025 (1y) | ||
| Tara Alyce Pinckney | Registered representative | Oct 2025 (1y) | ||
| Logan Larivee | Registered representative | Oct 2025 (1y) | ||
| Matthew Austin Wilkerson | Registered representative | Oct 2025 (1y) | ||
| Christopher Martino | Registered representative | Oct 2025 (1y) | ||
| John Michael Diconza | Registered representative | Oct 2025 (1y) | ||
| Aron Castrejon | Registered representative | Oct 2025 (1y) | ||
| Ava Marcia Pierce | Registered representative | Oct 2025 (1y) | ||
| Brenda Lynn Lucius | Registered representative | Oct 2025 (1y) | ||
| Durham Brandt | Registered representative | Oct 2025 (1y) | ||
| Matthew Randy Milligan | Registered representative | Oct 2025 (1y) | ||
| Nicholas James Murrer | Registered representative | Oct 2025 (1y) | ||
| William Roger Carhuff | Registered representative | Oct 2025 (1y) | ||
| Aron Turk | Registered representative | CFP | Oct 2025 (1y) | |
| Bridget Marie Maillard | Registered representative | Oct 2025 (1y) | ||
| Dorian Michael Oriol | Registered representative | Oct 2025 (1y) | ||
| Morgan Blount | Registered representative | Oct 2025 (1y) | ||
| Roneil Bharat Patel | Registered representative | Oct 2025 (1y) | ||
| Vanessa Hodgeman | Registered representative | Oct 2025 (1y) | ||
| Corey Michael Mowen | Registered representative | CFP | Oct 2025 (1y) | |
| Daniel Paul Lukes | Registered representative | Oct 2025 (1y) | ||
| Fernanda Alonsotomazelli | Registered representative | Oct 2025 (1y) | ||
| Joseph Lyndon Osborne | Registered representative | Oct 2025 (1y) | ||
| Larry Allen Dime | Registered representative | Oct 2025 (1y) | ||
| Michelle T. Nguyen | Registered representative | Oct 2025 (1y) | ||
| Naima Rasheed | Registered representative | Oct 2025 (1y) | ||
| Omar Padilla Rubio | Registered representative | Oct 2025 (1y) | ||
| Ryan Sayre | Registered representative | Oct 2025 (1y) | ||
| William Scott Perez | Registered representative | Oct 2025 (1y) | ||
| Andrew Summers | Registered representative | Oct 2025 (1y) | ||
| Imani Miracle Thomas | Registered representative | Oct 2025 (1y) | ||
| Aireen Betoro Kline | Registered representative | Oct 2025 (1y) | ||
| Brett Daryl Hutchins | Registered representative | Oct 2025 (1y) | ||
| George Christo Baker | Registered representative | Oct 2025 (1y) | ||
| Hung Hoang Tran | Registered representative | Oct 2025 (1y) | ||
| Hyeon Hee Kang | Registered representative | Oct 2025 (1y) | ||
| Jason Schuerman | Registered representative | Oct 2025 (1y) | ||
| Kyle Dezi Bacskai | Registered representative | Oct 2025 (1y) | ||
| Roland Anthony Lewis | Registered representative | Oct 2025 (1y) | ||
| Aaron Michael Canale | Registered representative | Oct 2025 (1y) | ||
| Alec Grabowski | Registered representative | Oct 2025 (1y) | ||
| Carissa Darlene Main | Registered representative | Oct 2025 (1y) | ||
| Joseph David Neal | Registered representative | Oct 2025 (1y) | ||
| Amilkar Jose Bello Arteaga | Registered representative | Oct 2025 (1y) | ||
| Drew Michael Kubicki | Registered representative | Oct 2025 (1y) | ||
| Blair Stuart | Registered representative | Oct 2025 (1y) | ||
| Jared Robert Hecht | Registered representative | Oct 2025 (1y) | ||
| Jody Lynne Brunsvold | Registered representative | Oct 2025 (1y) | ||
| David Prizzia | Registered representative | Oct 2025 (1y) | ||
| Dylan Tyler Wimberly | Registered representative | Oct 2025 (1y) | ||
| Ricardo Sagarra | Registered representative | Oct 2025 (1y) | ||
| Mellysa Bunga Lumeno | Registered representative | Oct 2025 (1y) | ||
| Nicholas Srnka | Registered representative | Oct 2025 (1y) | ||
| Bryce Isaac Blackburn | Registered representative | Oct 2025 (1y) | ||
| Jose Luis Rodriguez | Registered representative | Oct 2025 (1y) | ||
| Michael Patrick Murphy | Registered representative | Oct 2025 (1y) | ||
| Alyssa Autumn Hungate | Registered representative | Oct 2025 (1y) | ||
| Amanda Ford Buckalew | Registered representative | Oct 2025 (1y) | ||
| Andrew James Leblanc | Registered representative | Oct 2025 (1y) | ||
| Angel Mary Montoya | Registered representative | Oct 2025 (1y) | ||
| Ayanna Johnson | Registered representative | Oct 2025 (1y) | ||
| Braden Danise | Registered representative | Oct 2025 (1y) | ||
| Brandon Holshouser | Registered representative | Oct 2025 (1y) | ||
| Brianna Robb | Registered representative | Oct 2025 (1y) | ||
| Charles Braziel | Registered representative | Oct 2025 (1y) | ||
| Charles Oneil Nicholson | Registered representative | Oct 2025 (1y) | ||
| Cheryl Ray | Registered representative | Oct 2025 (1y) | ||
| Colton Snelling | Registered representative | Oct 2025 (1y) | ||
| Denise Hayes Walters | Registered representative | Oct 2025 (1y) | ||
| Elizabeth Mai Adelman | Registered representative | Oct 2025 (1y) | ||
| Felicia Jones | Registered representative | Oct 2025 (1y) | ||
| Gabriel Arrak | Registered representative | Oct 2025 (1y) | ||
| Hugo Andre Mujica Venero | Registered representative | Oct 2025 (1y) | ||
| Jaimie Van Auten | Registered representative | Oct 2025 (1y) | ||
| James Canela | Registered representative | Oct 2025 (1y) | ||
| Jami Allison Guarascio | Registered representative | Oct 2025 (1y) | ||
| Jose Manuel Perez | Registered representative | Oct 2025 (1y) | ||
| Justin Chiang | Registered representative | Oct 2025 (1y) | ||
| Jackson Loflin | Registered representative | Oct 2025 (1y) | ||
| Jacob Ryan Emily | Registered representative | Oct 2025 (1y) | ||
| Keanon Andrew Lee | Registered representative | Oct 2025 (1y) | ||
| Kerry Kulich | Registered representative | Oct 2025 (1y) | ||
| Kevin Andelin | Registered representative | Oct 2025 (1y) | ||
| Leah Elizabeth Sesto | Registered representative | Oct 2025 (1y) | ||
| Lisa Jane Fratoni | Registered representative | Oct 2025 (1y) | ||
| Lisa Nichole Brown | Registered representative | Oct 2025 (1y) | ||
| Luke Eubank | Registered representative | Oct 2025 (1y) | ||
| Malin Kumar Ryan | Registered representative | Oct 2025 (1y) | ||
| Matthew Braun | Registered representative | Oct 2025 (1y) | ||
| Matthew Kusto | Registered representative | Oct 2025 (1y) | ||
| Melissa Bryan Underwood | Registered representative | Oct 2025 (1y) | ||
| Milad Habib | Registered representative | Oct 2025 (1y) | ||
| Mathew John Puthenveetil | Registered representative | Oct 2025 (1y) | ||
| Neeharika Kadiri | Registered representative | Oct 2025 (1y) | ||
| Nicholas Deane | Registered representative | Oct 2025 (1y) | ||
| Reagan Mae Young | Registered representative | Oct 2025 (1y) | ||
| Robert Tremaine Brant | Registered representative | Oct 2025 (1y) | ||
| Ryan Austin | Registered representative | Oct 2025 (1y) | ||
| Samuel Isaac Cowles | Registered representative | Oct 2025 (1y) | ||
| Shelly Ann Weibley | Registered representative | Oct 2025 (1y) | ||
| Taylor Dunkin | Registered representative | Oct 2025 (1y) | ||
| Timothy Vanausdal | Registered representative | Oct 2025 (1y) | ||
| Tyler Nelson | Registered representative | Oct 2025 (1y) | ||
| Tyler Smithwick | Registered representative | Oct 2025 (1y) | ||
| Vishal Padda | Registered representative | Oct 2025 (1y) | ||
| Dareal Lanae Harmon | Registered representative | Oct 2025 (1y) | ||
| Michael Steinrock | Registered representative | Oct 2025 (1y) | ||
| Samantha Lewins | Registered representative | Oct 2025 (1y) | ||
| Thomas Chris Linas | Registered representative | Oct 2025 (1y) | ||
| Arturo Miranda | Registered representative | Oct 2025 (1y) | ||
| Marcus Antonio Mcchriston | Registered representative | Oct 2025 (1y) | ||
| Minesh C Patel | Registered representative | Oct 2025 (1y) | ||
| Roxana Menendez | Registered representative | Oct 2025 (1y) | ||
| Siru Elina Barber | Registered representative | Oct 2025 (1y) | ||
| Sofiya Semanyshyn | Registered representative | Oct 2025 (1y) | ||
| Sivakumar C Veerapandy | Registered representative | Oct 2025 (1y) | ||
| Timothy Scott Cappadona | Registered representative | Oct 2025 (1y) | ||
| Aleksandra Jovicic Schumacher | Registered representative | Oct 2025 (1y) | ||
| Alyssa Alvarez | Registered representative | Oct 2025 (1y) | ||
| Kevin William Donochod | Registered representative | Oct 2025 (1y) | ||
| Luanne Marie Veitch | Registered representative | Oct 2025 (1y) | ||
| Rachel Amelia Hodges | Registered representative | Oct 2025 (1y) | ||
| Russell Kent | Registered representative | CFP | Oct 2025 (1y) | |
| Zachary Adam Best | Registered representative | Oct 2025 (1y) | ||
| Adam Walker | Registered representative | Oct 2025 (1y) | ||
| Brian Faig | Registered representative | Oct 2025 (1y) | ||
| David Michael Cleveland | Registered representative | Oct 2025 (1y) | ||
| Jonathan Resabala | Registered representative | Oct 2025 (1y) | ||
| Adriana Torres | Registered representative | Oct 2025 (1y) | ||
| Blagojce Kocovski | Registered representative | Oct 2025 (1y) | ||
| Eric Beira Casanova | Registered representative | Oct 2025 (1y) | ||
| Haaris Rosario | Registered representative | Oct 2025 (1y) | ||
| Melvin Brittian | Registered representative | Oct 2025 (1y) | ||
| Tariq Marouf | Registered representative | Oct 2025 (1y) | ||
| Christopher Rayniel Diaz | Registered representative | Oct 2025 (1y) | ||
| Christopher Ross | Registered representative | Oct 2025 (1y) | ||
| Joseph Daniel Ludwinski | Registered representative | Oct 2025 (1y) | ||
| Matthew Voltz | Registered representative | Oct 2025 (1y) | ||
| Vincent Conrad Montgomery | Registered representative | Oct 2025 (1y) | ||
| Amy Hung | Registered representative | Oct 2025 (1y) | ||
| Bryan Alexander Young | Registered representative | Oct 2025 (1y) | ||
| Jared David Mattox | Registered representative | Oct 2025 (1y) | ||
| John Charles Butz | Registered representative | Oct 2025 (1y) | ||
| Kevin Charles Rohner | Registered representative | Oct 2025 (1y) | ||
| Shawn Glover | Registered representative | Oct 2025 (1y) | ||
| Asad A Motiwala | Registered representative | Nov 2025 (1y) | ||
| Britney Celeste Weaver | Registered representative | Nov 2025 (1y) | ||
| Jessica Mc Coy | Registered representative | Nov 2025 (1y) | ||
| Megan Anna Hausmann | Registered representative | Nov 2025 (1y) | ||
| Thomas J Dowd | Registered representative | Nov 2025 (1y) | ||
| Antonio James Mackey | Registered representative | Nov 2025 (1y) | ||
| Julie Kov | Registered representative | Nov 2025 (1y) | ||
| Teresa Maria Lane | Registered representative | Nov 2025 (1y) | ||
| Veronica I Canchola | Registered representative | Nov 2025 (1y) | ||
| Adam Michael Szabo | Registered representative | Nov 2025 (1y) | ||
| Andrew Lawrence Thomasson | Registered representative | Nov 2025 (1y) | ||
| Arad Toushkan | Registered representative | Nov 2025 (1y) | ||
| Brian Cardona | Registered representative | Nov 2025 (1y) | ||
| Charles Ndakhname Basse | Registered representative | Nov 2025 (1y) | ||
| Charles Robert Doucette | Registered representative | Nov 2025 (1y) | ||
| Emily Pistone | Registered representative | Nov 2025 (1y) | ||
| Hector Garza | Registered representative | CFP | Nov 2025 (1y) | |
| Ivette Ramirez | Registered representative | Nov 2025 (1y) | ||
| Michael John Massarelli | Registered representative | Nov 2025 (1y) | ||
| Melissa Jean Olson | Registered representative | Nov 2025 (1y) | ||
| Nicholas Glen Wolfe | Registered representative | Nov 2025 (1y) | ||
| Reese Milan Prellwitz | Registered representative | Nov 2025 (1y) | ||
| Ruchir Saini | Registered representative | Nov 2025 (1y) | ||
| Ryan Cooke | Registered representative | Nov 2025 (1y) | ||
| Tanner J Stoddard | Registered representative | Nov 2025 (1y) | ||
| Aminata Magassouba Miller | Registered representative | Nov 2025 (1y) | ||
| Connor Andrew Knapik | Registered representative | Nov 2025 (1y) | ||
| Desmond Perry | Registered representative | Nov 2025 (1y) | ||
| Dylan Connor Robison | Registered representative | Nov 2025 (1y) | ||
| Marcus Steele Nelson | Registered representative | Nov 2025 (1y) | ||
| Mark Young Kim | Registered representative | Nov 2025 (1y) | ||
| Carmen Danielle Davison | Registered representative | Nov 2025 (1y) | ||
| Kwayne S Estrim | Registered representative | Nov 2025 (1y) | ||
| Tom Noonan | Registered representative | Nov 2025 (1y) | ||
| Benjamin Josue Irizarry | Registered representative | Nov 2025 (1y) | ||
| Gierra Punialoha Silva | Registered representative | Nov 2025 (1y) | ||
| Gaston Nieto | Registered representative | Nov 2025 (1y) | ||
| Jack Alexander Hussey | Registered representative | Nov 2025 (1y) | ||
| Johnny Chi | Registered representative | Nov 2025 (1y) | ||
| Timothy James Debowes | Registered representative | Nov 2025 (1y) | ||
| Ana V Del Toro | Registered representative | Nov 2025 (1y) | ||
| Colton Keith Waggoner | Registered representative | Nov 2025 (1y) | ||
| James Michael Marco | Registered representative | Nov 2025 (1y) | ||
| Samantha Jazmine Shubert | Registered representative | Nov 2025 (1y) | ||
| Stephen Sebastian Goulbourne | Registered representative | Nov 2025 (1y) | ||
| Trevin Dorius | Registered representative | Nov 2025 (1y) | ||
| Wayne Kenji Mizuno | Registered representative | Nov 2025 (1y) | ||
| Barry Fleischer | Registered representative | Nov 2025 (1y) | ||
| Camilo Joel Wong | Registered representative | Nov 2025 (1y) | ||
| Danielle Ann Brown | Registered representative | Nov 2025 (1y) | ||
| Dina Rizzo | Registered representative | Nov 2025 (1y) | ||
| Gordon Pealock | Registered representative | Nov 2025 (1y) | ||
| Jake Patrick Mcmanus | Registered representative | Nov 2025 (1y) | ||
| Jack Kolker | Registered representative | Nov 2025 (1y) | ||
| James Cordon | Registered representative | Nov 2025 (1y) | ||
| Jonathan Steven Gindi Kolker | Registered representative | Nov 2025 (1y) | ||
| Manuel Salvador Miranda Martinez | Registered representative | Nov 2025 (1y) | ||
| Nandawin Win Nwe | Registered representative | Nov 2025 (1y) | ||
| Steve Anthony Garcia | Registered representative | Nov 2025 (1y) | ||
| Sabrina Gagliotta | Registered representative | Nov 2025 (1y) | ||
| Spencer Shaev | Registered representative | Nov 2025 (1y) | ||
| Adam Christopher Sabala | Registered representative | Nov 2025 (1y) | ||
| Bruce Craig Munster | Registered representative | Nov 2025 (1y) | ||
| Bob Jude Sledge | Registered representative | Nov 2025 (1y) | ||
| David Zev Freeman | Registered representative | Nov 2025 (1y) | ||
| Fredrick Jonathan Levy | Registered representative | Nov 2025 (1y) | ||
| Samuel Bruce Munster | Registered representative | Nov 2025 (1y) | ||
| Steven Joaquin Schifino | Registered representative | Nov 2025 (1y) | ||
| Tanja Krakovic | Registered representative | Nov 2025 (1y) | ||
| Angela Faye Honey | Registered representative | Nov 2025 (1y) | ||
| Johnathan G Ryan | Registered representative | Nov 2025 (1y) | ||
| Alexandria Williams | Registered representative | Nov 2025 (1y) | ||
| Daniela L Murphy | Registered representative | Nov 2025 (1y) | ||
| Edith Elizabet Bonilla | Registered representative | Nov 2025 (1y) | ||
| Jeffrey Dean Parks | Registered representative | Nov 2025 (1y) | ||
| Keith William Garner | Registered representative | Nov 2025 (1y) | ||
| Antonio Almaraz | Registered representative | Nov 2025 (1y) | ||
| Cheyenne Cruz | Registered representative | Nov 2025 (1y) | ||
| Gerard Stephen Diaz | Registered representative | Nov 2025 (1y) | ||
| David James Sayler | Registered representative | Nov 2025 (1y) | ||
| Howard Yap | Registered representative | Nov 2025 (1y) | ||
| Julio Heriberto Cavazos | Registered representative | Nov 2025 (1y) | ||
| Justin Paul Jordan Gibson | Registered representative | Nov 2025 (1y) | ||
| Daniel A Onsurez | Registered representative | Nov 2025 (1y) | ||
| Robert Domonicke Williams | Registered representative | Nov 2025 (1y) | ||
| Sydney Leonard | Registered representative | Nov 2025 (1y) | ||
| Thomas T Hughes | Registered representative | Nov 2025 (1y) | ||
| Ryan Mcdermott | Registered representative | Nov 2025 (1y) | ||
| Behzad Baharloo | Registered representative | CFP | Nov 2025 (1y) | |
| Ben Christopher Beeman | Registered representative | Nov 2025 (1y) | ||
| Bailey Psuik | Registered representative | Nov 2025 (1y) | ||
| Fallon Kiefer | Registered representative | Nov 2025 (1y) | ||
| Matthew Andrej Donko | Registered representative | Nov 2025 (1y) | ||
| Steven Nguyen Ha | Registered representative | Nov 2025 (1y) | ||
| Victoria Simone Gilliard | Registered representative | Nov 2025 (1y) | ||
| Brittany Bockin | Registered representative | Nov 2025 (1y) | ||
| Nozimdjon Saidov | Registered representative | Nov 2025 (1y) | ||
| Deion Samuel Whittington | Registered representative | Nov 2025 (1y) | ||
| Juan Anguiano Aguilar | Registered representative | Nov 2025 (1y) | ||
| Natalie Monique Soto | Registered representative | Nov 2025 (1y) | ||
| Samuel Wright Silander | Registered representative | Nov 2025 (1y) | ||
| William Jeaceb Sorrels | Registered representative | Nov 2025 (1y) | ||
| Weilun Wang | Registered representative | Nov 2025 (1y) | ||
| Clarence Nunn | Registered representative | Nov 2025 (1y) | ||
| Paul Donald Abati | Registered representative | Nov 2025 (1y) | ||
| Ruben James Villanueva | Registered representative | Nov 2025 (1y) | ||
| Samuel Sissine | Registered representative | Nov 2025 (1y) | ||
| Bartholomew James Henry Wilson | Registered representative | Dec 2025 (1y) | ||
| Bryan Alexander Cazares Cortez | Registered representative | Dec 2025 (1y) | ||
| Ernesto Vargas Truqui | Registered representative | Dec 2025 (1y) | ||
| Jenna Stiegelmeier | Registered representative | Dec 2025 (1y) | ||
| Mezekir Zewdie Amezene | Registered representative | Dec 2025 (1y) | ||
| Michael Paul Nielsen | Registered representative | Dec 2025 (1y) | ||
| Thomas Jae Robertson | Registered representative | Dec 2025 (1y) | ||
| Ward Christopher Simmonds | Registered representative | Dec 2025 (1y) | ||
| Yelena Suleymanova | Registered representative | Dec 2025 (1y) | ||
| Barry Thomas Oneil | Registered representative | Dec 2025 (1y) | ||
| Brendon Clarke Hutchins | Registered representative | CFP | Dec 2025 (1y) | |
| Charrie Dennard | Registered representative | Dec 2025 (1y) | ||
| David John Mogan | Registered representative | CFP | Dec 2025 (1y) | |
| Dylan Craig Tirrell | Registered representative | Dec 2025 (1y) | ||
| Lawrence Francis Depaulis | Registered representative | Dec 2025 (1y) | ||
| Meghan Ellen Walsh | Registered representative | CFP | Dec 2025 (1y) | |
| Peter James Cotter | Registered representative | Dec 2025 (1y) | ||
| Peter Tryon Landry | Registered representative | Dec 2025 (1y) | ||
| Russell Raymond Smith | Registered representative | Dec 2025 (1y) | ||
| Samuel B. Sinclair | Registered representative | CFP | Dec 2025 (1y) | |
| Shannon Deverna Mikus | Registered representative | CFP | Dec 2025 (1y) | |
| Stephen Francis Sypek | Registered representative | CFA | Dec 2025 (1y) | |
| Stephen Francis Sypek | Registered representative | Dec 2025 (1y) | ||
| Timothy Michael Fortune | Registered representative | Dec 2025 (1y) | ||
| Taccara Edwards | Registered representative | Dec 2025 (1y) | ||
| Thomas Reichenberger | Registered representative | Dec 2025 (1y) | ||
| Timothy Francis Mogan | Registered representative | Dec 2025 (1y) | ||
| William David Jarry | Registered representative | Dec 2025 (1y) | ||
| Alyssa Erin Ritchie | Registered representative | Dec 2025 (1y) | ||
| Cameron Everett Bresciani | Registered representative | Dec 2025 (1y) | ||
| John Peter Landry | Registered representative | Dec 2025 (1y) | ||
| Kenneth Edwin Simon | Registered representative | Dec 2025 (1y) | ||
| Megan Ann Homan | Registered representative | Dec 2025 (1y) | ||
| Anthony Barbee | Registered representative | Dec 2025 (1y) | ||
| Anthony Robert Davila | Registered representative | Dec 2025 (1y) | ||
| Cullin Mcgrath | Registered representative | Dec 2025 (1y) | ||
| Deanna L Rodewald | Registered representative | Dec 2025 (1y) | ||
| Deborah Pirner | Registered representative | Dec 2025 (1y) | ||
| Dylan Kincaid Strickland | Registered representative | Dec 2025 (1y) | ||
| Ali Akbar Hasta | Registered representative | Dec 2025 (1y) | ||
| Corey James Martin | Registered representative | Dec 2025 (1y) | ||
| Gemma S Secoquian Wu | Registered representative | Dec 2025 (1y) | ||
| Hope Marie Zuccaro | Registered representative | Dec 2025 (1y) | ||
| Judith Ann Yeoman | Registered representative | Dec 2025 (1y) | ||
| Jacob Webster | Registered representative | Dec 2025 (1y) | ||
| Faizan Bilal Habib | Registered representative | Dec 2025 (1y) | ||
| Alsharari D Rawahneh | Registered representative | Dec 2025 (1y) | ||
| Evan Jay Ducker | Registered representative | Dec 2025 (1y) | ||
| Jacob Lee Jurovich | Registered representative | Dec 2025 (1y) | ||
| James Botte | Registered representative | Dec 2025 (1y) | ||
| Kevon Purnell | Registered representative | Dec 2025 (1y) | ||
| Paula C. Mogan | Registered representative | CFP | Dec 2025 (1y) | |
| Ross Wiley Jones | Registered representative | Dec 2025 (1y) | ||
| Carrie Ann Elizabeth Johnson | Registered representative | Dec 2025 (1y) | ||
| Christopher Damon Reyes | Registered representative | Dec 2025 (1y) | ||
| Megan Gray Sassone | Registered representative | Dec 2025 (1y) | ||
| Rebecca Lloyd | Registered representative | Dec 2025 (1y) | ||
| Tyler Wood | Registered representative | Dec 2025 (1y) | ||
| Angel Ayala | Registered representative | Dec 2025 (1y) | ||
| Brady Rawls Rouse | Registered representative | Dec 2025 (1y) | ||
| Jeremy Kyle Russell | Registered representative | Dec 2025 (1y) | ||
| Roberto Rabassa | Registered representative | Dec 2025 (1y) | ||
| Sophia Danielle Crowe | Registered representative | Dec 2025 (1y) | ||
| Angela Louise Denham | Registered representative | Dec 2025 (1y) | ||
| Dylan Wayne Reaves | Registered representative | Dec 2025 (1y) | ||
| Isaac Lleras | Registered representative | Dec 2025 (1y) | ||
| Joseph John Broderson | Registered representative | Dec 2025 (1y) | ||
| Roger Dale Crowe | Registered representative | Dec 2025 (1y) | ||
| Thomas Joseph Lucas | Registered representative | Dec 2025 (1y) | ||
| Brandon A Kershaw | Registered representative | Dec 2025 (1y) | ||
| Chase Matesich | Registered representative | Dec 2025 (1y) | ||
| Gary Michael Weisner | Registered representative | Dec 2025 (1y) | ||
| Patrick Thomas Evans | Registered representative | Dec 2025 (1y) | ||
| Vic Lamont Bennett | Registered representative | Dec 2025 (1y) | ||
| Alicia S. Davis | Registered representative | Dec 2025 (1y) | ||
| Breanna Strerath | Registered representative | Dec 2025 (1y) | ||
| Erin Kimberly Rose Wolf | Registered representative | Dec 2025 (1y) | ||
| Feby Saad Beshara Mekhael | Registered representative | Dec 2025 (1y) | ||
| Hanah Kay Rumpler | Registered representative | Dec 2025 (1y) | ||
| Madison Elise Saleba | Registered representative | Dec 2025 (1y) | ||
| Neal Bitsie | Registered representative | Dec 2025 (1y) | ||
| Ryan Robert Buhr | Registered representative | Dec 2025 (1y) | ||
| Abigail Marie Moonan | Registered representative | Dec 2025 (1y) | ||
| Daniel Joseph Sanchez | Registered representative | Dec 2025 (1y) | ||
| Donte Lamont Maith | Registered representative | Dec 2025 (1y) | ||
| Harastan Raniel Boyd | Registered representative | Dec 2025 (1y) | ||
| Joseph Francis Hornig | Registered representative | Dec 2025 (1y) | ||
| Juan Antonio Jimenez | Registered representative | CFP | Dec 2025 (1y) | |
| Rodney Marcus Scott | Registered representative | Dec 2025 (1y) | ||
| Robert Alex Karson | Registered representative | Dec 2025 (1y) | ||
| Robert T Bowman | Registered representative | Dec 2025 (1y) | ||
| Samantha Beth Currie | Registered representative | Dec 2025 (1y) | ||
| Stephen Chevas Cowan | Registered representative | Dec 2025 (1y) | ||
| Thedoria Jean Mccain | Registered representative | Dec 2025 (1y) | ||
| Joshua Overton | Registered representative | Dec 2025 (1y) | ||
| Orlando Michael Graham | Registered representative | Dec 2025 (1y) | ||
| Sara Erin Gonzalez | Registered representative | Dec 2025 (1y) | ||
| Yong En Xiao | Registered representative | Dec 2025 (1y) | ||
| Alaa Ahmed Hakki | Registered representative | Dec 2025 (1y) | ||
| Benjamin G Garland | Registered representative | Dec 2025 (1y) | ||
| J Kyle Mays | Registered representative | Dec 2025 (1y) | ||
| John Frank Stefanelli | Registered representative | Dec 2025 (1y) | ||
| Michael Gagala | Registered representative | Dec 2025 (1y) | ||
| Randolph Byrd Duval Roulette | Registered representative | Dec 2025 (1y) | ||
| Ryan Dennis | Registered representative | Dec 2025 (1y) | ||
| Spencer Odom | Registered representative | Dec 2025 (1y) | ||
| Angela Denise Stuart | Registered representative | Dec 2025 (1y) | ||
| Benjamin Philip Goldsmith | Registered representative | Dec 2025 (1y) | ||
| Chris Yum | Registered representative | Dec 2025 (1y) | ||
| Gonzalo E Pizarro | Registered representative | Dec 2025 (1y) | ||
| James P Whalen | Registered representative | Dec 2025 (1y) | ||
| Jason Keller | Registered representative | Dec 2025 (1y) | ||
| Travis Ney | Registered representative | Dec 2025 (1y) | ||
| John J Fasti | Registered representative | Dec 2025 (1y) | ||
| Robert Dale Bodine | Registered representative | Dec 2025 (1y) | ||
| Amanda Schrama | Registered representative | Dec 2025 (1y) | ||
| Edward Anton Ullrich | Registered representative | Dec 2025 (1y) | ||
| Farshad Hosseinie | Registered representative | Dec 2025 (1y) | ||
| Jake Michael Hansen | Registered representative | Dec 2025 (1y) | ||
| James Robert Trousdale | Registered representative | Dec 2025 (1y) | ||
| Jesus Mendez | Registered representative | Dec 2025 (1y) | ||
| Michael Hessler | Registered representative | Dec 2025 (1y) | ||
| Sarita Dhami | Registered representative | Dec 2025 (1y) | ||
| Attila Szalay | Registered representative | Dec 2025 (1y) | ||
| Carlos Phillip Bega | Registered representative | Dec 2025 (1y) | ||
| Edwin Jonathan Gonzalez | Registered representative | Dec 2025 (1y) | ||
| James S Bricker | Registered representative | Dec 2025 (1y) | ||
| Jason Mitchell Frank | Registered representative | Dec 2025 (1y) | ||
| John Ismael Amaro | Registered representative | Dec 2025 (1y) | ||
| Paul Mary Joseph Cooke | Registered representative | Dec 2025 (1y) | ||
| Trent Ryan Braaten | Registered representative | Dec 2025 (1y) | ||
| Sabryn Selina Vasseur | Registered representative | Dec 2025 (1y) | ||
| Michael Andrew Prasch | Registered representative | Dec 2025 (1y) | ||
| Angel E Vivas Feo | Registered representative | Jan 2026 (1y) | ||
| Ashley Lynn Malling | Registered representative | Jan 2026 (1y) | ||
| Cody Brent Palmer | Registered representative | Jan 2026 (1y) | ||
| Horaci Villar | Registered representative | Jan 2026 (1y) | ||
| Jared Regis Gibson | Registered representative | Jan 2026 (1y) | ||
| Joshua Joseph Hartman | Registered representative | Jan 2026 (1y) | ||
| Justin Darnell Sanders | Registered representative | Jan 2026 (1y) | ||
| Luke Garrett Mcclellan | Registered representative | Jan 2026 (1y) | ||
| Nathalia Case | Registered representative | Jan 2026 (1y) | ||
| Nicholas Todd Center | Registered representative | Jan 2026 (1y) | ||
| Nyasha Manyara Ray | Registered representative | Jan 2026 (1y) | ||
| Travis James Nakao | Registered representative | Jan 2026 (1y) | ||
| Tyler Alec Underwood | Registered representative | Jan 2026 (1y) | ||
| Colm Sean Boer | Registered representative | Jan 2026 (1y) | ||
| Jovana Romero Hernandez | Registered representative | Jan 2026 (1y) | ||
| Lisa Botkin Leonard | Registered representative | Jan 2026 (1y) | ||
| Maura Elizabeth Escalante | Registered representative | Jan 2026 (1y) | ||
| Timtico Carnell Waterman | Registered representative | Jan 2026 (1y) | ||
| Ray Anthony Maccary | Registered representative | Jan 2026 (1y) | ||
| Alejandra Tapia Alvarado | Registered representative | Jan 2026 (1y) | ||
| Ashley Marie Williams | Registered representative | Jan 2026 (1y) | ||
| Alex Katz | Registered representative | Jan 2026 (1y) | ||
| Bernardo Lima | Registered representative | Jan 2026 (1y) | ||
| Corey Johnson | Registered representative | Jan 2026 (1y) | ||
| Daniel Wyllie | Registered representative | Jan 2026 (1y) | ||
| Denzel Monte Hanes | Registered representative | Jan 2026 (1y) | ||
| Jingles Danielle Madick | Registered representative | Jan 2026 (1y) | ||
| John Eric Casey | Registered representative | Jan 2026 (1y) | ||
| Sean Murphy | Registered representative | Jan 2026 (1y) | ||
| Stephen T Wehr | Registered representative | Jan 2026 (1y) | ||
| Samuel Lawson Faria | Registered representative | CFP | Jan 2026 (1y) | |
| Sean Kelly | Registered representative | Jan 2026 (1y) | ||
| Bobby C Saunders | Registered representative | Jan 2026 (1y) | ||
| Brian Carlos Meadows | Registered representative | Jan 2026 (1y) | ||
| Christina Nguyen Huynh | Registered representative | Jan 2026 (1y) | ||
| Daniel Jon Klippel | Registered representative | Jan 2026 (1y) | ||
| Debra Lynn Costanzo Cline | Registered representative | Jan 2026 (1y) | ||
| Dylan Calvert Elias | Registered representative | Jan 2026 (1y) | ||
| Jean Pierre Sarandrea | Registered representative | Jan 2026 (1y) | ||
| Teresa A Haley | Registered representative | Jan 2026 (1y) | ||
| Timothy Seamen | Registered representative | Jan 2026 (1y) | ||
| Vanessa Duran | Registered representative | Jan 2026 (1y) | ||
| Zorana Okilj | Registered representative | Jan 2026 (1y) | ||
| Brenton Tyler Hunter | Registered representative | Jan 2026 (1y) | ||
| Courtney Katie Robert | Registered representative | Jan 2026 (1y) | ||
| Charleston Graham Daly | Registered representative | Jan 2026 (1y) | ||
| Daniel Plascencia | Registered representative | Jan 2026 (1y) | ||
| Ekaterina Predeina | Registered representative | Jan 2026 (1y) | ||
| Joseph Allen Luchini | Registered representative | Jan 2026 (1y) | ||
| Gregory Van Pass | Registered representative | Jan 2026 (1y) | ||
| John Walsh | Registered representative | Jan 2026 (1y) | ||
| Lawrence Daniel Garrity | Registered representative | Jan 2026 (1y) | ||
| Lauren Chaffee | Registered representative | Jan 2026 (1y) | ||
| Pavel Mordasov | Registered representative | Jan 2026 (1y) | ||
| Anthony David Balderas | Registered representative | Jan 2026 (1y) | ||
| Benjamin John Bremer | Registered representative | Jan 2026 (1y) | ||
| David Nicolas Gonzaga | Registered representative | Jan 2026 (1y) | ||
| Erik Hanson Berg | Registered representative | Jan 2026 (1y) | ||
| Jeanine G Delgado | Registered representative | Jan 2026 (1y) | ||
| Joseph Daniel Klassen | Registered representative | Jan 2026 (1y) | ||
| John Donnelly Rudolph | Registered representative | Jan 2026 (1y) | ||
| Noah Nathaniel Alderson | Registered representative | Jan 2026 (1y) | ||
| Robert Joseph Donovan | Registered representative | Jan 2026 (1y) | ||
| Richard Waters | Registered representative | Jan 2026 (1y) | ||
| Robert Clifford Gewecke | Registered representative | CFP | Jan 2026 (1y) | |
| Simon D Young | Registered representative | Jan 2026 (1y) | ||
| William Joseph O'brien | Registered representative | Jan 2026 (1y) | ||
| Cameron Allen Rudis | Registered representative | Jan 2026 (1y) | ||
| Whitney Erin King | Registered representative | Jan 2026 (1y) | ||
| Benny Corona | Registered representative | Jan 2026 (1y) | ||
| Caesar Efraim Serrano | Registered representative | Jan 2026 (1y) | ||
| Coleman Harris Rudolph | Registered representative | CFP | Jan 2026 (1y) | |
| Hayden Lee Baker | Registered representative | Jan 2026 (1y) | ||
| Irene Cho | Registered representative | Jan 2026 (1y) | ||
| Jessica Urbanski | Registered representative | CFP | Jan 2026 (1y) | |
| Jordan Kornegay | Registered representative | Jan 2026 (1y) | ||
| Joshua Jermaine Barker | Registered representative | Jan 2026 (1y) | ||
| Nicholas Joseph Kilgriff Van Alstine | Registered representative | Jan 2026 (1y) | ||
| Efrain Alfonso Gomez | Registered representative | Jan 2026 (1y) | ||
| Jennifer Lynn Jones | Registered representative | Jan 2026 (1y) | ||
| Karen Cleveland | Registered representative | Jan 2026 (1y) | ||
| Kwasi Boateng Asare | Registered representative | Jan 2026 (1y) | ||
| Michael Yacavone | Registered representative | Jan 2026 (1y) | ||
| Sarah Austin Mitchell | Registered representative | Jan 2026 (1y) | ||
| Dana Stephen Pizzi | Registered representative | Jan 2026 (1y) | ||
| Diane Campbell Gannon | Registered representative | Jan 2026 (1y) | ||
| John Michael Stetka | Registered representative | Jan 2026 (1y) | ||
| Louis Aaron Berlin | Registered representative | Jan 2026 (1y) | ||
| Mark Francis Hales | Registered representative | Jan 2026 (1y) | ||
| Nicki Marie Nie | Registered representative | Jan 2026 (1y) | ||
| Radhika Upadhyaya | Registered representative | Jan 2026 (1y) | ||
| Thomas John Maltese | Registered representative | Jan 2026 (1y) | ||
| Tahlia Cope | Registered representative | Jan 2026 (1y) | ||
| Timothy Pham Taraba | Registered representative | Jan 2026 (1y) | ||
| Abdul Ferogh | Registered representative | Jan 2026 (1y) | ||
| Austin O'neal Gammon | Registered representative | Jan 2026 (1y) | ||
| Colleen Mcelroy Mathis | Registered representative | Jan 2026 (1y) | ||
| Jill Elizabeth Spiegelberg | Registered representative | Jan 2026 (1y) | ||
| Richard Nicholas Clemens | Registered representative | Jan 2026 (1y) | ||
| Swati Shandilya | Registered representative | Jan 2026 (1y) | ||
| Yoo Kyung Kwon | Registered representative | Jan 2026 (1y) | ||
| Adam Muzzillo | Registered representative | Jan 2026 (1y) | ||
| Charles Edward Mccall | Registered representative | Jan 2026 (1y) | ||
| Deacon Patterson | Registered representative | Jan 2026 (1y) | ||
| Graham Murphy | Registered representative | Jan 2026 (1y) | ||
| John Gabriel Gray | Registered representative | Jan 2026 (1y) | ||
| Marcos Palma Garcia | Registered representative | Jan 2026 (1y) | ||
| Nathan Wayne Reineccius | Registered representative | Jan 2026 (1y) | ||
| Porter Bryce Bronson | Registered representative | Jan 2026 (1y) | ||
| Robert Adam Williams | Registered representative | Jan 2026 (1y) | ||
| Ranajay Ghosh | Registered representative | Jan 2026 (1y) | ||
| Robintz T Jean | Registered representative | Jan 2026 (1y) | ||
| Suzanne Gracie Dineen | Registered representative | Jan 2026 (1y) | ||
| Emily Ming Gunston | Registered representative | Jan 2026 (1y) | ||
| Judson Bullard | Registered representative | Jan 2026 (1y) | ||
| Amber Elise Ussery | Registered representative | Jan 2026 (1y) | ||
| Anita Veronica Taymore | Registered representative | Jan 2026 (1y) | ||
| Barry Rappaport | Registered representative | Jan 2026 (1y) | ||
| Christian Moreno | Registered representative | Jan 2026 (1y) | ||
| Eric Todd Runyon | Registered representative | Jan 2026 (1y) | ||
| Faith Saragossi | Registered representative | Jan 2026 (1y) | ||
| Gary Joseph Surian | Registered representative | Jan 2026 (1y) | ||
| Joseph Michael Guccione | Registered representative | Jan 2026 (1y) | ||
| Kelly Michelle Garrett | Registered representative | Jan 2026 (1y) | ||
| Kenneth Quirk Miller | Registered representative | Jan 2026 (1y) | ||
| Leslie Davies Shorey | Registered representative | Jan 2026 (1y) | ||
| Saranya Duraisamy | Registered representative | Jan 2026 (1y) | ||
| Seth Andrew Yates | Registered representative | Jan 2026 (1y) | ||
| Daniel Kalvaitis | Registered representative | Jan 2026 (1y) | ||
| Paul James Saad | Registered representative | Jan 2026 (1y) | ||
| Alejandro Christopher Cantu Eatmon | Registered representative | Jan 2026 (1y) | ||
| Andrew Maxwell Rogers | Registered representative | Jan 2026 (1y) | ||
| Catherine Nichols Godfrey | Registered representative | Jan 2026 (1y) | ||
| Christina E Delguidice | Registered representative | Jan 2026 (1y) | ||
| Carlos Andres Nunez | Registered representative | Jan 2026 (1y) | ||
| Denise Ann Donahue | Registered representative | Jan 2026 (1y) | ||
| Diana Ferrer | Registered representative | Jan 2026 (1y) | ||
| Eliel Alonso | Registered representative | Jan 2026 (1y) | ||
| Evans Afriyie | Registered representative | Jan 2026 (1y) | ||
| Fernando Mellin | Registered representative | Jan 2026 (1y) | ||
| Gabriel Amaral | Registered representative | Jan 2026 (1y) | ||
| Graham Young Holowchak | Registered representative | Jan 2026 (1y) | ||
| George H Moreland | Registered representative | Jan 2026 (1y) | ||
| Harrison Holmes | Registered representative | Jan 2026 (1y) | ||
| Jamie Connelly | Registered representative | Jan 2026 (1y) | ||
| Jessica Lynn Diemer | Registered representative | Jan 2026 (1y) | ||
| Julius Sakai Dulinayan | Registered representative | Jan 2026 (1y) | ||
| Jared Klein | Registered representative | Jan 2026 (1y) | ||
| Laura E Revasz | Registered representative | Jan 2026 (1y) | ||
| Lucy H Sun | Registered representative | Jan 2026 (1y) | ||
| Madeline Rodriguez | Registered representative | Jan 2026 (1y) | ||
| Michael Joseph Murphy | Registered representative | Jan 2026 (1y) | ||
| Nathan P Farnsworth | Registered representative | Jan 2026 (1y) | ||
| Ryan Sacks | Registered representative | Jan 2026 (1y) | ||
| Sally Faye Stone | Registered representative | Jan 2026 (1y) | ||
| Sang Lee | Registered representative | Jan 2026 (1y) | ||
| Thomas Frederick Scarsella | Registered representative | Jan 2026 (1y) | ||
| Trent Joseph White | Registered representative | Jan 2026 (1y) | ||
| Yuliana C Gonzalez Vega | Registered representative | Jan 2026 (1y) | ||
| Andrew William Shaw | Registered representative | CFP | Jan 2026 (1y) | |
| David Joseph Smith | Registered representative | Jan 2026 (1y) | ||
| Dylan Adam Knizak | Registered representative | Jan 2026 (1y) | ||
| Evest James Mcquaig | Registered representative | Jan 2026 (1y) | ||
| Gerard Lakin | Registered representative | Jan 2026 (1y) | ||
| Josh Brackett | Registered representative | Jan 2026 (1y) | ||
| Karen Valeria Naranjo | Registered representative | Jan 2026 (1y) | ||
| Majdi Fayad Khatib | Registered representative | Jan 2026 (1y) | ||
| Sean Mccarthy | Registered representative | CFA | Jan 2026 (1y) | |
| Kevin Myers | Registered representative | Jan 2026 (1y) | ||
| Sean Michael Nickerson | Registered representative | Jan 2026 (1y) | ||
| Teagan C Shaughnessy | Registered representative | Jan 2026 (1y) | ||
| Trent Sides | Registered representative | Jan 2026 (1y) | ||
| Alice Mawutor Hamilton | Registered representative | Jan 2026 (1y) | ||
| Arianna Vanessa Sanchez Garcia | Registered representative | Jan 2026 (1y) | ||
| Adam Uplinger | Registered representative | Jan 2026 (1y) | ||
| Cameron Alan Krieger | Registered representative | Jan 2026 (1y) | ||
| Jonathan Miguel Aguilar Bernstein | Registered representative | Jan 2026 (1y) | ||
| William P. Allen | Registered representative | Jan 2026 (1y) | ||
| Bryan P Peterson | Registered representative | Jan 2026 (1y) | ||
| Cassandra Lina Cyrius | Registered representative | Jan 2026 (1y) | ||
| Chris N Testani | Registered representative | Jan 2026 (1y) | ||
| Jessica Denisse Padilla | Registered representative | Jan 2026 (1y) | ||
| Sammy Naief Khalil | Registered representative | Jan 2026 (1y) | ||
| Scott Edward Chapa | Registered representative | CFA | Jan 2026 (1y) | |
| Sotir Cikopana | Registered representative | Jan 2026 (1y) | ||
| Tamara Beth Kitchin Bohanon | Registered representative | Jan 2026 (1y) | ||
| Charles M Harvey | Registered representative | Jan 2026 (1y) | ||
| Edwin Christopher Ascencio | Registered representative | Jan 2026 (1y) | ||
| Hai Viet Vu | Registered representative | Jan 2026 (1y) | ||
| Jennifer Simmonds | Registered representative | Jan 2026 (1y) | ||
| John Phillip Holmes | Registered representative | Jan 2026 (1y) | ||
| Marvin Walton Christian | Registered representative | Jan 2026 (1y) | ||
| Richard Joseph Ciarletta | Registered representative | Jan 2026 (1y) | ||
| John Christopher Strohman | Registered representative | CFA | Jan 2026 (1y) | |
| Michael John Raymond Johnson | Registered representative | Jan 2026 (1y) | ||
| Sean German | Registered representative | Jan 2026 (1y) | ||
| Veronica Yapp | Registered representative | Jan 2026 (1y) | ||
| Andrew Carl Langhoff | Registered representative | Feb 2026 (0y) | ||
| Calvin Shiu | Registered representative | Chartered Financial Consultant | Feb 2026 (0y) | |
| Ellie Elham Yazdeli | Registered representative | Feb 2026 (0y) | ||
| Gregory Manning | Registered representative | Feb 2026 (0y) | ||
| Jessica Leigh Hayes | Registered representative | Feb 2026 (0y) | ||
| Laura Noelle Jaco | Registered representative | Feb 2026 (0y) | ||
| Melek Akgul Lee | Registered representative | CFP | Feb 2026 (0y) | |
| Spencer Glen Gilland | Registered representative | Feb 2026 (0y) | ||
| Scott M Pantuso | Registered representative | Feb 2026 (0y) | ||
| Adriana Elizabeth Mendez Rugh | Registered representative | CFP | Feb 2026 (0y) | |
| Gabriel N De Campus | Registered representative | Feb 2026 (0y) | ||
| Gatlin Steven Bruner | Registered representative | Feb 2026 (0y) | ||
| Jacob Benson | Registered representative | CFP | Feb 2026 (0y) | |
| Ana Marvella Cortez Molina | Registered representative | Feb 2026 (0y) | ||
| Benjamin Robert Wilson | Registered representative | Feb 2026 (0y) | ||
| Daniel Suh | Registered representative | Feb 2026 (0y) | ||
| David Rimer | Registered representative | Feb 2026 (0y) | ||
| Parker Hendrixson | Registered representative | Feb 2026 (0y) | ||
| Rick Stallen Avelar | Registered representative | CFP | Feb 2026 (0y) | |
| Steven Edward Estrada | Registered representative | Feb 2026 (0y) | ||
| Tony Harutyunian | Registered representative | Feb 2026 (0y) | ||
| Tyler Hillson Zurek | Registered representative | Feb 2026 (0y) | ||
| Andrew Wallace | Registered representative | Feb 2026 (0y) | ||
| Ethan Lyon Hennessy | Registered representative | Feb 2026 (0y) | ||
| Heather A Kuhn | Registered representative | Feb 2026 (0y) | ||
| Kyle Schafermeyer | Registered representative | Feb 2026 (0y) | ||
| Lori Nicole Oliveira | Registered representative | Feb 2026 (0y) | ||
| Randall Wayne Skaggs | Registered representative | Feb 2026 (0y) | ||
| Tonnianne Nancy Muller | Registered representative | Feb 2026 (0y) | ||
| Djibril Diallo | Registered representative | Feb 2026 (0y) | ||
| Jacob Allen Dofing | Registered representative | Feb 2026 (0y) | ||
| John Benjamin Dexter | Registered representative | Feb 2026 (0y) | ||
| Joshua Hagberg | Registered representative | Feb 2026 (0y) | ||
| Kayla Marie Weaver | Registered representative | Feb 2026 (0y) | ||
| Mark Perry Goldston | Registered representative | Feb 2026 (0y) | ||
| Michael Allen Bissada | Registered representative | Feb 2026 (0y) | ||
| Mitchell Ray Hilburn | Registered representative | Feb 2026 (0y) | ||
| Rock Elijah Frost | Registered representative | Feb 2026 (0y) | ||
| Zeryck Russon | Registered representative | Feb 2026 (0y) | ||
| Eduardo Pena Molinar | Registered representative | Feb 2026 (0y) | ||
| Eric Robert Holm | Registered representative | Feb 2026 (0y) | ||
| Ingrid Elizabeth Mendez | Registered representative | Feb 2026 (0y) | ||
| Justin Pressley Osborne | Registered representative | Feb 2026 (0y) | ||
| Judah Rubin | Registered representative | Feb 2026 (0y) | ||
| Merinda Kay Powers | Registered representative | Feb 2026 (0y) | ||
| Sean Lincoln Potter | Registered representative | Feb 2026 (0y) | ||
| Anthony Robert Vitagliano | Registered representative | Feb 2026 (0y) | ||
| Brittany Midyette | Registered representative | CFP CFA | Feb 2026 (0y) | |
| Heather Ranae Wyer | Registered representative | Feb 2026 (0y) | ||
| Jay William Desautels | Registered representative | Feb 2026 (0y) | ||
| John Russell Cox | Registered representative | Feb 2026 (0y) | ||
| Kimberly Ryan Nassar | Registered representative | Feb 2026 (0y) | ||
| Mark F Rosenlof | Registered representative | Feb 2026 (0y) | ||
| Robert Nodar | Registered representative | Feb 2026 (0y) | ||
| Beau J Marshall | Registered representative | Feb 2026 (0y) | ||
| Benny Ellerbe | Registered representative | Feb 2026 (0y) | ||
| Fredrick R Lluberes | Registered representative | Feb 2026 (0y) | ||
| Jerry Dominic Truman | Registered representative | Feb 2026 (0y) | ||
| John Jay Marvin | Registered representative | Feb 2026 (0y) | ||
| Lauren Eva Bergen | Registered representative | Feb 2026 (0y) | ||
| Steven Peter Ganan | Registered representative | Feb 2026 (0y) | ||
| Samuel Hobbs Bird | Registered representative | Feb 2026 (0y) | ||
| Urja S Shah | Registered representative | Feb 2026 (0y) | ||
| Christopher Hord | Registered representative | Feb 2026 (0y) | ||
| David Andrew Mann | Registered representative | Feb 2026 (0y) | ||
| Jason Lee Schrimsher | Registered representative | Feb 2026 (0y) | ||
| Joshua Kuhnert | Registered representative | CFA | Feb 2026 (0y) | |
| Lee Ann Riddle | Registered representative | Feb 2026 (0y) | ||
| Miles Stumb | Registered representative | Feb 2026 (0y) | ||
| Thomas Andrew Krug | Registered representative | Feb 2026 (0y) | ||
| Darlene Ortiz | Registered representative | Feb 2026 (0y) | ||
| John Kennelly | Registered representative | Feb 2026 (0y) | ||
| Robert Eldred Hill | Registered representative | Feb 2026 (0y) | ||
| Robert Musser Rickey | Registered representative | Feb 2026 (0y) | ||
| Ryan Duran | Registered representative | Feb 2026 (0y) | ||
| Sydney Claire Robinson | Registered representative | Feb 2026 (0y) | ||
| Sydney A Hill | Registered representative | Feb 2026 (0y) | ||
| John Gordon Ford | Registered representative | Feb 2026 (0y) | ||
| Danijela Markovic | Registered representative | Feb 2026 (0y) | ||
| Michael Paul Covell | Registered representative | Feb 2026 (0y) | ||
| Tadeus Crockett Latawiec | Registered representative | Feb 2026 (0y) | ||
| Alexandra E Walls | Registered representative | Feb 2026 (0y) | ||
| Barry Mitchell Dershaw | Registered representative | Feb 2026 (0y) | ||
| Chad Alton Smith | Registered representative | Feb 2026 (0y) | ||
| John Huddleston | Registered representative | Feb 2026 (0y) | ||
| Mayowa Hakeem Afolabi Shittu | Registered representative | Feb 2026 (0y) | ||
| Bernadette Bucchere | Registered representative | Feb 2026 (0y) | ||
| Christopher Dale Overby | Registered representative | Feb 2026 (0y) | ||
| Citadel Nicolas Penn | Registered representative | Feb 2026 (0y) | ||
| Elizabeth A Weikes | Registered representative | Feb 2026 (0y) | ||
| Jazmyn Nikole Jackson | Registered representative | Feb 2026 (0y) | ||
| John Fulton Jr | Registered representative | Feb 2026 (0y) | ||
| John Slattery | Registered representative | Feb 2026 (0y) | ||
| Joseph Michael Gillan | Registered representative | Feb 2026 (0y) | ||
| Keith Matthew Kordich | Registered representative | Feb 2026 (0y) | ||
| Kevin Eisenberg | Registered representative | Feb 2026 (0y) | ||
| Marcus Robert Debaldo | Registered representative | Feb 2026 (0y) | ||
| Michelle Booker Bennett | Registered representative | Feb 2026 (0y) | ||
| Madeline Rae Fauss | Registered representative | Feb 2026 (0y) | ||
| Patrick Edward Newman | Registered representative | Feb 2026 (0y) | ||
| Tabitha Kim Yancey | Registered representative | Feb 2026 (0y) | ||
| Cory Alan Hollies | Registered representative | Feb 2026 (0y) | ||
| Gregory Malachi Fuller | Registered representative | Feb 2026 (0y) | ||
| Jack Vangemert | Registered representative | Feb 2026 (0y) | ||
| Johh Meyers | Registered representative | Feb 2026 (0y) | ||
| Kyle Mazei | Registered representative | Feb 2026 (0y) | ||
| Milan Chapagai | Registered representative | Feb 2026 (0y) | ||
| Patricia Alejandra Gomez Mendez | Registered representative | Feb 2026 (0y) | ||
| Zachary Shelly | Registered representative | Feb 2026 (0y) | ||
| Denver Julian Mendoza | Registered representative | Feb 2026 (0y) | ||
| Rahatul Islam | Registered representative | Feb 2026 (0y) | ||
| Sarah Boulanger | Registered representative | Feb 2026 (0y) | ||
| William Hamerman | Registered representative | Feb 2026 (0y) | ||
| Austin Arnoldini | Registered representative | Feb 2026 (0y) | ||
| Fnu Ramneetkaur | Registered representative | Feb 2026 (0y) | ||
| Rem Sarris | Registered representative | Feb 2026 (0y) | ||
| Aidan Knox | Registered representative | Feb 2026 (0y) | ||
| Dione Carroll | Registered representative | Feb 2026 (0y) | ||
| Mark Theo Nielsen | Registered representative | Feb 2026 (0y) | ||
| Robyn Austin | Registered representative | Feb 2026 (0y) | ||
| Ryan Edward Winkler | Registered representative | Feb 2026 (0y) | ||
| Alma Gabriela Garcia Lagunas | Registered representative | Feb 2026 (0y) | ||
| Andrew Deieso | Registered representative | Feb 2026 (0y) | ||
| Celine Dizon Bravo | Registered representative | Feb 2026 (0y) | ||
| Danalicia Shalana Charles | Registered representative | Feb 2026 (0y) | ||
| Diego Guadalupe Silva | Registered representative | Feb 2026 (0y) | ||
| Daniel Anthony Lyons | Registered representative | Feb 2026 (0y) | ||
| Marc Deanthony Vasquez | Registered representative | Feb 2026 (0y) | ||
| Richard Warren Lyons | Registered representative | CFP | Feb 2026 (0y) | |
| Adam Obrien | Registered representative | Feb 2026 (0y) | ||
| Alana Kristin Pesnell Harrell | Registered representative | Feb 2026 (0y) | ||
| Donovan Michael Henkel | Registered representative | Feb 2026 (0y) | ||
| James Gavin Scholler | Registered representative | Feb 2026 (0y) | ||
| Jacob Barone | Registered representative | Feb 2026 (0y) | ||
| Melissa Marshall | Registered representative | Feb 2026 (0y) | ||
| Susan Lovette Cheek | Registered representative | Feb 2026 (0y) | ||
| Svetlana Sergeevna Champlin | Registered representative | Feb 2026 (0y) | ||
| Alexandria Lynn Cail | Registered representative | CFP | Mar 2026 (0y) | |
| Christian Keiter | Registered representative | Mar 2026 (0y) | ||
| Evan Kenneth Fry Decker | Registered representative | Mar 2026 (0y) | ||
| Jeremy Frederick Gauna | Registered representative | Mar 2026 (0y) | ||
| Nathan Ray Towns | Registered representative | CFP Chartered Financial Consultant | Mar 2026 (0y) | |
| Sharon Michelle Vaupen | Registered representative | Mar 2026 (0y) | ||
| Sebastian Ardaix | Registered representative | Mar 2026 (0y) | ||
| Zackary Blackwell | Registered representative | Mar 2026 (0y) | ||
| Abdulmonem Abdullat Aldarwish | Registered representative | Mar 2026 (0y) | ||
| Maureen Therese Henry | Registered representative | Mar 2026 (0y) | ||
| Amy Lanette Aguilar | Registered representative | Mar 2026 (0y) | ||
| Daniel Jay Deckman | Registered representative | Mar 2026 (0y) | ||
| Kelli Nicole Ludwinski | Registered representative | Mar 2026 (0y) | ||
| Matthew Lee Meneses | Registered representative | Mar 2026 (0y) | ||
| Peter Owen Mcgaffigan | Registered representative | Mar 2026 (0y) | ||
| Amanda Maher Metcalf | Registered representative | Mar 2026 (0y) | ||
| Cathleen Ann Wright | Registered representative | Mar 2026 (0y) | ||
| Henry Van | Registered representative | Mar 2026 (0y) | ||
| Jack Lyman Carter | Registered representative | Mar 2026 (0y) | ||
| Kenneth Lee Webster | Registered representative | Mar 2026 (0y) | ||
| Leah Marisa Flores | Registered representative | Mar 2026 (0y) | ||
| Mary Anne Hartigan | Registered representative | Mar 2026 (0y) | ||
| Meredith Richardson | Registered representative | Mar 2026 (0y) | ||
| Nattalie Villarreal | Registered representative | Mar 2026 (0y) | ||
| Alex David Deaner | Registered representative | Mar 2026 (0y) | ||
| Allyson Michelle Putnam | Registered representative | Mar 2026 (0y) | ||
| Avery Feagans | Registered representative | Mar 2026 (0y) | ||
| Bryant Glen Saunders | Registered representative | Mar 2026 (0y) | ||
| Francie Lynn Brown | Registered representative | Mar 2026 (0y) | ||
| Gleb Belyy | Registered representative | Mar 2026 (0y) | ||
| Jason Twitchell | Registered representative | Mar 2026 (0y) | ||
| Joseph Novick | Registered representative | Mar 2026 (0y) | ||
| Kyle Donald Keim | Registered representative | Mar 2026 (0y) | ||
| Lacey Jo Thornton | Registered representative | Mar 2026 (0y) | ||
| Marjan Hossein Tehrani | Registered representative | Mar 2026 (0y) | ||
| Michael Angelo Frascione | Registered representative | Mar 2026 (0y) | ||
| Matthew Kimmel | Registered representative | Mar 2026 (0y) | ||
| Sakhi Devesh Kulkarni | Registered representative | Mar 2026 (0y) | ||
| Samuel Cholley Stover | Registered representative | Mar 2026 (0y) | ||
| Scyanne Fuller | Registered representative | Mar 2026 (0y) | ||
| Spencer Cox | Registered representative | Mar 2026 (0y) | ||
| Wael Shreiba | Registered representative | Mar 2026 (0y) | ||
| Andrew Christian Goetz | Registered representative | Mar 2026 (0y) | ||
| Khyleena Chriselle Kerr | Registered representative | Mar 2026 (0y) | ||
| Lizeth Saldivar | Registered representative | Mar 2026 (0y) | ||
| Marianah Shirley Cecchi | Registered representative | Mar 2026 (0y) | ||
| Melanie Ann Hart | Registered representative | Mar 2026 (0y) | ||
| Michael Frederick Specht | Registered representative | Mar 2026 (0y) | ||
| Vasanthakumar Ranganathan | Registered representative | Mar 2026 (0y) | ||
| Abduselam Nurhsen Adem | Registered representative | Mar 2026 (0y) | ||
| Alec Michael Lombardozzi | Registered representative | Mar 2026 (0y) | ||
| Belina Davila Dustin | Registered representative | Mar 2026 (0y) | ||
| Cherilyn Raye Mollohan | Registered representative | Mar 2026 (0y) | ||
| David Mulrooney | Registered representative | Mar 2026 (0y) | ||
| Jessica Areli Santos | Registered representative | Mar 2026 (0y) | ||
| Mackenson Notus | Registered representative | Mar 2026 (0y) | ||
| Deeybid Andree Juarez Campos | Registered representative | Mar 2026 (0y) | ||
| Dexter Lee Benjamin | Registered representative | Mar 2026 (0y) | ||
| Ilghar Samadzadeh | Registered representative | Mar 2026 (0y) | ||
| Lana Mavor | Registered representative | Mar 2026 (0y) | ||
| Mary E Harris | Registered representative | Mar 2026 (0y) | ||
| Dustin Blake Smith | Registered representative | Mar 2026 (0y) | ||
| Allison M Merritt | Registered representative | Mar 2026 (0y) | ||
| Austin Anthony Garmo | Registered representative | Mar 2026 (0y) | ||
| Austin Wolk | Registered representative | Mar 2026 (0y) | ||
| Ben Wolff Krugman | Registered representative | Mar 2026 (0y) | ||
| Brandon Brucker | Registered representative | Mar 2026 (0y) | ||
| Conall Callen | Registered representative | Mar 2026 (0y) | ||
| Daniel Porter | Registered representative | Mar 2026 (0y) | ||
| Eric Weintraub | Registered representative | Mar 2026 (0y) | ||
| Jeremiah Brian Smith | Registered representative | Mar 2026 (0y) | ||
| Jonathan Batista | Registered representative | Mar 2026 (0y) | ||
| Ryan Christopher Jackson | Registered representative | Mar 2026 (0y) | ||
| Tyler Reese Grant | Registered representative | Mar 2026 (0y) | ||
| Valeria Salinas | Registered representative | Mar 2026 (0y) | ||
| Alexandria Morrell | Registered representative | Mar 2026 (0y) | ||
| Donald Isaac Mc Laren Frank | Registered representative | Mar 2026 (0y) | ||
| Dzuy Quoc Duong | Registered representative | Mar 2026 (0y) | ||
| Heajin Roh | Registered representative | Mar 2026 (0y) | ||
| Joseph L Lawrence | Registered representative | Mar 2026 (0y) | ||
| John Bridges Updike | Registered representative | Mar 2026 (0y) | ||
| Lesley Lozano Perez | Registered representative | Mar 2026 (0y) | ||
| Michael Kevin Menden | Registered representative | Mar 2026 (0y) | ||
| Steven John Larson | Registered representative | Mar 2026 (0y) | ||
| Adolfo Esquivez Gomez | Registered representative | Mar 2026 (0y) | ||
| Bryton Reid Tanner | Registered representative | Mar 2026 (0y) | ||
| Donald Anthony Henry | Registered representative | Mar 2026 (0y) | ||
| Garrett Gerald Curo Beam | Registered representative | Mar 2026 (0y) | ||
| Jordan Tuchin | Registered representative | Mar 2026 (0y) | ||
| Kevin James Hendrickx | Registered representative | Mar 2026 (0y) | ||
| Michael W Runyon | Registered representative | Mar 2026 (0y) | ||
| N Anthony Melara | Registered representative | Mar 2026 (0y) | ||
| Octavio Ramirez | Registered representative | Mar 2026 (0y) | ||
| Syed A Alam | Registered representative | Mar 2026 (0y) | ||
| Timothy Besio | Registered representative | Mar 2026 (0y) | ||
| Xiuyuan Li | Registered representative | Mar 2026 (0y) | ||
| Yasika Vijaykumar Solanki | Registered representative | Mar 2026 (0y) | ||
| Brayden Pierce Gardner | Registered representative | Mar 2026 (0y) | ||
| Daniel James Magill | Registered representative | Mar 2026 (0y) | ||
| Jake Merenda | Registered representative | Mar 2026 (0y) | ||
| Nolan James Phillips | Registered representative | Mar 2026 (0y) | ||
| Peter W Donnellon | Registered representative | Mar 2026 (0y) | ||
| Sean Patrick Darroch | Registered representative | Mar 2026 (0y) | ||
| Vincent Joseph Sims | Registered representative | Mar 2026 (0y) | ||
| Benjamin Douglas | Registered representative | Mar 2026 (0y) | ||
| Camille Martin | Registered representative | Mar 2026 (0y) | ||
| Daniel Raynell Gresham | Registered representative | Mar 2026 (0y) | ||
| Dan J Aldrich | Registered representative | Mar 2026 (0y) | ||
| Edgar Jimenez | Registered representative | Mar 2026 (0y) | ||
| James Roy Magness | Registered representative | Mar 2026 (0y) | ||
| Johnathon Sutherland | Registered representative | Mar 2026 (0y) | ||
| Jesse Lindauer | Registered representative | Mar 2026 (0y) | ||
| Judith Wallace | Registered representative | Mar 2026 (0y) | ||
| Marky Picard | Registered representative | Mar 2026 (0y) | ||
| Reynaldo Villanueva | Registered representative | Mar 2026 (0y) | ||
| Ryan Benjamin Corneiller | Registered representative | Mar 2026 (0y) | ||
| Abby Michelle Cardenas | Registered representative | Mar 2026 (0y) | ||
| Dallas Joshua Bush | Registered representative | Mar 2026 (0y) | ||
| Kweku Ofori Owusu Addo | Registered representative | Mar 2026 (0y) | ||
| Lawrence Anthony Chapa | Registered representative | Mar 2026 (0y) | ||
| Ranieri P. R. Ferreira | Registered representative | Mar 2026 (0y) | ||
| Carlos Luis Cirkovic Von Hubbenet | Registered representative | Mar 2026 (0y) | ||
| David Mark Wilfert | Registered representative | Mar 2026 (0y) | ||
| Dmitry Nicholas Bierker | Registered representative | Mar 2026 (0y) | ||
| Jeffery Carson | Registered representative | Mar 2026 (0y) | ||
| Luke John Houck | Registered representative | Mar 2026 (0y) | ||
| Moises A Henriquez | Registered representative | Mar 2026 (0y) | ||
| Nathan York | Registered representative | Mar 2026 (0y) | ||
| Princess Marie Taylor | Registered representative | Mar 2026 (0y) | ||
| Elvira Ramirez Mendoza | Registered representative | Mar 2026 (0y) | ||
| Haidy Wahid Eskander | Registered representative | Mar 2026 (0y) | ||
| Marvella Cubit | Registered representative | Mar 2026 (0y) | ||
| Shureen Long | Registered representative | Mar 2026 (0y) | ||
| Terri Lynn Shields | Registered representative | Mar 2026 (0y) | ||
| Benson Malone Abercrombie | Registered representative | Mar 2026 (0y) | ||
| Christine Marshall | Registered representative | Mar 2026 (0y) | ||
| Joseph B Shahin | Registered representative | Mar 2026 (0y) | ||
| Malisha S Daulat | Registered representative | Mar 2026 (0y) | ||
| Ann Cline | Registered representative | Mar 2026 (0y) | ||
| Ashleigh Renee Gearhart | Registered representative | Mar 2026 (0y) | ||
| Christopher Ranjo Rafanan | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Thomas Mazziotti | Registered representative | Mar 2026 (0y) | ||
| Andrew M. Alfonso | Registered representative | Mar 2026 (0y) | ||
| David William Winn | Registered representative | Mar 2026 (0y) | ||
| Jose P Avelar Solis | Registered representative | Mar 2026 (0y) | ||
| Kunal Jay Patel | Registered representative | Mar 2026 (0y) | ||
| Nicholas Gorham | Registered representative | Mar 2026 (0y) | ||
| Stephanie Tenborg | Registered representative | Mar 2026 (0y) | ||
| Alex Samuel Michaelis | Registered representative | Mar 2026 (0y) | ||
| Debra L Jette | Registered representative | Mar 2026 (0y) | ||
| Harold Williams Taylor | Registered representative | Mar 2026 (0y) | ||
| Jonathan Lance Hemmings | Registered representative | Mar 2026 (0y) | ||
| Lauren Mary Shepherd | Registered representative | Mar 2026 (0y) | ||
| Michael D Drew | Registered representative | Mar 2026 (0y) | ||
| Whitney Conn | Registered representative | Mar 2026 (0y) | ||
| Bobby M Pulgarin | Registered representative | Mar 2026 (0y) | ||
| Eldos Maytoff | Registered representative | Mar 2026 (0y) | ||
| Gabriela D Perdomo Fernandez | Registered representative | Mar 2026 (0y) | ||
| Halie N Murray | Registered representative | Mar 2026 (0y) | ||
| Jorge Cisneros Rodriguez | Registered representative | Mar 2026 (0y) | ||
| Tracy Leader | Registered representative | Mar 2026 (0y) | ||
| Tyler Recknor | Registered representative | Mar 2026 (0y) | ||
| Adam Sciuto | Registered representative | Apr 2026 (0y) | ||
| Andrew Yanway Low | Registered representative | Apr 2026 (0y) | ||
| Chad Everett Reese | Registered representative | Apr 2026 (0y) | ||
| Fikret Samardzic | Registered representative | Apr 2026 (0y) | ||
| Jack Michael Roslonek | Registered representative | Apr 2026 (0y) | ||
| John Taylor | Registered representative | Apr 2026 (0y) | ||
| Josue Bermudez | Registered representative | Apr 2026 (0y) | ||
| Jonathan Poulis | Registered representative | Apr 2026 (0y) | ||
| Patrick Lawrence Mcvey | Registered representative | Apr 2026 (0y) | ||
| Piper Haupt | Registered representative | Apr 2026 (0y) | ||
| Seth Clemmer | Registered representative | CFP | Apr 2026 (0y) | |
| Shawn Anthony Polk | Registered representative | Apr 2026 (0y) | ||
| Thomas Charles Dexter | Registered representative | Apr 2026 (0y) | ||
| Vanessa Karenina Fernandez Salazar | Registered representative | Apr 2026 (0y) | ||
| Yonas Shiferaw Demeke | Registered representative | Apr 2026 (0y) | ||
| Benjamin Kyle Milligan | Registered representative | Apr 2026 (0y) | ||
| Christina Moore Gwynn | Registered representative | CFA | Apr 2026 (0y) | |
| Conor Masaji Clifford | Registered representative | Apr 2026 (0y) | ||
| Dawn Williamson Lucy | Registered representative | Apr 2026 (0y) | ||
| David Gomez De Armas | Registered representative | Apr 2026 (0y) | ||
| Ighama Ojo | Registered representative | Apr 2026 (0y) | ||
| Joseph Louis Lipovetz | Registered representative | Apr 2026 (0y) | ||
| Jordan A Sullivan | Registered representative | Apr 2026 (0y) | ||
| Shabnam Delafkar | Registered representative | Apr 2026 (0y) | ||
| Shane Richard Davis | Registered representative | Apr 2026 (0y) | ||
| Ara Hunt | Registered representative | Apr 2026 (0y) | ||
| Benjamin Ying Weiskopf | Registered representative | Apr 2026 (0y) | ||
| Dawn L Eldridge | Registered representative | Apr 2026 (0y) | ||
| Forrest Marchman | Registered representative | Apr 2026 (0y) | ||
| George Kokalis | Registered representative | Apr 2026 (0y) | ||
| Bailey E Harris | Registered representative | Apr 2026 (0y) | ||
| Aubree N Pendleton | Registered representative | Apr 2026 (0y) | ||
| Andrew Omer Bergeron | Registered representative | Apr 2026 (0y) | ||
| Brian Keith Warden | Registered representative | Apr 2026 (0y) | ||
| Candelario Topete | Registered representative | Apr 2026 (0y) | ||
| Ellen Marie Dejewski | Registered representative | Apr 2026 (0y) | ||
| Giulia Caterina Foderaro | Registered representative | Apr 2026 (0y) | ||
| Mariah Wigley | Registered representative | Apr 2026 (0y) | ||
| Matthew Sibley Hancock | Registered representative | Apr 2026 (0y) | ||
| Megan Charlotte Powers | Registered representative | Apr 2026 (0y) | ||
| Michael Way | Registered representative | Apr 2026 (0y) | ||
| Nathaniel Iran Velasco | Registered representative | Apr 2026 (0y) | ||
| Rachel Renaud | Registered representative | Apr 2026 (0y) | ||
| Rodney Fitzgerald King | Registered representative | Apr 2026 (0y) | ||
| Sebastian Castellanos Molina | Registered representative | Apr 2026 (0y) | ||
| Srinivas Rao | Registered representative | Apr 2026 (0y) | ||
| Thomas Anthony Loffredo | Registered representative | Apr 2026 (0y) | ||
| Tyler Becker | Registered representative | Apr 2026 (0y) | ||
| Dwight H Cates | Registered representative | Apr 2026 (0y) | ||
| Giananthony Damasco | Registered representative | Apr 2026 (0y) | ||
| Isaiah Simeon James Symeonides | Registered representative | Apr 2026 (0y) | ||
| Jared Ray Watkins | Registered representative | Apr 2026 (0y) | ||
| Judd Wright Kearby | Registered representative | Apr 2026 (0y) | ||
| Sudhicha Bob Vasavanont | Registered representative | Apr 2026 (0y) | ||
| Emmanuel Alade | Registered representative | Apr 2026 (0y) | ||
| Lily Buchanan Smith | Registered representative | Apr 2026 (0y) | ||
| Michele Kathryn Green | Registered representative | Apr 2026 (0y) | ||
| Spencer Hopson | Registered representative | Apr 2026 (0y) | ||
| Benjamin Kirkland | Registered representative | Apr 2026 (0y) | ||
| Kara Lee South | Registered representative | Apr 2026 (0y) | ||
| Melanie Gabriela Hernandez Calzada | Registered representative | Apr 2026 (0y) | ||
| Ryan Thomas Gallagher | Registered representative | Apr 2026 (0y) | ||
| Walter G Dziedzic | Registered representative | Apr 2026 (0y) | ||
| Penny Jean Young | Registered representative | Apr 2026 (0y) | ||
| Vincent Parrett | Registered representative | Apr 2026 (0y) | ||
| Anshu A Dutt | Registered representative | Apr 2026 (0y) | ||
| Dean F. Bowen | Registered representative | Apr 2026 (0y) | ||
| Eric Tiller | Registered representative | Apr 2026 (0y) | ||
| Heather Baalke | Registered representative | Apr 2026 (0y) | ||
| Khoi Le | Registered representative | Apr 2026 (0y) | ||
| Kimberly Blair Grant | Registered representative | Apr 2026 (0y) | ||
| Nathan Chen | Registered representative | Apr 2026 (0y) | ||
| Paul W Meyer | Registered representative | Apr 2026 (0y) | ||
| Sabrina Renee Onderko | Registered representative | Apr 2026 (0y) | ||
| Sheree Lianne Lavelle | Registered representative | Apr 2026 (0y) | ||
| Tyler Matthew Francis | Registered representative | Apr 2026 (0y) | ||
| Ashmal Rehan Baig | Registered representative | Apr 2026 (0y) | ||
| Benjamin Scott Hearnsberger | Registered representative | CFP | Apr 2026 (0y) | |
| Charles Brock Dunford | Registered representative | Apr 2026 (0y) | ||
| Daniel T Gregg | Registered representative | Apr 2026 (0y) | ||
| Joel Benito Ferman Hernandez | Registered representative | Apr 2026 (0y) | ||
| Jonathan S. Honden | Registered representative | Apr 2026 (0y) | ||
| Matthew Thomas Welding | Registered representative | Apr 2026 (0y) | ||
| Molly Hillyard Rice | Registered representative | Apr 2026 (0y) | ||
| Oralia Valenzuela | Registered representative | Apr 2026 (0y) | ||
| Sagar Satyan | Registered representative | Apr 2026 (0y) | ||
| Yachen Wang Sun | Registered representative | CFP | Apr 2026 (0y) | |
| Adam Paul Dorosky | Registered representative | Apr 2026 (0y) | ||
| Jonathan Carlo De Guzman Gosioco | Registered representative | Apr 2026 (0y) | ||
| Katie Rae Merritt | Registered representative | Apr 2026 (0y) | ||
| Michael Glen Patterson | Registered representative | Apr 2026 (0y) | ||
| Misty Renee Wilson | Registered representative | Apr 2026 (0y) | ||
| Ryan Allen Crawford | Registered representative | Apr 2026 (0y) | ||
| Tomeka Shantay Robinson | Registered representative | Apr 2026 (0y) | ||
| Victor Manuel Escobedo Garcia | Registered representative | Apr 2026 (0y) | ||
| Ava Dorothy Field | Registered representative | Apr 2026 (0y) | ||
| Alexa Marie Bridge | Registered representative | Apr 2026 (0y) | ||
| Brady Allen Woelfel | Registered representative | Apr 2026 (0y) | ||
| Brandon Lee Van Nevel | Registered representative | Apr 2026 (0y) | ||
| Chloe Lauha Ott | Registered representative | Apr 2026 (0y) | ||
| Elizabeth Kelly Schlitter | Registered representative | Apr 2026 (0y) | ||
| Mario Ernesto Martinez Coreas | Registered representative | Apr 2026 (0y) | ||
| Michael Rios | Registered representative | Apr 2026 (0y) | ||
| Nellie Kathryn Butler | Registered representative | Apr 2026 (0y) | ||
| Nickolas Loukas Vucenich | Registered representative | Apr 2026 (0y) | ||
| Nora Haugh | Registered representative | Apr 2026 (0y) | ||
| Alfredo Eduardo Linares Coba | Registered representative | Apr 2026 (0y) | ||
| Charles Vanlear Hoback | Registered representative | Apr 2026 (0y) | ||
| Cole Kendrick | Registered representative | Apr 2026 (0y) | ||
| Darius J Brown | Registered representative | Apr 2026 (0y) | ||
| Kiana A Jens | Registered representative | Apr 2026 (0y) | ||
| Luis Gerardo Zapata | Registered representative | Apr 2026 (0y) | ||
| Roberto Emanuel Cortes Garcia | Registered representative | Apr 2026 (0y) | ||
| Samuel John Wheeler | Registered representative | Apr 2026 (0y) | ||
| Stacey Renay Polevoy | Registered representative | Apr 2026 (0y) | ||
| Ayham Bahnassi | Registered representative | Apr 2026 (0y) | ||
| Adam Johnson | Registered representative | Apr 2026 (0y) | ||
| Colin Beagan | Registered representative | Apr 2026 (0y) | ||
| Daniel Pham | Registered representative | Apr 2026 (0y) | ||
| Davis Fox | Registered representative | Apr 2026 (0y) | ||
| Dedry Jerrod Johnson | Registered representative | Apr 2026 (0y) | ||
| Ethan Ryan Mcduffie | Registered representative | Apr 2026 (0y) | ||
| Giuseppe Gigliotti | Registered representative | Apr 2026 (0y) | ||
| Ilona Raquel Weiss | Registered representative | Apr 2026 (0y) | ||
| Jackson Neale Neve | Registered representative | Apr 2026 (0y) | ||
| John Theodore Olsson | Registered representative | Apr 2026 (0y) | ||
| Mi Hee Jung Christensen | Registered representative | Apr 2026 (0y) | ||
| Michael Heinz | Registered representative | Apr 2026 (0y) | ||
| Michael Ryan Tygielski | Registered representative | Apr 2026 (0y) | ||
| Madison Paige Auton | Registered representative | Apr 2026 (0y) | ||
| Noah Tatum | Registered representative | Apr 2026 (0y) | ||
| Owen Joiner | Registered representative | Apr 2026 (0y) | ||
| Treyson Matthews | Registered representative | Apr 2026 (0y) | ||
| Inga C Wedderburn | Registered representative | Apr 2026 (0y) | ||
| James W Wetton | Registered representative | Apr 2026 (0y) | ||
| Luis David Barrera | Registered representative | Apr 2026 (0y) | ||
| Steven Harrison | Registered representative | Apr 2026 (0y) | ||
| William Jack Rapine | Registered representative | Apr 2026 (0y) | ||
| Can Cakir | Registered representative | Apr 2026 (0y) | ||
| Matthew Hamilton Back | Registered representative | Apr 2026 (0y) | ||
| Sandra Edith Taitingfong | Registered representative | Apr 2026 (0y) | ||
| Scott A Moenig | Registered representative | Apr 2026 (0y) | ||
| Taylor William Matthews | Registered representative | Apr 2026 (0y) | ||
| Brian James Lin | Registered representative | Apr 2026 (0y) | ||
| Christen A Beck | Registered representative | Apr 2026 (0y) | ||
| Diego Alejandro Alvarez | Registered representative | Apr 2026 (0y) | ||
| Steven William Haines | Registered representative | Apr 2026 (0y) | ||
| Brian Charles Blagdon | Registered representative | Apr 2026 (0y) | ||
| Chintan Manan Mehta | Registered representative | Apr 2026 (0y) | ||
| Mihaela Atanasova Vateva Schneider | Registered representative | Apr 2026 (0y) | ||
| Richard Scott Tenold | Registered representative | Apr 2026 (0y) | ||
| Betty F Deboe | Registered representative | Apr 2026 (0y) | ||
| Douglas Claude Digiorno | Registered representative | Apr 2026 (0y) | ||
| Eduardo Estrada | Registered representative | Apr 2026 (0y) | ||
| Fellesia Alicia Reid | Registered representative | Apr 2026 (0y) | ||
| Katherine Louise Golden | Registered representative | Apr 2026 (0y) | ||
| Michael Tobin Bill | Registered representative | Apr 2026 (0y) | ||
| Norma Areli Cowan | Registered representative | Apr 2026 (0y) | ||
| Richard Andrew Roeser | Registered representative | Apr 2026 (0y) | ||
| Adis Cukovic | Registered representative | Apr 2026 (0y) | ||
| De'baron Davis | Registered representative | Apr 2026 (0y) | ||
| Erica Greene | Registered representative | Apr 2026 (0y) | ||
| Javier Moreno | Registered representative | Apr 2026 (0y) | ||
| Jeffrey M Piliero | Registered representative | CFP | Apr 2026 (0y) | |
| Max Bashford | Registered representative | Apr 2026 (0y) | ||
| Tina Mehta | Registered representative | Apr 2026 (0y) | ||
| Benjamin Matthew Wilkerson | Registered representative | Apr 2026 (0y) | ||
| Maxine Elaine Bolton | Registered representative | Apr 2026 (0y) | ||
| Micah Marie Cooke | Registered representative | Apr 2026 (0y) | ||
| Michael Leo Jordan | Registered representative | Apr 2026 (0y) | ||
| Stephen Thomas Macdonald | Registered representative | Apr 2026 (0y) | ||
| Steven Michael Chmara | Registered representative | Apr 2026 (0y) | ||
| Timothy Owen Mills | Registered representative | Apr 2026 (0y) | ||
| Aliyah Jaramillo | Registered representative | Apr 2026 (0y) | ||
| Christian Micah Miller | Registered representative | Apr 2026 (0y) | ||
| Gabriel Iglesias | Registered representative | Apr 2026 (0y) | ||
| Katherine Joseny Hernandez Montesflores | Registered representative | Apr 2026 (0y) | ||
| Kevin Lyle Hackett | Registered representative | Apr 2026 (0y) | ||
| Aidan M Kelly | Registered representative | May 2026 (0y) | ||
| Alec Jacob Jordan | Registered representative | May 2026 (0y) | ||
| Cordia J Taylor | Registered representative | May 2026 (0y) | ||
| Cameron E Irvine | Registered representative | May 2026 (0y) | ||
| Christina M Livaccari | Registered representative | May 2026 (0y) | ||
| Evan Edward Taylor | Registered representative | May 2026 (0y) | ||
| Gentry Parks Moore | Registered representative | May 2026 (0y) | ||
| Henry Saleeby | Registered representative | May 2026 (0y) | ||
| Hunter W Embury | Registered representative | May 2026 (0y) | ||
| Jay D Dorie Arbetter | Registered representative | May 2026 (0y) | ||
| John William Wolfley | Registered representative | May 2026 (0y) | ||
| Juan Camilo Villamizar | Registered representative | May 2026 (0y) | ||
| Jamison G Embury | Registered representative | May 2026 (0y) | ||
| Kelli Hamilton | Registered representative | May 2026 (0y) | ||
| Kyle J Drumm | Registered representative | May 2026 (0y) | ||
| Luis Alfredo Martinez | Registered representative | May 2026 (0y) | ||
| Mandana Hohn | Registered representative | May 2026 (0y) | ||
| Marcus Malik Briscoe | Registered representative | May 2026 (0y) | ||
| Michaella Grace Irvine | Registered representative | May 2026 (0y) | ||
| Phillip Scott Hohn | Registered representative | May 2026 (0y) | ||
| Paul Santavicca | Registered representative | May 2026 (0y) | ||
| Richard Timothy Cochran | Registered representative | May 2026 (0y) | ||
| Rusti D Rogger | Registered representative | May 2026 (0y) | ||
| Ryan C Mcintyre | Registered representative | May 2026 (0y) | ||
| Roger Hulett Mc Glynn | Registered representative | May 2026 (0y) | ||
| Samantha B Lynch | Registered representative | CFA | May 2026 (0y) | |
| Scott Wolfe | Registered representative | May 2026 (0y) | ||
| Shane M Ichael Drumm | Registered representative | May 2026 (0y) | ||
| Tayte Elliott Irvine | Registered representative | May 2026 (0y) | ||
| Charles Edward Bledsoe | Registered representative | May 2026 (0y) | ||
| Christopher Chandler | Registered representative | May 2026 (0y) | ||
| Colton Knoble | Registered representative | May 2026 (0y) | ||
| Garrison Bryan Monroe | Registered representative | May 2026 (0y) | ||
| Jason E Everett Taraszki | Registered representative | May 2026 (0y) | ||
| Muhammad Fawad Afzal | Registered representative | May 2026 (0y) | ||
| William Craig Mayeux | Registered representative | May 2026 (0y) | ||
| Andrea E Taylor | Registered representative | May 2026 (0y) | ||
| David C Bartoli | Registered representative | May 2026 (0y) | ||
| Jacob Wallace Harvey | Registered representative | May 2026 (0y) | ||
| Kirsten Aleigha Rodriguez | Registered representative | May 2026 (0y) | ||
| Leigh Frances Beshaw | Registered representative | May 2026 (0y) | ||
| Patrick Preston Bartoli | Registered representative | May 2026 (0y) | ||
| Peter Steelman | Registered representative | CFA | May 2026 (0y) | |
| Shaun Paul Smith | Registered representative | May 2026 (0y) | ||
| Stephen M Bartoli | Registered representative | May 2026 (0y) | ||
| W Craig Mclean | Registered representative | May 2026 (0y) | ||
| William T Duval | Registered representative | May 2026 (0y) | ||
| Alexander Matthew Blatt | Registered representative | May 2026 (0y) | ||
| Cody Atherton | Registered representative | May 2026 (0y) | ||
| Henry Wendell Jordan | Registered representative | May 2026 (0y) | ||
| Kevin Vincent World | Registered representative | May 2026 (0y) | ||
| Shane Walker | Registered representative | May 2026 (0y) | ||
| Tymothe Rosenthal | Registered representative | May 2026 (0y) | ||
| Aerial Burdae Loewen | Registered representative | May 2026 (0y) | ||
| Jacob Patrick Fidler | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Lucas Rhoy | Registered representative | May 2026 (0y) | ||
| Maxim Stupak | Registered representative | May 2026 (0y) | ||
| Nathan Randall | Registered representative | May 2026 (0y) | ||
| Benjamin Hunter Dreaden | Registered representative | May 2026 (0y) | ||
| Mary Morrow | Registered representative | May 2026 (0y) | ||
| Treya Chinn Hawkins | Registered representative | May 2026 (0y) | ||
| Tyler Christopher Nowack | Registered representative | May 2026 (0y) | ||
| Brent Emerson Moore | Registered representative | May 2026 (0y) | ||
| Enrique Aranda Garcia | Registered representative | May 2026 (0y) | ||
| Horace Nigel Carryl | Registered representative | May 2026 (0y) | ||
| Isabel C. Rumberg | Registered representative | May 2026 (0y) | ||
| Jack Thuan Hoang | Registered representative | May 2026 (0y) | ||
| Jordan Hickam Horner | Registered representative | May 2026 (0y) | ||
| Marshall Cole Garrett | Registered representative | May 2026 (0y) | ||
| Rida Zubair | Registered representative | May 2026 (0y) | ||
| Stephanie Michelle Cronic | Registered representative | May 2026 (0y) | ||
| Berenice Sarahi Galvan Padilla | Registered representative | May 2026 (0y) | ||
| Colby Stanford | Registered representative | May 2026 (0y) | ||
| Edward James Garrigal | Registered representative | May 2026 (0y) | ||
| Jeffrey Alan Brown | Registered representative | May 2026 (0y) | ||
| Julie Burgio | Registered representative | May 2026 (0y) | ||
| Katherine M Dahlke | Registered representative | May 2026 (0y) | ||
| Smrutil Vinubhai Patel | Registered representative | May 2026 (0y) | ||
| Vicente Lopez | Registered representative | May 2026 (0y) | ||
| Gavin Mclaughlin | Registered representative | CFA | May 2026 (0y) | |
| Isabelle Napa Chang | Registered representative | May 2026 (0y) | ||
| Laura Scruggs | Registered representative | May 2026 (0y) | ||
| Melissa Amy Cuellar | Registered representative | May 2026 (0y) | ||
| Robert William Ingles | Registered representative | May 2026 (0y) | ||
| Victoria Goldsberry | Registered representative | May 2026 (0y) | ||
| John Edmund Neenan | Registered representative | May 2026 (0y) | ||
| Joseph Moore | Registered representative | May 2026 (0y) | ||
| Joseph Sutter | Registered representative | May 2026 (0y) | ||
| Nathan Robert Werner | Registered representative | May 2026 (0y) | ||
| Edgar E Tejeda Gonzalez | Registered representative | May 2026 (0y) | ||
| Jackson Solomon Aronson | Registered representative | May 2026 (0y) | ||
| Larena Parrish | Registered representative | May 2026 (0y) | ||
| Robbie L Arend | Registered representative | May 2026 (0y) | ||
| Thomas Joseph Morse | Registered representative | May 2026 (0y) | ||
| William E Thomas | Registered representative | May 2026 (0y) | ||
| Aileen Li | Registered representative | May 2026 (0y) | ||
| Benilda Leah Lewis | Registered representative | May 2026 (0y) | ||
| Brian Wood | Registered representative | May 2026 (0y) | ||
| Bryan Frates | Registered representative | May 2026 (0y) | ||
| Brandon Dariotis | Registered representative | May 2026 (0y) | ||
| Jaime Luis Diaz | Registered representative | May 2026 (0y) | ||
| Joshua Caleb Dodge | Registered representative | May 2026 (0y) | ||
| Marlene Jo Mccracken | Registered representative | May 2026 (0y) | ||
| Mark Mahon | Registered representative | CFP | May 2026 (0y) | |
| Neila Paz Martinez | Registered representative | May 2026 (0y) | ||
| Stephen Camilli | Registered representative | May 2026 (0y) | ||
| Ashley Meriah Archer | Registered representative | May 2026 (0y) | ||
| Heather Andrea Desieno | Registered representative | May 2026 (0y) | ||
| Jing Jin | Registered representative | May 2026 (0y) | ||
| Lisa Rajnikant Mandalaywala | Registered representative | May 2026 (0y) | ||
| Peter Conrad Auffenberg | Registered representative | May 2026 (0y) | ||
| Scott Summerford | Registered representative | May 2026 (0y) | ||
| Alisa Mindy Harris | Registered representative | May 2026 (0y) | ||
| Amanda Rae Shives | Registered representative | May 2026 (0y) | ||
| Deandre Lamonte Cammarata | Registered representative | May 2026 (0y) | ||
| Jennifer Lee Lawrence | Registered representative | May 2026 (0y) | ||
| Roxanna Valentina Rodriguez Calabrese | Registered representative | May 2026 (0y) | ||
| Ashley Hedrick | Registered representative | May 2026 (0y) | ||
| Jennifer Joanne Lanigan | Registered representative | May 2026 (0y) | ||
| Kwang Jin Lee | Registered representative | May 2026 (0y) | ||
| Saori Inclan | Registered representative | May 2026 (0y) | ||
| Svetlana Dumais | Registered representative | May 2026 (0y) | ||
| Charles James Cline | Registered representative | May 2026 (0y) | ||
| Jerry Decembre | Registered representative | May 2026 (0y) | ||
| Brendan Dowd | Registered representative | May 2026 (0y) | ||
| Ethan William Cinealis | Registered representative | May 2026 (0y) | ||
| Jose Francisco Arevalo | Registered representative | May 2026 (0y) | ||
| Mitzi Larue | Registered representative | May 2026 (0y) | ||
| Ali Haider | Registered representative | May 2026 (0y) | ||
| Alexander Matthew Georgopulos | Registered representative | May 2026 (0y) | ||
| Christopher John Privon | Registered representative | May 2026 (0y) | ||
| Carter Straub | Registered representative | May 2026 (0y) | ||
| Edward Yen Chiang | Registered representative | May 2026 (0y) | ||
| Jasmine Shontelle Muhammad | Registered representative | May 2026 (0y) | ||
| Nathan Fancher | Registered representative | May 2026 (0y) | ||
| Sean Patrick Clark | Registered representative | May 2026 (0y) | ||
| Veronica Cadena | Registered representative | May 2026 (0y) | ||
| Alan Felipe Villegas Mejia | Registered representative | May 2026 (0y) | ||
| Justin Weber | Registered representative | May 2026 (0y) | ||
| Logan Gorman | Registered representative | May 2026 (0y) | ||
| Maximillian Murphy Sanchez | Registered representative | May 2026 (0y) | ||
| Benjamin Franklin Davis | Registered representative | May 2026 (0y) | ||
| Eric M. Aldape | Registered representative | May 2026 (0y) | ||
| George Daniel Gandy | Registered representative | May 2026 (0y) | ||
| Lisa Snyder | Registered representative | CFA | May 2026 (0y) | |
| Larry Deron Grant | Registered representative | May 2026 (0y) | ||
| Michael Meegan | Registered representative | May 2026 (0y) | ||
| Shelley Marie Perez | Registered representative | May 2026 (0y) | ||
| Sean T Gibbons | Registered representative | May 2026 (0y) | ||
| Trevor T Sahol | Registered representative | May 2026 (0y) | ||
| Alexander Paul Johnson | Registered representative | May 2026 (0y) | ||
| Ashwin Nathen Prasad | Registered representative | May 2026 (0y) | ||
| Jeffrey Thomas Lasater | Registered representative | May 2026 (0y) | ||
| John Robert Walker | Registered representative | May 2026 (0y) | ||
| Kyle Jacob Harrison | Registered representative | May 2026 (0y) | ||
| Lauren Elizabeth Barnes | Registered representative | May 2026 (0y) | ||
| Michael William Thatcher | Registered representative | May 2026 (0y) | ||
| Mitchell Hamilton | Registered representative | May 2026 (0y) | ||
| Nicholas Morland | Registered representative | May 2026 (0y) | ||
| Samuel Mattson | Registered representative | May 2026 (0y) | ||
| Thomas Alfred Hughes | Registered representative | May 2026 (0y) | ||
| William Michael Steele | Registered representative | May 2026 (0y) | ||
| Zara Smith | Registered representative | May 2026 (0y) | ||
| Brandon Harper | Registered representative | Jun 2026 (0y) | ||
| Eric Boyer | Registered representative | CFA | Jun 2026 (0y) | |
| Juan Sebastian Osorio | Registered representative | Jun 2026 (0y) | ||
| Leanda Pringle | Registered representative | Jun 2026 (0y) | ||
| Ryan Charles Dutil | Registered representative | Jun 2026 (0y) | ||
| Shamrock Jr Munoz | Registered representative | Jun 2026 (0y) | ||
| Christopher Anderson | Registered representative | Jun 2026 (0y) | ||
| Joseph Wirtshafter | Registered representative | Jun 2026 (0y) | ||
| Mekale Wayne Knight Victor | Registered representative | Jun 2026 (0y) | ||
| Rose M Faranal | Registered representative | Jun 2026 (0y) | ||
| Silya Filo | Registered representative | Jun 2026 (0y) | ||
| William Kirchner Bright | Registered representative | Jun 2026 (0y) | ||
| Beatriz Chung Hu | Registered representative | Jun 2026 (0y) | ||
| Brady Christian Stevens | Registered representative | Jun 2026 (0y) | ||
| Cara Smith | Registered representative | Jun 2026 (0y) | ||
| Christian Barron Lopez | Registered representative | Jun 2026 (0y) | ||
| Colby Christian Cossette | Registered representative | Jun 2026 (0y) | ||
| Declan Malcarney | Registered representative | Jun 2026 (0y) | ||
| Hugo Longoria Rios | Registered representative | Jun 2026 (0y) | ||
| Jie Moon Chung | Registered representative | Jun 2026 (0y) | ||
| John William Shultz | Registered representative | Jun 2026 (0y) | ||
| Kristina Irene Lewis | Registered representative | Jun 2026 (0y) | ||
| Kathleen Gude | Registered representative | Jun 2026 (0y) | ||
| Marja Lee Rusch | Registered representative | Jun 2026 (0y) | ||
| Matthew Christopher Ayer | Registered representative | Jun 2026 (0y) | ||
| Morgan Stickler | Registered representative | Jun 2026 (0y) | ||
| Richard Stice | Registered representative | Jun 2026 (0y) | ||
| Ruben Maciel Gonzalez | Registered representative | Jun 2026 (0y) | ||
| Robert Bushway | Registered representative | Jun 2026 (0y) | ||
| Steven Cooke | Registered representative | Jun 2026 (0y) | ||
| Thomas Michael Bennett | Registered representative | Jun 2026 (0y) | ||
| Todd V Chester | Registered representative | Jun 2026 (0y) | ||
| Tonya Dawn Conroy | Registered representative | Jun 2026 (0y) | ||
| Camden Louis Vitagliano | Registered representative | Jun 2026 (0y) | ||
| Eric Beck | Registered representative | Jun 2026 (0y) | ||
| Johanna Maria Cefaretti | Registered representative | Jun 2026 (0y) | ||
| Keith Allen Fuller | Registered representative | Jun 2026 (0y) | ||
| Noe Leon | Registered representative | Jun 2026 (0y) | ||
| Phaahna Alyssa Louder Young | Registered representative | Jun 2026 (0y) | ||
| Richard Anthony Robinson | Registered representative | CFA | Jun 2026 (0y) | |
| Scott Aaron Camuto | Registered representative | Jun 2026 (0y) | ||
| Zachary Gerleman | Registered representative | Jun 2026 (0y) | ||
| Christina L Jimison | Registered representative | Jun 2026 (0y) | ||
| Christopher Lee | Registered representative | Jun 2026 (0y) | ||
| Jorge Luis Martinez | Registered representative | Jun 2026 (0y) | ||
| Lisa Diane Castillo | Registered representative | Jun 2026 (0y) | ||
| Aerien Donn Connelley | Registered representative | Jun 2026 (0y) | ||
| Jacob Bolstad | Registered representative | Jun 2026 (0y) | ||
| Jennifer Esther Colon | Registered representative | Jun 2026 (0y) | ||
| Ramiro Carvajal | Registered representative | Jun 2026 (0y) | ||
| Troy T Spencer | Registered representative | Jun 2026 (0y) | ||
| Yusif Seyidov | Registered representative | Jun 2026 (0y) | ||
| Amy Lilliam Friedrich | Registered representative | Jun 2026 (0y) | ||
| Corey Legrand Harding | Registered representative | Jun 2026 (0y) | ||
| Dennis Ramos | Registered representative | Jun 2026 (0y) | ||
| Josephina Reyes | Registered representative | Jun 2026 (0y) | ||
| Justin David Rushing | Registered representative | Jun 2026 (0y) | ||
| Marlon Alexander Perez Hernandez | Registered representative | Jun 2026 (0y) | ||
| Tiffany Leann Gill | Registered representative | Jun 2026 (0y) | ||
| Yorlin Susana | Registered representative | Jun 2026 (0y) | ||
| Brittany Anne Olsen | Registered representative | Jun 2026 (0y) | ||
| Christopher Teixeira Dos Santos | Registered representative | Jun 2026 (0y) | ||
| Johnathan William Dungan | Registered representative | Jun 2026 (0y) | ||
| Jonathan Carlos Melara | Registered representative | Jun 2026 (0y) | ||
| Justin Anthony Kresz | Registered representative | Jun 2026 (0y) | ||
| Milton Aaron Durham | Registered representative | Jun 2026 (0y) | ||
| Nicholas Stork | Registered representative | CFP | Jun 2026 (0y) | |
| Sotheavy Vann | Registered representative | Jun 2026 (0y) | ||
| Brian Krell | Registered representative | Jun 2026 (0y) | ||
| Jenny Zheng | Registered representative | Jun 2026 (0y) | ||
| Robert William Farish | Registered representative | Jun 2026 (0y) | ||
| Rodrigo Jorge Cuellar Serrano | Registered representative | Jun 2026 (0y) | ||
| Samuel Adam Anderson | Registered representative | Jun 2026 (0y) | ||
| Steven Roy | Registered representative | Jun 2026 (0y) | ||
| Alexander Baran | Registered representative | Jun 2026 (0y) | ||
| Anna Lee | Registered representative | Jun 2026 (0y) | ||
| Benson Den Tee Lim | Registered representative | Jun 2026 (0y) | ||
| De Aunna Thomas | Registered representative | Jun 2026 (0y) | ||
| Farama Ketass Thorlu Bangura | Registered representative | Jun 2026 (0y) | ||
| John V Romo | Registered representative | Jun 2026 (0y) | ||
| Robert Michael Gonzalez | Registered representative | Jun 2026 (0y) | ||
| Victoria Maria Renner | Registered representative | Jun 2026 (0y) | ||
| Adil Omar Salah Ahmed | Registered representative | Jun 2026 (0y) | ||
| Jessica Bonita Sharer | Registered representative | Jun 2026 (0y) | ||
| Justin Olwig | Registered representative | Jun 2026 (0y) | ||
| Kimberly Casia Holloway | Registered representative | Jun 2026 (0y) | ||
| Logan Daniel Bylsma | Registered representative | Jun 2026 (0y) | ||
| Sevada Davoudi | Registered representative | Jun 2026 (0y) | ||
| Anthony Edwin Echang | Registered representative | Jun 2026 (0y) | ||
| Candice Paige Neel | Registered representative | Jun 2026 (0y) | ||
| Jalen Sparkman | Registered representative | Jun 2026 (0y) | ||
| James Ryan Stone | Registered representative | Jun 2026 (0y) | ||
| Kevin Philip Vansciver | Registered representative | Jun 2026 (0y) | ||
| Ryan D Chavez | Registered representative | CFP | Jun 2026 (0y) | |
| Tahisha Hall | Registered representative | Jun 2026 (0y) | ||
| Tyler Joseph Hinton | Registered representative | Jun 2026 (0y) | ||
| Tyler Lettieri | Registered representative | Jun 2026 (0y) | ||
| Daniel Martin Licata | Registered representative | Jun 2026 (0y) | ||
| Jorge A Valdes | Registered representative | Jun 2026 (0y) | ||
| Kendeicia Atheinia Stephenson | Registered representative | Jun 2026 (0y) | ||
| Sabah Siralkhatim Gassim Abdaullah | Registered representative | Jun 2026 (0y) | ||
| Tanya Martinez | Registered representative | Jun 2026 (0y) | ||
| Ashley S Hargrove | Registered representative | Jun 2026 (0y) | ||
| Anthony A. Linares | Registered representative | Jun 2026 (0y) | ||
| Cole James Barber | Registered representative | Jun 2026 (0y) | ||
| Elizabeth Catherine Russell | Registered representative | Jun 2026 (0y) | ||
| Jacob Wilhelm | Registered representative | Jun 2026 (0y) | ||
| John James Quinn | Registered representative | Jun 2026 (0y) | ||
| Odesseas Daramouskas | Registered representative | Jun 2026 (0y) | ||
| Passant Abbas | Registered representative | Jun 2026 (0y) | ||
| Sara Sharra | Registered representative | Jun 2026 (0y) | ||
| Jeremy Michael Aragon | Registered representative | Jun 2026 (0y) | ||
| Ruben Eliseo Galvan | Registered representative | Jun 2026 (0y) | ||
| Anne Elizabeth Bird | Registered representative | Jun 2026 (0y) | ||
| Billy Tan Chu | Registered representative | Jun 2026 (0y) | ||
| Carl Wayne Walker | Registered representative | Jun 2026 (0y) | ||
| John Philip Gerber | Registered representative | Jun 2026 (0y) | ||
| Jack Wormington | Registered representative | Jun 2026 (0y) | ||
| Nosheen Saqib Rizai | Registered representative | Jun 2026 (0y) | ||
| Ryan Patrick Burk | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Allison Schwarz | Registered representative | CFP | Jun 2026 (0y) | |
| Dylan Cole Franklin | Registered representative | Jun 2026 (0y) | ||
| Harry Pringle Hewes | Registered representative | Jun 2026 (0y) | ||
| Hyun Woo Daniel Hung | Registered representative | Jun 2026 (0y) | ||
| Jasmine Nicole Rodriguez | Registered representative | Jun 2026 (0y) | ||
| Jason Michael Abramowitz | Registered representative | Jun 2026 (0y) | ||
| Brandon James White | Registered representative | Jun 2026 (0y) | ||
| Daniel Frederick Dwyer | Registered representative | Jun 2026 (0y) | ||
| Erin Hofacket | Registered representative | Jun 2026 (0y) | ||
| Gregory John Cull | Registered representative | Jun 2026 (0y) | ||
| Itzel Goldsborough | Registered representative | Jun 2026 (0y) | ||
| Kathren Hsueh Wills | Registered representative | Jun 2026 (0y) | ||
| Kera Leigh Marconi | Registered representative | Jun 2026 (0y) | ||
| Marriann Daoud | Registered representative | Jun 2026 (0y) | ||
| Martese Wilkes | Registered representative | Jun 2026 (0y) | ||
| Nelly Regina Johnston | Registered representative | Jun 2026 (0y) | ||
| Zachary Flint Nagle | Registered representative | Jun 2026 (0y) | ||
| Brantley Wayne Deberry | Registered representative | Jun 2026 (0y) | ||
| Isaac Sergio Urbina | Registered representative | Jun 2026 (0y) | ||
| James Alexander Sanchez | Registered representative | Jun 2026 (0y) | ||
| Jason Matthew Adamcik | Registered representative | Jun 2026 (0y) | ||
| Andrew Hall | Registered representative | Jun 2026 (0y) | ||
| Cameron J. Walker | Registered representative | Jun 2026 (0y) | ||
| Jacob Monroe Cohen | Registered representative | Jun 2026 (0y) | ||
| Joshua Powell | Registered representative | Jun 2026 (0y) | ||
| Louis John Larosa | Registered representative | Jun 2026 (0y) | ||
| Martin H Goldenbaum | Registered representative | Jun 2026 (0y) | ||
| Melanie Winkle | Registered representative | Jun 2026 (0y) | ||
| Ohenebah Amoah Nkrumah | Registered representative | Jun 2026 (0y) | ||
| Amanee Galal Abdalla Ali | Registered representative | Jun 2026 (0y) | ||
| Anthony Joseph Delgado | Registered representative | Jun 2026 (0y) | ||
| Alvin Zheng | Registered representative | Jun 2026 (0y) | ||
| Diana Gislet Contreras Perez | Registered representative | Jun 2026 (0y) | ||
| Felix Thomas Becker | Registered representative | Jun 2026 (0y) | ||
| Joanne Heekyung Gong | Registered representative | Jun 2026 (0y) | ||
| Marcus Ryan Owens | Registered representative | Jun 2026 (0y) | ||
| Samuel Francis Storey | Registered representative | Jun 2026 (0y) | ||
| Cesar De Jesus Polanco Regalado | Registered representative | Jun 2026 (0y) | ||
| Codey N Kitagawa | Registered representative | Jun 2026 (0y) | ||
| Emily Jensina Scates | Registered representative | Jun 2026 (0y) | ||
| Heriberto Torres Jimenez | Registered representative | Jun 2026 (0y) | ||
| Joseph Daniel Sanchez | Registered representative | Jun 2026 (0y) | ||
| Julio Manuel Rivera | Registered representative | Jun 2026 (0y) | ||
| Kevin M Janke | Registered representative | Jun 2026 (0y) | ||
| Spencer Phillip Brief | Registered representative | Jun 2026 (0y) | ||
| Seung Yoo | Registered representative | Jun 2026 (0y) | ||
| Stephanie M. Pfister | Registered representative | Jun 2026 (0y) | ||
| Bryan Emerson Weidemann | Registered representative | Jul 2026 (0y) | ||
| Corbin Roberts Asay | Registered representative | Jul 2026 (0y) | ||
| Melinda Sue Dupler Whitmire | Registered representative | Jul 2026 (0y) | ||
| Natalie Baranes | Registered representative | Jul 2026 (0y) | ||
| Ashraf Farag Hassan | Registered representative | Jul 2026 (0y) | ||
| Blaize N. Kaduru | Registered representative | Jul 2026 (0y) | ||
| Brett Samuel Erwin | Registered representative | Jul 2026 (0y) | ||
| Elijah James J Brown | Registered representative | CFP | Jul 2026 (0y) | |
| Jackson Robert Gallagher | Registered representative | Jul 2026 (0y) | ||
| Kevin William Werdmuller | Registered representative | Jul 2026 (0y) | ||
| Lidija Jeric Hartman | Registered representative | Jul 2026 (0y) | ||
| Pamala Price | Registered representative | Jul 2026 (0y) | ||
| Garrett Jeffery Overton | Registered representative | Jul 2026 (0y) | ||
| Husnia Lutfi | Registered representative | Jul 2026 (0y) | ||
| Ricardo Nunez | Registered representative | Jul 2026 (0y) | ||
| Ryan Austin Spivak | Registered representative | Jul 2026 (0y) | ||
| Asgher Ali | Registered representative | Jul 2026 (0y) | ||
| Daniel P Lariccia | Registered representative | Jul 2026 (0y) | ||
| Enmanuel David Benavides Rodriguez | Registered representative | Jul 2026 (0y) | ||
| Ian Joseph Somogye | Registered representative | Jul 2026 (0y) | ||
| Jeffrey C Samsen | Registered representative | Jul 2026 (0y) | ||
| Jeffrey Lloyd Sheresky | Registered representative | Jul 2026 (0y) | ||
| Juliane Werner | Registered representative | Jul 2026 (0y) | ||
| Kenneth Tapley Sheresky | Registered representative | Jul 2026 (0y) | ||
| Lee Weston Salisbury | Registered representative | Jul 2026 (0y) | ||
| Patrick Thor | Registered representative | Jul 2026 (0y) | ||
| Peter Quoie | Registered representative | CFP | Jul 2026 (0y) | |
| Steven Robert Sheresky | Registered representative | Jul 2026 (0y) | ||
| Timothy Byron Davis | Registered representative | Jul 2026 (0y) | ||
| Cody Huckins | Registered representative | Chartered Financial Consultant | Jul 2026 (0y) | |
| Emily Elizabeth Wilson | Registered representative | Jul 2026 (0y) | ||
| Jorge Longueira | Registered representative | Jul 2026 (0y) | ||
| Kevin Ashe | Registered representative | Jul 2026 (0y) | ||
| Michael Garrett | Registered representative | Jul 2026 (0y) | ||
| Michelle Brianna Adams | Registered representative | Jul 2026 (0y) | ||
| Roger Eugene Nord | Registered representative | Jul 2026 (0y) | ||
| Stanley Carl Weeks | Registered representative | Jul 2026 (0y) | ||
| Stephen A Bejsiuk | Registered representative | Jul 2026 (0y) | ||
| Samantha Squires | Registered representative | Jul 2026 (0y) | ||
| Adam Alden Cheshire | Registered representative | Jul 2026 (0y) | ||
| Adam Joseph Kozuch | Registered representative | Jul 2026 (0y) | ||
| Arnold Lawrence Hochstadt | Registered representative | Jul 2026 (0y) | ||
| Blake Jonathan Dejonge | Registered representative | Jul 2026 (0y) | ||
| Brady Leverty | Registered representative | Jul 2026 (0y) | ||
| Cheree Michelle Costa | Registered representative | Jul 2026 (0y) | ||
| Erick Weeg | Registered representative | Jul 2026 (0y) | ||
| Indira Lowe | Registered representative | Jul 2026 (0y) | ||
| Jose Antonio Jaimes Hernandez | Registered representative | Jul 2026 (0y) | ||
| Joseph D Borg | Registered representative | Jul 2026 (0y) | ||
| Justin Lenarcic | Registered representative | Jul 2026 (0y) | ||
| Kevin Francis Schultz | Registered representative | Jul 2026 (0y) | ||
| Micah Joel Thompson | Registered representative | Jul 2026 (0y) | ||
| Michael Vatter | Registered representative | Jul 2026 (0y) | ||
| Vjollca Gjinolli | Registered representative | Jul 2026 (0y) | ||
| Benjamin Lee Robertson | Registered representative | Jul 2026 (0y) | ||
| Madison Buchea | Registered representative | Jul 2026 (0y) | ||
| Scott Charles Pospisil | Registered representative | Jul 2026 (0y) | ||
| Tashay Rayan Williams | Registered representative | Jul 2026 (0y) | ||
| Charles Shocklee | Registered representative | Jul 2026 (0y) | ||
| Janet Dara Walker | Registered representative | CFA | Jul 2026 (0y) | |
| Linh Tue Nguyen | Registered representative | Jul 2026 (0y) | ||
| Michael P Kuzik | Registered representative | Jul 2026 (0y) | ||
| Nicholas Blackwood | Registered representative | Jul 2026 (0y) | ||
| Nicholas C Diehl | Registered representative | Jul 2026 (0y) | ||
| Stephen Randall Mcnally | Registered representative | Jul 2026 (0y) | ||
| Taylor Douglas Streda | Registered representative | Jul 2026 (0y) | ||
| Vicki Kaye Barnes | Registered representative | Jul 2026 (0y) | ||
| Bymnet Tecle | Registered representative | Jul 2026 (0y) | ||
| Amita Sheth | Registered representative | Jul 2026 (0y) | ||
| Bryce Scharf | Registered representative | Jul 2026 (0y) | ||
| Charlotte Nicholas | Registered representative | Jul 2026 (0y) | ||
| John Barrows | Registered representative | Jul 2026 (0y) | ||
| Louis Thomas Rantz | Registered representative | Jul 2026 (0y) | ||
| Matthew T. Pileski | Registered representative | Jul 2026 (0y) | ||
| Nicholas King | Registered representative | Jul 2026 (0y) | ||
| Robert Warren Brooks | Registered representative | Jul 2026 (0y) | ||
| An Nguyen | Registered representative | Jul 2026 (0y) | ||
| Ernesto Jose Angueira | Registered representative | Jul 2026 (0y) | ||
| Garrett Snyder | Registered representative | Jul 2026 (0y) | ||
| James R Manis | Registered representative | Jul 2026 (0y) | ||
| Luciano Moreno | Registered representative | Jul 2026 (0y) | ||
| Prentice Eugene Parr | Registered representative | Jul 2026 (0y) | ||
| Tianna Symone Robinson | Registered representative | Jul 2026 (0y) | ||
| David Marc Aronson | Registered representative | Jul 2026 (0y) | ||
| Joe T Chan | Registered representative | Jul 2026 (0y) | ||
| John Robert Moncrieff | Registered representative | Jul 2026 (0y) | ||
| Kristen Ledbetter | Registered representative | CFP | Jul 2026 (0y) | |
| Michael J Squellati | Registered representative | Jul 2026 (0y) | ||
| Michael Teleso | Registered representative | Jul 2026 (0y) | ||
| Ryan Thomas Roach | Registered representative | Jul 2026 (0y) | ||
| Sam Hassas Roudsari | Registered representative | Jul 2026 (0y) | ||
| Alejandra Victoria Paris | Registered representative | Jul 2026 (0y) | ||
| Alejandro Eslava Cortes | Registered representative | Jul 2026 (0y) | ||
| Daniel Sobarzo | Registered representative | Jul 2026 (0y) | ||
| Gabriel Todd Berger | Registered representative | Jul 2026 (0y) | ||
| Hannah Wilson | Registered representative | Jul 2026 (0y) | ||
| Joshua Daniel Amundsen | Registered representative | Jul 2026 (0y) | ||
| Karlie Ruda | Registered representative | Jul 2026 (0y) | ||
| Paul Seibt | Registered representative | Jul 2026 (0y) | ||
| Purnima Kadiya Poojary | Registered representative | Jul 2026 (0y) | ||
| Samuel Patrick Keeler | Registered representative | Jul 2026 (0y) | ||
| Tonya Hernandez | Registered representative | Jul 2026 (0y) | ||
| Arif Lallmohamed | Registered representative | Jul 2026 (0y) | ||
| Bronwyn Anderson Flower | Registered representative | Jul 2026 (0y) | ||
| Christina Sculley | Registered representative | Jul 2026 (0y) | ||
| Joshua Hudgins | Registered representative | Jul 2026 (0y) | ||
| Karl Edward Fiebiger | Registered representative | Jul 2026 (0y) | ||
| Landen Talber | Registered representative | Jul 2026 (0y) | ||
| Nathan Andrew Zeichner | Registered representative | Jul 2026 (0y) | ||
| Tri Tam Nguyen | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Wachovia Securities Financial Holdings, Llc | Sole Member | Dec 2003 | A | 75% or more |
| Everen Capital Corporation | Share Holder | Aug 2010 | B | ≈ 56.25% – 100% via Wachovia Securities Financial Holdings, Llc |
| Wells Fargo & Company | Share Holder | Sep 1998 | B | ≈ 31.64% – 100% via Wfc Holdings, Llc |
| Wfc Holdings, Llc | Share Holder | Dec 2017 | B | ≈ 42.19% – 100% via Everen Capital Corporation |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Everen Capital Corporation: 75% – 100% of Wachovia Securities Financial Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Wells Fargo & Company: 75% – 100% of Wfc Holdings, Llc × 75% – 100% of Everen Capital Corporation × 75% – 100% of Wachovia Securities Financial Holdings, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Wfc Holdings, Llc: 75% – 100% of Everen Capital Corporation × 75% – 100% of Wachovia Securities Financial Holdings, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Utah Sheet Metal Pension Trust | Utah Sheet Metal Pension Trust | 910 | $275M | 11/01/2024 |
| Jeffords Steel And Engineering Company 401(k) Profit Sharing Plan | Jeffords Steel And Specialty Company, Inc. | 98 | $11.2M | 10/01/2024 |
| Alvin H. Butz, Inc. 401(k) Profit Sharing Plan | Alvin H. Butz, Inc. | 56 | $54.2M | 10/01/2024 |
| Children's Hope Alliance Tax Deferred Annuity Plan | Childrens Hope Alliance | 317 | $9.3M | 10/01/2024 |
| Grand Lodge Of Masons Or Masonic Home, Inc. Defined Benefit Plan | Grand Lodge Of Masons In Massachusetts | 0 | $0 | 09/01/2024 |
| Kenmark Optical, Inc. 401(k) Profit Sharing Plan | Kenmark Optical, Inc. | 99 | $9.3M | 09/01/2024 |
| Cascade Engineering, Inc. Retirement Plan | Cascade Engineering, Inc. | 394 | $66.4M | 09/01/2024 |
| Hawaii Insulators Supplemental Pension Plan | Board Of Trustees Of Hawaii Insulators Supplemental Pension Trust | 99 | $32.6M | 09/01/2024 |
| Hawaii Insulators Pension Plan | Board Of Trustees Of Hawaii Insulators Pension Trust | 83 | $15.0M | 09/01/2024 |
| Agri Profit Sharing Plan | American Implement, Inc. | 357 | $53.8M | 09/01/2024 |
| Elizabeth Carbide Die Co. Inc. Profit Sharing Plan | Elizabeth Carbide Die Co., Inc. | 0 | $0 | 07/01/2024 |
| Hammill Manufacturing Company 401(k) Plan | Hammill Manufacturing Company | 130 | $15.4M | 07/01/2024 |
| Adagio Health, Inc. 403(b) Plan | Adagio Health, Inc. | 173 | $4.1M | 07/01/2024 |
| Dayspring Academy 401(k) Retirement Plan | Dayspring Academy | 308 | $3.6M | 07/01/2024 |
| Pathways Inc Retirement And Employee Savings Plan | Pathways Inc. | 145 | $4.5M | 07/01/2024 |
| Exhibit Works, Inc. Salaried Employees Savings Plan | Exhibit Works, Inc. | 276 | $31.9M | 07/01/2024 |
| Employee Benefit Plan Of Springvale Health Centers, Inc. | Springvale Health Centers, Inc. | 112 | $2.4M | 07/01/2024 |
| Jewish Family Service Of San Diego Flexible Contribution Retirement Plan | Jewish Family Service Of San Diego | 596 | $25.5M | 07/01/2024 |
| Barry Robinson Center Matching Tax Deferred Annuity Plan | Barry Robinson Center | 281 | $6.7M | 07/01/2024 |
| American Farm Bureau Federation Employees Savings Trust | American Farm Bureau Federation | 99 | $23.6M | 07/01/2024 |
| Nadap, Inc. Retirement Plan | Nadap, Inc. | 222 | $12.2M | 07/01/2024 |
| 403(b) Thrift Plan For University Settlement Society Of New York | University Settlement Society Of New York | 680 | $26.4M | 07/01/2024 |
| Pension Plan For Employees Of National Fruit Product Company, Inc. | National Fruit Product Co., Inc. | 32 | $17.5M | 07/01/2024 |
| Dominican Village, Inc. 401(k) Plan | Dominican Village, Inc. | 84 | $2.2M | 07/01/2024 |
| Babcock Neighborhood School 401(k) Plan | Babcock Neighborhood School, Inc. | 138 | $1.8M | 07/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Foundations & charities (5)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Cfm Foundation | Public charity | $111M | 12/31/2024 |
| University Of Houston Foundation | Public charity | $215M | 08/31/2024 |
| Barlow Group | Public charity | $96.3M | 08/31/2024 |
| National Peace Officers & Fire Fighters Benefit Association | Public charity | $182M | 06/30/2024 |
| Ufcw Local 1776 & Participating Employers Health & Welfare Fund | Public charity | $88.4M | 04/30/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/06/2026 | 35.4 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Event Detail: WACHOVIA BANK WAS CHARGED WITH ONE FELONY COUNT FOR FAILING TO ESTABLISH AND MAINTAIN AN EFFECTIVE ANTI-MONEY LAUNDERING PROGRAM, IN VIOLATION OF TITLE 31, UNITED STATES CODE, SECTIONS 5318(H)(1) AND 5322(A). WACHOVIA BANK ENTERED INTO A DEFERRED PROSECUTION AGREEMENT RELATING TO THE CHARGE IN LIEU OF ENTERING A PLEA. THE CHARGE RELATED TO FOREIGN CORRESPONDENT BANKING SERVICES. Status: Final Disposition: WACHOVIA BANK ENTERED INTO A DEFERRED PROSECUTION AGREEMENT ("AGREEMENT") WITH THE U.S. ATTORNEY'S OFFICE AND THE U.S. DEPARTMENT OF JUSTICE (COLLECTIVELY, THE "UNITED STATES") ON MARCH 16, 2010. PURSUANT TO THE AGREEMENT, WACHOVIA BANK SETTLED CIVIL AND CRIMINAL FORFEITURE CLAIMS FOR THE AMOUNT OF $110 MILLION. WACHOVIA BANK ALSO AGREED TO PAY A FINE OF $50 MILLION TO THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ("OCC"). THE FORFEITURE AND FINE WERE PAID ON OR BEFORE MARCH 21, 2010. WACHOVIA BANK ALSO AGREED TO IMPLEMENT CERTAIN REMEDIAL ACTIONS AND TO ABIDE BY ANY ORDERS AND REGULATIONS OF THE OCC AND THE DEPARTMENT OF THE TREASURY, FINANCIAL CRIMES ENFORCEMENT NETWORK. WELLS FARGO BANK AGREED TO BE BOUND BY THE TERMS AND CONDITIONS OF THE AGREEMENT FOLLOWING THE MERGER. THE UNITED STATES AGREED THAT PROSECUTION OF WACHOVIA BANK BE DEFERRED FOR A PERIOD OF TWELVE MONTHS AND THAT, IF WELLS FARGO BANK IS IN COMPLIANCE IN ALL MATERIAL ASPECTS WITH ALL OF ITS OBLIGATIONS UNDER THE AGREEMENT, THE UNITED STATES, WITHIN THIRTY DAYS OF THE EXPIRATION OF THAT PERIOD, WOULD SEEK DISMISSAL WITH PREJUDICE OF THE CHARGE. ON APRIL 6, 2011, THE UNITED STATES DISMISSED THE FELONY CHARGE FOR FAILING TO ESTABLISH AND MAINTAIN AN EFFECTIVE ANTI-MONEY LAUNDERING PROGRAM, IN VIOLATION OF TITLE 31, UNITED STATES CODE, SECTIONS 5318(H)(1) AND 5322(A). THE UNITED STATES FOUND THAT WELLS FARGO BANK WAS IN COMPLIANCE IN ALL MATERIAL ASPECTS WITH ALL OF ITS OBLIGATIONS UNDER THE DEFERRED PROSECUTION AGREEMENT. Summary: WACHOVIA BANK ENTERED INTO THE DEFERRED PROSECUTION AGREEMENT DESCRIBED IN 4, ABOVE, AS THE RESULT OF AN INVESTIGATION INTO WACHOVIA'S TRANSACTIONS WITH MEXICAN CURRENCY EXCHANGE HOUSES, COMMONLY KNOWN AS "CASAS DE CAMBIO," FROM MAY 2003 THROUGH JUNE 2008. WACHOVIA BANK WAS CHARGED WITH FAILING TO ESTABLISH AND MAINTAIN AN EFFECTIVE ANTI-MONEY LAUNDERING PROGRAM. ON APRIL 6, 2011, THE UNITED STATES DISMISSED THE FELONY CHARGE FOR FAILING TO ESTABLISH AND MAINTAIN AN EFFECTIVE ANTI-MONEY LAUNDERING PROGRAM, IN VIOLATION OF TITLE 31, UNITED STATES CODE, SECTIONS 5318(H)(1) AND 5322(A). THE UNITED STATES FOUND THAT WELLS FARGO BANK WAS IN COMPLIANCE IN ALL MATERIAL ASPECTS WITH ALL OF ITS OBLIGATIONS UNDER THE DEFERRED PROSECUTION AGREEMENT.
Event Detail: A) PRETRIAL, C)DUI AND CHILD ENDANGERMENT 1 COUNT, D) PLEAD NOT GUILTY FUTURE COURT DATE Status: Pending Summary: COUNTY ALLEGES I WAS DRIVING UNDER THE INFLUENCE OF ALCOHOL WITH MY 13 YEAR OLD DAUGHTER AND 12 YEAR OLD SON IN VEHICLE. I WILL BE PLEADING NOT GUILTY TO THIS CHARGE WHEN I ATTEND COURT. DUE TO CORONA VIRUS ALL COURT DATES HAVE BEEN POSTPONED UNTIL FURTHER NOTICE. PRESENTLY, I HAVE NOT BEEN TO MY FIRST COURT APPEARANCE. WAITING TO HEAR FROM COUNTY ON WHAT DATE COURT WILL BE RESET TO.
Allegations: THE COMPLAINT ALLEGES THAT WELLS FARGO BANK, N.A. ENGAGED IN MISCONDUCT IN CONNECTION WITH ITS PARTICIPATION IN THE FEDERAL HOUSING ADMINISTRATION (FHA) DIRECT ENDORSEMENT LENDER PROGRAM AND THAT, AS A RESULT OF FALSE CERTIFICATIONS, FHA HAS PAID HUNDREDS OF MILLIONS OF DOLLARS IN INSURANCE CLAIMS ON THOUSANDS OF MORTGAGES THAT DEFAULTED. Status: Final Summary: WELLS FARGO BANK, N.A. ("WFB") ENTERED INTO A SETTLEMENT WITH THE UNITED STATES OF AMERICA, AS PART OF A CIVIL COURT ACTION FILED IN THE US DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK, #12 CIV. 7527 (JMF)(JCF), WHEREIN WFB, OR A PREDECESSOR, AGREED THAT BETWEEN MAY 1, 2001 AND DECEMBER 31, 2008, FAILED TO REPORT TO HUD CERTAIN FHA LOANS THAT THE BANK'S QUALITY ASSURANCE PERSONNEL HAD DETERMINED DID NOT MEET HUD UNDERWRITING REQUIREMENTS, AND WHICH WERE NOT ELIGIBLE FOR FHA INSURANCE. WFB AGREED TO PAY THE SUM OF $1,200,000,000 TO THE US AS PART OF THE SETTLEMENT AGREEMENT.
Allegations: THE CALIFORNIA CORPORATIONS COMMISSIONER ALLEGES A FORMER BRANCH MANAGER FAILED TO SUPERVISE A FORMER REGISTERED REPRESENTATIVE WHO MISAPPROPRIATED MONEY FROM HIS CLIENTS, ALL OF WHOM HAVE BEEN REIMBURSED BY THE FIRM. Status: Final Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, A CONSENT ORDER WAS AGREED TO BY THE FIRM.
Summary: DRP FILED IN ERROR UNDER CONTROL AFFILIATE 126292. THE DRP SHOULD BE DELETED.
Allegations: THE COUNTY SOUGHT TO RECOVER DAMAGES ARISING FROM CONDUCT OF A FORMER FIRST FIDELITY BANK EMPLOYEE WHO ENTERED INTO A KICKBACK SCHEME WITH THE TREASURER OF ESSEX COUNTY IN 1987 TO STEER BUSINESS TO FIRST FIDELITY, WHICH SERVED AS UNDERWRITER FOR THREE BOND ISSUES DONE BY THE COUNTY IN 1987 AND 1989. Status: Final Summary: THE MATTER WAS SETTLED BY PAYMENT TO THE COUNTY BY WACHOVIA OF $2.8 MILLION. IN 1996, FIRST FIDELITY ENTERED INTO A SETTLEMENT WITH THE SEC PROVIDING FOR DISGORGEMENT OF ILL-GOTTEN GAINS RELATING TO A KICKBACK SCHEME ENTERED INTO BY ONE OF ITS FORMER EMPLOYEES TO OBTAIN PUBLIC FINANCE BUSINESS. THIS CASE WAS FILED BY ESSEX COUNTY IN OCTOBER OF 1996. IN SEPTEMBER OF 2002, THE CASE WAS TRIED TO A JURY, WHICH RETURNED A VERDICT FOR THE COUNTY OF $600,000 ON AN UNJUST ENRICHMENT CLAIM. PRE-JUDGEMENT INTEREST WAS ASSESSED FROM 1989 FOR A TOTAL OF $1,130,663.04. PLAINTIFF APPEALED AND THE BANK CROSS-APPEALED. THE APPELLATE COURT RULED ON DECEMBER 22, 2004, ORDERING THAT THE BANK PAY DISGORGEMENT OF FEES FOR ALL THREE TRANSACTIONS ($1,568,551), BUT ASSESSING INTEREST ONLY BACK TO THE FILING DATE. ON APPEAL, THE NEW JERSEY SUPREME COURT HELD ON 1/27/06 THAT THE COUNTY WAS ENTITLED TO DISGORGEMENT ON ALL THREE DEALS BUT ONLY THE PORTION THAT WASN'T PAID TO OTHER UNDERWRITERS. INTEREST WAS ASSESSED BACK TO THE DATE OF THE DEALS. ON 2/3/06 THE COUNTY FILED A MOTION FOR RECONSIDERATION, WHICH WAS DENIED ON 3/16/06. PRIOR TO THE CASE BEING RE-TRIED AS INSTRUCTED BY THE SUPREME COURT, THE PARTIES SETTLED AS DESCRIBED ABOVE.
Allegations: THE COMPLAINT ALLEGES THAT THE REFERENCED AFFILIATES: ENGAGED IN UNFAIR AND DECEPTIVE CONSUMER PRACTICES WITH RESPECT TO LOAN SERVICING, FORECLOSURE PROCEEDINGS AND LOAN ORIGINATIONS; VIOLATED THE FALSE CLAIMS ACT, THE FINANCIAL INSTITUTIONS REFORM AND RECOVERY ACT OF 1989 AND THE SERVICEMEMBERS CIVIL RELIEF ACT; AND ENGAGED IN BANKRUPTCY MISCONDUCT. Status: Final Summary: THE COMPLAINT RAISED NUMEROUS ALLEGATIONS RELATING TO THE AFFILIATES ACTIONS IN CONNECTION WITH THE ORIGINATION, SERVICING AND FORECLOSURE OF RESIDENTIAL MORTGAGE LOANS. THE COMPLAINT FURTHER ALLEGES THE ACTIONS OF THE AFFILIATES RESULTED IN INJURIES TO THE STATES AND CITIZENS OF THE STATES WHO HAD RESIDENTIAL MORTGAGE LOANS. THE CIRCUMSTANCES RELATED TO THE AFFILIATES ACTIVITIES IN CONNECTION WITH NUMEROUS FEDERAL RESIDENTIAL LOAN PROGRAMS, THE SINGLE FAMILY MORTGAGE INDUSTRY AND THE UNITED STATES STIMULUS RESCUE EFFORTS TO STABILIZE THE HOUSING AND CREDIT MARKETS. THE CONSENT JUDGEMENT WAS AGREED TO WITHOUT THE AFFILIATES ADMITTING TO THE ALLEGATIONS, EXCEPT TO THE EXTENT NECESSARY TO ESTABLISH JURISDICTION.
Allegations: THE COMPLAINT ALLEGES THAT THE REFERENCED AFFILIATES VIOLATED THE OKLAHOMA CONSUMER PROTECTION ACT BY FAILING TO TAKE REQUIRED ACTION AND BY TAKING CERTAIN PROHIBITED ACTIONS IN CONNECTION WITH RESIDENTIAL MORTGAGE LOANS. Status: Final Summary: THE COMPLAINT RAISED NUMEROUS ALLEGATIONS RELATING TO THE AFFILIATES ACTIONS IN CONNECTION WITH THE ORIGINATION, SERVICING AND FORECLOSURE OF RESIDENTIAL MORTGAGE LOANS. THE COMPLAINT FURTHER ALLEGES THAT THESE ACTIVITIES RESULTED IN THE VIOLATION OF THE OKLAHOMA CONSUMER PROTECTION ACT. THE CONSENT JUDGMENT WAS AGREED TO BY THE FFILIATES WITHOUT THE AFFILIATES AGREEING TO THE ALLEGATIONS, EXCEPT TO THE EXTENT NECESSARY TO ESTABLISH JURISDICTION.
Allegations: THE COMPLAINT ALLEGES THAT WELLS FARGO PERSONNEL ENGAGED IN VARIOUS ALLEGEDLY IMPROPER ACTS AND PRACTICES DESIGNED TO MEET SALES GOALS AND QUOTAS, SUCH AS OPENING ACCOUNTS WITHOUT CUSTOMER AUTHORIZATION, MISREPRESENTING THAT CERTAIN PRODUCTS WERE AVAILABLE ONLY IN PACKAGES WITH OTHER PRODUCTS, MISUSING CUSTOMER DATA IN CONNECTION WITH THE FOREGOING, AND NOT DISCLOSING SUCH ALLEGED MISUSE TO CUSTOMERS. THE COMPLAINT ALLEGES THAT CUSTOMERS WERE HARMED BY, AMONG OTHER THINGS, INCURRING UNAUTHORIZED FEES. Status: Final
Allegations: THE UNITED STATES ATTORNEY'S OFFICE FOR THE SOUTHERN DISTRICT OF NEW YORK ALLEGED THAT FROM 2010 THROUGH 2017, WELLS FARGO BANK, N.A. DEFRAUDED 771 COMMERCIAL CUSTOMERS WHO USED THE BANK'S FX SERVICES BY MISREPRESENTING FX PRICING LEVELS AND ENGAGING IN OTHER IMPROPER FX PRICING PRACTICES IN VIOLATION OF THE MAIL FRAUD, WIRE FRAUD, AND BANK FRAUD STATUTES 18 U.S.C. §§ 1341, 1343, 1344. Status: Final
Allegations: THE ONLY REMAINING ALLEGATION IN THIS LITIGATION IS THAT WELLS FARGO BANK VIOLATED THE PROVISIONS OF CALIFORNIA BUSINESS & PROFESSIONS CODE SECTION 17200 ET SEQ. RELATING TO ALLEGED FRAUDULENT MISREPRESENTATIONS AS TO THE ORDER BY WHICH THE BANK POSTED ITEMS TO CONSUMER DEPOSIT ACCOUNTS IN THE STATE OF CALIFORNIA. Status: Final Summary: WELLS FARGO BANK APPEALED TO THE UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT WITH THE INJUNCTION APPEALED AUGUST 2, 2013 AND THE BALANCE OF THE MAY 14,2013 ORDER WAS APPEALED AUGUST 9, 2013. WELLS FARGO'S APPEAL WAS UNSUCCESSFUL AND THE UNITED STATES SUPREME COURT DECLINED TO HEAR THE CASE IN APRIL 2016. AS A RESULT, WELLS FARGO PAID THE JUDGMENT IN JUNE 2016.
Allegations: SEC LITIGATION RELEASE 20885, FEBRUARY 5, 2009: SECTION 15(C) OF THE SECURITIES EXCHANGE ACT OF 1934 - THE SECURITIES AND EXCHANGE COMMISSION ANNOUNCED A SETTLEMENT WITH WACHOVIA SECURITIES, LLC THAT WILL PROVIDE MORE THAN $7 BILLION IN LIQUIDITY TO THOUSANDS OF CUSTOMERS WHO INVESTED IN AUCTION RATE SECURITIES (ARS) BEFORE THE MARKET FOR THOSE SECURITIES COLLAPSED. THE SETTLEMENT RESOLVES THE SEC'S CHARGES THAT WACHOVIA MISLED INVESTORS REGARDING THE LIQUIDITY RISKS ASSOCIATED WITH ARS THAT IT UNDERWROTE, MARKETED AND SOLD. THE SEC'S COMPLAINT ALLEGES THAT WACHOVIA AND ANOTHER FIRM, WHOSE BROKER-DEALER OPERATIONS WERE CONSOLIDATED INTO WACHOVIA MISREPRESENTED TO CUSTOMERS THAT ARS WERE SAFE, HIGHLY LIQUID INVESTMENTS THAT WERE COMPARABLE TO CASH OR MONEY MARKET INSTRUMENTS. ACCORDING TO THE SEC'S COMPLAINT, WACHOVIA REINFORCED THE PERCEPTION OF LIQUIDITY BY ROUTINELY PURCHASING ARS FROM THE OTHER FIRM'S CUSTOMERS BETWEEN AUCTIONS, WITHOUT TELLING CUSTOMERS THAT WACHOVIA'S WILLINGNESS TO DO SO DEPENDED UPON THE CONTINUED SUCCESS OF THE AUCTIONS. THE SEC'S COMPLAINT ALLEGES THAT WACHOVIA BECAME AWARE OF MOUNTING EVIDENCE THAT PUT THE FIRM ON NOTICE THAT THE RISK OF AUCTION FAILURES HAD MATERIALLY INCREASED. WACHOVIA, NEVERTHELESS, CONTINUED TO MARKET ARS TO ITS CUSTOMERS AS HIGHLY LIQUID INVESTMENTS. WACHOVIA FOLLOWED THE LEAD OF OTHER BROKER-DEALERS AND DECIDED TO STOP SUPPORTING AUCTIONS. WITHOUT BROKER-DEALER SUPPORT, ARS AUCTIONS FAILED AND THOUSANDS OF WACHOVIA'S CUSTOMERS WERE LEFT HOLDING BILLIONS OF DOLLARS IN ILLIQUID ARS, WITHOUT ANY PRACTICAL MEANS OF REDEEMING, SELLING OR DERIVING VALUE FROM THEM. Status: Final Summary: SEC LITIGATION RELEASE 21585, JUNE 30, 2010: THE SECURITIES AND EXCHANGE COMMISSION ANNOUNCED THAT WACHOVIA SECURITIES LLC THAT SETTLED THE COMMISSION'S AUCTION RATE SECURITIES (ARS) CHARGES AGAINST IT HAS SATISFIED ITS OBLIGATIONS UNDER THE SETTLEMENT. WACHOVIA WAS REQUIRED TO OFFER TO PURCHASE ARS AT PAR FROM INDIVIDUAL, CHARITABLE, AND SMALL BUSINESS CUSTOMERS. WACHOVIA ALSO AGREED TO OFFER TO PURCHASE ARS FROM ALL OF ITS INSTITUTIONAL CUSTOMERS AS WELL. NEARLY 100% OF THESE CUSTOMERS HAVE ACCEPTED THE OFFER. WACHOVIA PURCHASED ARS FROM ITS ELIGIBLE CUSTOMERS IN THE AMOUNT OF $7.45 BILLION. WACHOVIA ALSO MET ITS OTHER SETTLEMENT OBLIGATIONS, INCLUDING COMPENSATING INVESTORS WHO SOLD ARS BELOW PAR, REIMBURSING INVESTORS FOR EXCESS INTEREST COSTS ASSOCIATED WITH LOANS TAKEN OUT DUE TO ARS ILLIQUIDITY, AND PARTICIPATING IN SPECIAL ARBITRATION PROCEEDINGS BEFORE THE FINANCIAL INDUSTRY REGULATORY AUTHORITY. THE FIRM ALSO SUBMITTED PERIODIC REPORTS TO, AND MET QUARTERLY WITH, SEC STAFF REGARDING ITS PROGRESS ON MEETING THE SETTLEMENT OBLIGATIONS. TO ENSURE COMPLIANCE WITH THE TERMS, THE SETTLEMENT PROVIDED FOR A POTENTIAL DEFERRED PENALTY IF THE FIRM DID NOT MEET ITS SETTLEMENT OBLIGATIONS. THE SEC HAS DETERMINED THAT BASED ON THE FIRM'S COMPLIANCE WITH THE SETTLEMENT, AS WELL AS OTHER FACTORS, NO PENALTIES WILL BE PURSUED.
Allegations: THE COMPLAINT ALLEGES THAT, DURING AND BETWEEN 2004 AND 2009, THE REFERENCED CONTROL AFFILIATE ENGAGED IN A PATTERN OR PRACTICE OF DISCRIMINATION ON THE BASIS OF RACE AND NATIONAL ORIGIN IN RESIDENTIAL MORTGAGE LENDING BY ALLOWING EMPLOYEES TO MAKE DECISIONS ABOUT THE TYPE OF LOAN PRODUCT OFFERED AND THE LOAN PRICE IN A MANNER DISCONNECTED FROM OBJECTIVE CRITERIA LIKE CREDIT RISK, THAT POLICIES SET UP FINANCIAL INCENTIVES FOR EMPLOYEES AND MORTGAGE BROKER'S TO IMPOSE UNFAVORABLE TERMS, AND THAT THE POLICIES LACKED SAFEGUARDS TO PREVENT AND REMEDY RACIAL AND ETHNIC DISPARITIES. Status: Final Summary: THE COMPLAINT ALLEGES THAT THE REFERENCED CONTROL AFFILIATE DISCRIMINATED AGAINST AFRICAN AMERICAN AND HISPANIC BORROWERS IN ITS RESIDENTIAL MORTGAGE LENDING OPERATION; AFRICAN AMERICAN AND HISPANIC BORROWERS RECEIVED SUBPRIME, RATHER THAN PRIME, LOANS AND THAT SOME PAID HIGHER FEES AND COSTS BECAUSE OF THEIR RACE OR NATIONAL ORIGIN; AND WELLS FARGO'S POLICIES IN EFFECT BETWEEN 2004 AND 2009 ALLOWED EMPLOYEES TO MAKE DECISIONS ABOUT THE TYPE OF LOAN PRODUCT OFFERED AND THE LOAN PRICE IN A MANNER DISCONNECTED FROM OBJECTIVE CRITERIA LIKE CREDIT RISK, THAT THESE POLICIES SET UP FINANCIAL INCENTIVES FOR EMPLOYEES AND MORTGAGE BROKERS TO IMPOSE UNFAVORABLE TERMS, AND THAT THE POLICIES LACKED SAFEGUARDS TO PREVENT AND REMEDY RACIAL AND ETHNIC DISPARITIES. WELLS FARGO WILL MAINTAIN ITS POLICIES THAT DISCONNECT COMPENSATION FROM A LOAN'S TERMS AND CONDITIONS (IMPLEMENTED AFTER THE EVENTS IN THE ALLEGED COMPLAINT), PROVIDE TRAINING AND ASSURE COMPLIANCE, THROUGH MONITORING AND REGULAR REPORTING TO THE UNITED STATES. THE CONSENT JUDGMENT WAS AGREED TO WITHOUT THE CONTROL AFFILIATE'S ADMITTING TO THE ALLEGATIONS IN THE COMPLAINT.
Allegations: THE COMPLAINT ALLEGES FROM 2009 THROUGH 2013, GENUINE TITLE, LLC PROVIDED WELLS FARGO LOAN OFFICERS MARKETING SERVICES THAT ASSISTED THE LOAN OFFICERS IN GENERATING BUSINESS AND INCREASING THE NUMBER OF LOANS WELLS FARGO ORIGINATED OR FINANCED. THE COMPLAINT ALLEGES THAT UNDER AGREEMENTS OR UNDERSTANDING BETWEEN GENUINE TITLE AND THE LOAN OFFICERS, THE LOAN OFFICERS REFERRED SETTLEMENT SERVICE BUSINESS TO GENUINE TITLE. Status: Final Summary: WELLS FARGO BANK, N.A., NEITHER ADMITS OR DENIES ANY ALLEGATIONS EXCEPT TO ESTABLISH THE COURT'S JURISDICTION OVER WELLS FARGO AND THE SUBJECT MATTER. WELLS FARGO BANK, N.A. AGREES TO THE ENTRY OF THE ORDER IN THE PUBLIC INTEREST.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. (WFBNA) CONSENTS TO THE FINDING THAT BETWEEN JANUARY 1, 2008 AND JULY 1, 2015, WFBNA VIOLATED THE SERVICEMEMBER CIVIL RELEIF ACT (SCRA) BY FAILING TO OBTAIN COURT ORDERS PRIOR TO REPOSSESSING SERVICES MEMBER'S AUTOMOBILES. Status: Final Summary: N/A
Allegations: THE SEC ALLEGED FRAUDULENT BIDDING PRACTICES, FROM AT LEAST 1997 THROUGH AT LEAST 2005, BY WACHOVIA BANK, N.A. ("WACHOVIA BANK"), PREDECESSOR TO WELLS FARGO BANK, N.A., INVOLVING THE TEMPORARY INVESTMENT OF PROCEEDS FROM THE SALE OF TAX-EXEMPT MUNICIPAL SECURITIES IN CERTAIN INVESTMENT INSTRUMENTS BY STATE AND LOCAL GOVERNMENTAL ENTITIES, AFFECTING THE PRICES OF THE INVESTMENT INSTRUMENTS, DEPRIVING MUNICIPALITIES OF A CONCLUSIVE PRESUMPTION THAT THEIR INVESTMENT INSTRUMENTS WERE PURCHASED AT FAIR MARKET VALUE AND/OR JEOPARDIZING THE TAX-EXEMPT STATUS OF THE UNDERLYING MUNICIPAL SECURITIES. Status: Final Summary: THE SEC ALLEGED THAT WACHOVIA BANK WON BIDS FOR THE TEMPORARY INVESTMENT OF PROCEEDS FROM THE SALE OF TAX-EXEMPT MUNICIPAL SECURITIES BECAUSE IT OBTAINED ADVANCE INFORMATION CONCERNING COMPETING BIDDERS FROM BIDDING AGENTS WHO ACTED ON BEHALF OF THE MUNICIPALITIES AND/OR BECAUSE BIDDING AGENTS SET UP THE BIDDING PROCESS TO ENABLE WACHOVIA BANK TO WIN BY DELIBERATELY OBTAINING OFF-MARKET NON-WINNING BIDS FROM OTHER BIDDERS. THE SEC ALSO ALLEGED THAT WACHOVIA BANK FACILITATED WINNING BIDS BY OTHER BIDDERS BY DELIBERATELY SUBMITTING PURPOSELY NON-WINNING BIDS TO BIDDING AGENTS. THE SEC ALLEGED THAT WACHOVIA BANK MADE MATERIAL MISREPRESENTATIONS BY, AMONG OTHER THINGS, EXECUTING FALSE CERTIFICATIONS THAT ITS BIDS WERE THE PRODUCT OF A BONA FIDE SOLICITATION AND REFLECTED FAIR MARKET VALUE FOR THE PURCHASE OF THE REINVESTMENT INSTRUMENT. WELLS FARGO BANK, N.A. RESOLVED THIS MATTER BY AGREEING TO THE SANCTIONS AND RESTITUTION OUTLINED ABOVE.
Allegations: FAILURE TO SUPERVISE DECEPTIVE OR FRAUDULENT SECURITIES TRANSACTIONS. **AMENDED NOTICE OF HEARING SECURITIES FRAUD. ALLEGATIONS ADDED 1/4/2008 - AMENDED NOTICE OF HEARING SECURITIES FRAUD 1) SUZANNE WIEGAND ENGAGED IN FRAUDULENT AND/OR DECEPTIVE SECURITIES TRANSACTIONS BY ACTING AS THE SALESPERSON OR INVESTMENT ADVISOR REP FOR SEVERAL PENSION FUND ACCOUNTS FOR WHICH HER FATHER WAS THE TRUSTEE AND WHO DIRECTED TRANSACTIONS TO HER ACCOUNT FOR PURPOSES OF GENERALING COMMISSION 2) A.G. EDWARDS (NOT KNOW AS WACHOVIA SECURITIES, LLC) KNEW OR SHOULD HAVE KNOWN OF THE ABOVE ACTIVITIES AND FAILED TO TAKE REASONABLE SUPERVISORY STEPS TO PREVENT OR STOP THE ILLEGAL ACTIVITIES Status: Final Sanction Detail: ORDER OF DISMISSAL. Summary: NOTICE OF HEARING WAS ISSUED MAY 18, 2007. AMENDED NOTICE OF HEARING WAS ISSUED OCTOBER 10, 2007. SECOND AMENDED NOTICE OF HEARING WAS ISSUED JANUARY 4, 2008. THE HEARING IS SCHEDULED FOR APRIL 15, 2008. CONTACT (217) 785-4947
Allegations: ON 7/23/08, WSLLC RECEIVED A WELLS LETTER FROM FINRA RELATING TO AN EMPLOYEE'S ALLEGED FAILURE TO OBTAIN REQUIRED LICENSES IN A TIMELY MANNER IN VIOLATION OF FINRA RULES AND FIRM POLICIES. Status: Pending Summary: THIS DRP SHOULD BE COMBINED WITH OCCURENCE 1426665
Allegations: ON AUGUST 11, 2008, WACHOVIA SECURITIES RECEIVED AN ORDER TO SHOW CAUSE FROM THE STATE OF SOUTH DAKOTA DATED AUGUST 7, 2008, COMMENCING DISCIPLINARY PROCEEDINGS AGAINST THE FIRM BASED ON THE STATE'S INVESTIGATION OF TWO SEPARATE CUSTOMER SALES PRACTICE COMPLAINTS. Status: Final Sanction Detail: THE FIRM AGREED TO THE FOLLOWING ADDITIONAL CONDITIONS: (1) WELLS FARGO ADVISORS ("WFA") TO PROVIDE ANNUITY WORKSHEETS IN LIEU OF BROKER NOTES FOR THE THREE FAS UNDER REVIEW AND TO PLACE FAS ON HEIGHTENED SUPERVISION FOR ONE YEAR; (2) WFA TO PROVIDE THE STATE WITH QUARTERLY HEIGHTENED SUPERVISION CHECKLIST; (3) WFA TO PERMIT UNANNOUNCED REVIEWS OF WFA SOUTH DAKOTA OFFICES AND TO PERMIT RANDOM CLIENT CONTACTS; (4) WFA TO PROVIDE THE STATE WITH DATE TIME & LOCATION OF FA SEMINARS; (5) FA JOSEPH WOOD TO COMPLETE ADDITIONAL TRAINING WITHIN 90 DAYS OF CONSENT ORDER ENTRY. Summary: BY LETTER DATED 9/1/2010 WFA NOTIFIED THE STATE THAT IT HAD COMPLETED ALL OF ITS OBLIGATIONS UNDER THE CONSENT ORDER.
Allegations: BY LETTER DATED MAY 8, 2012, FINRA INFORMED COUNSEL FOR THE FIRM THAT IT WOULD NOT BE RECOMMENDING COMMENCEMENT OF DISCIPLINARY ACTION AGAINST THE FIRM IN REGARDS TO THIS MATTER BASED ON THE INFORMATION CURRENTLY IN THEIR POSSESSION. Status: Final Sanction Detail: NO SANCTIONS WERE PROPOSED. Summary: BY LETTER DATED MAY 8, 2012, FINRA INFORMED COUNSEL FOR THE FIRM THAT IT WOULD NOT BE RECOMMENDING COMMENCEMENT OF DISCIPLINARY ACTION AGAINST THE FIRM IN REGARDS TO THIS MATTER BASED ON THE INFORMATION CURRENTLY IN THEIR POSSESSION. THE FIRM HAD RECEIVED A WELLS NOTICE, DATED 08/08/2011, INDICATING THAT FINRA HAD MADE A PRELIMINARY DETERMINATION TO BRING DISCIPLINARY ACTION AGAINST THE FIRM FOR FAILING TO SUPERVISE ONE OF ITS FINANCIAL ADVISORS AND FOR 7 LATE FORM U5 FILINGS REGARDING MATTERS THAT BECAME REPORTABLE BETWEEN JUNE 2009 AND DECEMBER 2009.
Allegations: FINRA ENFORCEMENT STAFF INFORMED THE FIRM THAT IT HAD MADE A PRELIMINARY DETERMINATION TO RECOMMEND THAT DISCIPLINARY ACTION BE BROUGHT AGAINST THE FIRM FOR VIOLATIONS OF NASD RULES 3011 AND 2110 AND FINRA RULE 2010 FOR FAILING TO IMPLEMENT POLICIES AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE BANK SECRECY ACT AND ITS IMPLEMENTING REGULATIONS TO DETECT AND CAUSE THE REPORTING OF SUSPICIOUS ACTIVITY. ON 12-18-2014, FINRA ENFORCEMENT STAFF NOTIFIED THE FIRM THAT IT HAD DETERMINED THAT IT WILL NOT RECOMMEND THE COMMENCEMENT OF A DISCIPLINARY ACTION REGARDING THIS MATTER. Status: Final Summary: ******PLEASE REMOVE THIS DRP.****** ON 12-18-2014, FINRA ENFORCEMENT STAFF NOTIFIED THE FIRM THAT IT HAD DETERMINED THAT IT WILL NOT RECOMMEND THE COMMENCEMENT OF A DISCIPLINARY ACTION REGARDING THIS MATTER.
Summary: THIS DRP WAS FILED IN ERROR. PLEASE REMOVE.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Allegations: THE FIRM, ALONG WITH FIRST CLEARING, LLC ("FC) AND WACHOVIA CAPITAL MARKETS, LLC ("WCM"), IS ALLEGED TO HAVE VIOLATED SECTION 17(A) OF THE SECURITIES EXCHANGE ACT AND RULE 17A-4 THEREUNDER, ALONG WITH NYSE RULES 440, 342 AND 342.17, BY FAILING TO PRESERVE ELECTRONIC RECORDS RELATING TO THE BUSINESS OF THE FIRM FOR AT LEAST THREE YEARS AND BY FAILING TO REASONABLY SUPERVISE THE RETENTION AND/OR REVIEW OF ELECTRONIC COMMUNICATIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IN THE STIPULATION OF FACTS AND CONSENT TO PENALTY, THE FIRM, ALONG WITH FC AND WCM, CONSENTED TO THE CENSURE, THE FINE, AND AN UNDERTAKING TO ENSURE COMPLIANCE WITH THE RULES AND REGULATIONS ON THE RETENTION AND REVIEW OF ELECTRONIC COMMUNICATIONS THROUGH ENGAGEMENT OF AN INDEPENDENT CONSULTANT. WITH REGARD TO THE FINE, $1,650,000 OF THE $2,250,000 IS WAIVED, CONDITIONAL UPON WCM PAYING THAT AMOUNT PURSUANT TO WCM'S SETTLEMENT OF A REGULATORY ACTION BY STATE SECURITIES REGULATORS RELATING, IN PART, TO EMAIL RETENTION. THE BALANCE OF THE FINE WILL BE PAID BY THE THREE FIRMS ON OR BEFORE 10/16/06.
Allegations: FINRA HAS ALLEGED POTENTIAL VIOLATIONS OF FINRA RULES 3310 AND 2010 AND NASD RULE 2110. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT FOR SEVERAL YEARS THE FIRM FAILED TO COMPLY FULLY WITH A KEY ASPECT OF THE ANTI-MONEY LAUNDERING ("AML") COMPLIANCE PROGRAM REQUIREMENTS FOR BROKER-DEALERS. TO SATISFY THOSE REQUIREMENTS, EVERY BROKER-DEALER MUST ESTABLISH AND MAINTAIN A CUSTOMER IDENTIFICATION PROGRAM ("CIP") UNDER WHICH IT VERIFIES THE IDENTITY OF EACH CUSTOMER OPENING A NEW ACCOUNT, AND, DURING THE RELEVANT PERIOD, THE FIRM'S CIP WAS DEFICIENT, IN THAT IT DID NOT SUBJECT CERTAIN NEW CUSTOMERS TO IDENTITY VERIFICATION. THE FINDINGS STATED THAT DURING THE RELEVANT PERIOD, WHEN THE FIRM'S TRANSACTION-PROCESSING SYSTEM, THE BETA SYSTEM, ASSIGNED CUSTOMER IDENTIFIERS TO NEW SECURITIES ACCOUNTS, IT SOMETIMES RECYCLED IDENTIFIERS PREVIOUSLY ASSIGNED TO ACCOUNTS THAT HAD BEEN CLOSED. WHEN THIS HAPPENED, THE CIP SYSTEM RECOGNIZED THE IDENTIFIERS AND TREATED THE NEW ACCOUNTS AS IF THEY HAD ALREADY GONE THROUGH THE CIP SYSTEM. THUS, EVEN THOUGH THE APPURTENANT CUSTOMER INFORMATION - SUCH AS CUSTOMER NAME, ADDRESS, TAX-IDENTIFICATION NUMBER, AND DATE OF BIRTH - WAS DIFFERENT FROM THE PREVIOUS INSTANCE OF IDENTITY VERIFICATION, THE CIP SYSTEM DID NOT SUBJECT THE CUSTOMERS ASSOCIATED WITH THESE NEW ACCOUNTS TO IDENTITY VERIFICATION. FOR THAT REASON, THE FIRM'S CIP SYSTEM DID NOT VERIFY THE IDENTITIES OF NEW CUSTOMERS WITH RECYCLED IDENTIFIERS. THIS RESULTED IN THE FIRMS' FAILURE TO CONDUCT CUSTOMER-IDENTITY VERIFICATION FOR NEARLY 220,000 ACCOUNTS DURING THE RELEVANT PERIOD. THE FINDINGS ALSO STATED THAT OF THE ACCOUNTS THAT WERE NOT SUBJECTED TO IDENTITY VERIFICATION, APPROXIMATELY 120,000 WERE ALREADY CLOSED WHEN THE PROBLEM CAME TO LIGHT. THESE ACCOUNTS WERE NEVER SUBJECTED TO IDENTITY VERIFICATION. THE ACCOUNTS THAT WERE STILL OPEN WHEN THE FIRM DISCOVERED THE DESIGN FLAW WERE SUBSEQUENTLY SENT THROUGH THE CIP PROCESS, WITH THE FIRM EVENTUALLY PROHIBITING FURTHER ACTIVITY IN 345 ACCOUNTS FOR WHICH IDENTITY VERIFICATION COULD NOT BE COMPLETED. IN DETERMINING THE APPROPRIATE SANCTIONS, FINRA CONSIDERED THAT THE FIRM DISCOVERED THE CIP-RELATED VIOLATIONS THROUGH THE FIRM'S COMPLIANCE RISK ANALYSIS SYSTEM (CRAS) TEST, INVESTIGATED THEIR CAUSES AND SCOPE, PERFORMED REMEDIATION CIP ON THE APPROXIMATELY 100,000 AFFECTED ACCOUNTS THAT REMAINED OPEN, MADE PROGRAMMING CHANGES TO THE CIP SYSTEM AND TO THE FIRM'S BETA IN AN EFFORT TO PREVENT RECURRENCES, AND REPORTED THE VIOLATIONS TO FINRA IN ACCORDANCE WITH RULE 4530(B). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, JOINTLY AND SEVERALLY, $1,500,000. Summary: IN DETERMINING THE APPROPRIATE SANCTIONS, FINRA CONSIDERED THAT THE FIRM DISCOVERED THE CIP-RELATED VIOLATIONS THROUGH THE FIRM'S COMPLIANCE RISK ANALYSIS SYSTEM (CRAS) TEST, INVESTIGATED THEIR CAUSES AND SCOPE, PERFORMED REMEDIATION CIP ON THE APPROXIMATELY 100,000 AFFECTED ACCOUNTS THAT REMAINED OPEN, MADE PROGRAMMING CHANGES TO THE CIP SYSTEM AND TO THE FIRM'S BETA IN AN EFFORT TO PREVENT RECURRENCES, AND REPORTED THE VIOLATIONS TO FINRA IN ACCORDANCE WITH RULE 4530(B).
Allegations: AS A RESULT OF ITS EXAM OF FIRST UNION IN 2000 AND 2001, THE NYSE FOUND REGISTRATION ISSUES, CUSTOMER COMPLAINT REPORTING DEFICIENCIES, REVIEW OF DISCRETIONARY ACCOUNTS SHORTCOMINGS, INSUFFICENT DISCLOSURE IN MUTUAL FUND SWITCH LETTERS AND LACK OF CLEAR LANGUAGE IN RESEARCH REPORTS. Status: Final Sanction Detail: WITHOUT ADMITTING THE ALLEGATIONS, THE FIRM AGREED TO THE ENTRY OF A CONSENT ORDER, THE TERMS OF WHICH WERE A CENSURE AND A FINE OF $250,000. PAYMENT OF THE FINE WAS MADE ON AUGUST 25, 2004.
Allegations: N/A Status: Final Sanction Detail: RESULTED IN A MONETARY FINE OF $250.00. Summary: ON JANUARY 13, 1998 DISTRICT NO. 5 NOTIFIED RESPONDENT, SOUTHTRUST SECURITIES,INC. (CRD 17322-MERGED INTO WACHOVIA SECURITIES, LLC), THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05970033 WAS ACCEPTED; THEREFORE THE FIRM WAS FINED $250 - MSRB RULE G-36 RESPONDENT MEMBER FAILED TO FILE TO THE MSRB A FORM G-36 IN A TIMELY MANNER AND FILED INACCURATE FORMS G-36 TO THE MSRB ***$250.00 PAID ON 2/9/98, INVOICE NO. 98-05-129***
Allegations: IN NYSE HEARING BOARD DECISION 06-172 THE HEARING OFFICER APPROVED THE STIPULATION AND CONSENT TO PENALTY WHEREIN WACHOVIA SECURITIES, WITHOUT ADMITTING OR DENYING GUILT CONSENTED TO FINDING: A FINDING BY THE HEARING PANEL THAT WACHOVIA VIOLATED NYSE RULE 342(A) AND (B) BY FAILING TO PROVIDE FOR, ESTABLISH AND MAINTAIN ADEQUATE PROCEDURES AND CONTROLS FOR CERTAIN ACTIVITIES AT ITS BANK AFFILIATE WHICH AFFECT COMMAND ASSET PROGRAM ACCOUNTS, INCLUDING A SYSTEM OF FOLLOW-UP AND REVIEW OF ITS BUSINESS ACTIVITIES RELATING TO CHANGES OF CUSTOMER ADDRESS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING GUILT, THE FIRM CONSENTED TO A CENSURE AND FINE OF $300,000.
Allegations: WITHOUT ADMITTING OR DENYING GUILT, THE FIRM HAS ENTERED INTO A STIPULATION OF FACT AND CONSENT TO PENALTY WITH THE NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT CONCERNING CERTAIN FINDINGS MADE DURING THE FIRM'S 2004 FINANCIAL AND OPERATIONAL EXAM. THESE FINDINGS INVOLVED OVERSTATING EXCESS NET CAPITAL AS OF SEPTEMBER 30, 2004 AND OVERSTATING EXCESS CUSTOMER DEBITS IN ITS CUSTOMER RESERVE FORMULA AS OF SEPTEMBER 30, 2004. ADDITIONAL FINDINGS INCLUDED FAILING TO ADEQUATELY SUPERVISE IN CONNECTION WITH THE FOREGOING AND INADEQUATE INTERNAL CONTROLS IN CONNECTION WITH THE CALCULATION AND DOCUMENTATION OF ITS NET CAPITAL AND CUSTOMER RESERVE REQUIREMENTS. THE FIRM HAS CONSENTED TO A CENSURE AND $100,000 FINE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND FINE OF $100,000.
Allegations: FOR THE PERIOD JANUARY 1, 2001 THROUGH DECEMBER 31, 2004, WACHOVIA SECURITIES, LLC CONSENTED TO, WITHOUT ADMITTING OR DENYING THE FINDINGS, VIOLATIONS OF NASD RULES 3010, 2110 AND 2210(D) FOR FAILURE TO SUPERVISOR IN CONNECTION WITH ITS FEE IN LIEU OF COMMISSION ACCOUNTS (PILOT PLUS ACCOUNTS) BASED ON LOW ACTIVITY, OPENING ACCOUNTS BELOW STATED MINIMUMS AND DISTRIBUTING A PIECE OF SALES LITERATURE THAT INACCURATELY STATED THAT PILOT PLUS WAS A FEE BASED ADVISORY ACCOUNT. Status: Final Sanction Detail: REMEDIATION ON THE FOLLOWING TERMS: 1. REMEDIATE TO CLIENTS WHOSE PILOT PLUS ACCOUNTS WERE INACTIVE FOR TWO CONSECUTIVE YEARS OR MORE, ALL PILOT PLUS FEES CHARGED AFTER THE FIRST YEAR OF INACTIVITY; 2. REMEDIATE TO CLIENTS WITH PILOT PLUS ACCOUNTS WITH ASSETS LESS THAN THE REQUIRED $50,000 MINIMUM, THE DIFFERENCE BETWEEN THE $1,000 MINIMUM ANNUAL FEE AND A FEE EQUAL TO 2% OF THE ASSETS WITH AVERAGE BALANCES, FOR FOUR CONSECUTIVE QUARTERS, BELOW $25,000 3. REMEDIATE TO CLIENTS WHO PURCHASED LOADED CLASS A MUTUAL FUNDS AND TRANSFERRED THOSE ASSETS INTO A PILOT PLUS ACCOUNT WITHIN 13 MONTHS OF THE PURCHASE, THE FEES CHARGED ON THAT ASSET THROUGH THE END OF THE THIRTEENTH MONTH; 4. PAY CLIENTS INTEREST AT THE PROSCRIBED IRS RATE FROM THE DATE OF THE REQUIRED REMEDIATION THROUGH THE DATE OF ACCEPTANCE OF THE AWC; 5. RETAIN AND OUTSIDE CONSULTANT TO VERIFY THAT ALL OF THE APPROPRIATE CLIENTS WERE IDENIFIED AND THE REMEDIATION WAS DONE ACCORDANCE WITH THE TERMS OF THE AWC. Summary: WITHIN 180 DAYS OF THE ACCEPTANCE OF THE AWC, IDENTIFY ALL CUSTOMERS ENTITLED TO REMEDIATION AND, WITHIN 195 DAYS OF ACCEPTANCE, REPORT TO THE NASD. WITHIN 315 DAYS OF THE ACCEPTANCE OF THE ORDER, REMEDIATE TO CLIENTS WITH INTEREST.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM HAS ENTERED INTO AN ACCEPTANCE, WAIVER AND CONSENT WITH FINRA CONCERNING CERTAIN FINDINGS REGARDING COMPLIANCE WITH TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) RULES DURING THE PERIOD JULY 1, 2004 THROUGH SEPTEMBER 30, 2004. THESE FINDINGS INVOLVED FAILING TO REPORT THE CORRECT MPID IN TRACE-ELIGIBLE SECURITIES. THE FIRM HAS CONSENTED TO A FINE OF $7,500. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THE FIRM WAS FINED $7,500.
Allegations: NASD RULES 1021, 1022(A)(1), 1022(A)(5), 2110, 3010: RESPONDENT MEMBER FIRM PERMITTED INDIVIDUAL TO FUNCTION AS A PRINCIPAL WITHOUT BEING PROPERLY LICENSED AS A GENERAL SECURITIES PRINCIPAL ("GP") AND PERMITTED AN INDIVIDUAL TO SUPERVISE ITS EQUITY RESEARCH ANALYSTS WITHOUT BEING PROPERLY LICENSED AS A RESEARCH PRINCIPAL ("RP"). THE FIRM ALSO FAILED TO ENSURE THAT A GP OR RP MANAGE AND SUPERVISE THE FIRM'S ADVISORY SERVICES GROUP BY FAILING TO ENSURE THAT INDIVIDUAL BE PROPERLY LICENSED. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, RESPONDENT MEMBER FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, FIRM IS CENSURED AND FINED $75,000.
Allegations: NASD RULES 2110, 2320: IN EIGHT TRANSACTIONS FOR OR WITH A CUSTOMER, THE FIRM FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED, FINED $23,000.00 AND ORDERED TO PAY RESTITUTION TO CUSTOMERS IN THE TOTAL AMOUNT OF $15,708.25, PLUS INTEREST AT THE RATE SET FORTH IN SECTION 6621(A) OF THE INTERNAL REVENUE CODE, FROM THE DATE OF THE VIOLATIVE CONDUCT UNTIL THE DATE THIS AWC IS ACCEPTED BY THE NATIONAL ADJUDICATORY COUNCIL (NAC). A REGISTERED PRINCIPAL OF THE FIRM SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION, OR OF REASONABLE DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION TO FINRA NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC. IF FOR ANY REASON THE FIRM CANNOT LOCATE ANY CUSTOMER AFTER REASONABLE AND DOCUMENTED EFFORTS WITHIN SUCH PERIOD, OR SUCH ADDITIONAL PERIOD AGREED TO BY THE STAFF, THE FIRM SHALL FORWARD ANY UNDISTRIBUTED RESTITUTION AND INTEREST TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY, OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER IS LAST KNOWN TO HAVE RESIDED. Summary: THE FIRM SENT THE $23,000.00 FINE TO FINRA ON 05/13/2011.
Allegations: NASD RULES 2110, 3010(B)(1): THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE ADEQUATE WRITTEN PROCEDURES RELATED TO THE RESTORATION OR RELEASE OF ACCOUNTS FROM ABANDONED STATUS. THE FIRM'S WRITTEN PROCEDURES REQUIRED THAT EMPLOYEES WISHING TO RESTORE CUSTOMER ACCOUNTS FROM AN ABANDONED STATUS SEND A WRITTEN REQUEST TO ITS ESCHEATMENT GROUP TO RESTORE THE ACCOUNT. THE FIRM'S WRITTEN PROCEDURES FAILED TO IDENTIFY THE FIRM PERSONNEL WHO WERE AUTHORIZED TO SUBMIT REQUESTS TO HAVE ABANDONED ACCOUNTS RESTORED OR RELEASED FROM ABANDONED STATUS. ESCHEATMENT ACCEPTED REQUESTS TO RESTORE ABANDONED ACCOUNTS FROM BRANCH OFFICE PERSONNEL WORKING IN THE BRANCH OFFICE WHERE THE ABANDONED ACCOUNT WAS LAST SERVICED. THE FIRM'S WRITTEN PROCEDURES DID NOT REQUIRE THAT THE REQUESTOR OBTAIN SUPERVISORY APPROVAL BEFORE SUBMITTING REQUESTS TO HAVE ABANDONED ACCOUNTS RESTORED OR RELEASED FROM ABANDONED STATUS, DID NOT REQUIRE THE REQUESTOR TO SUBMIT PROOF TO ESCHEATMENT THAT A CUSTOMER HAD BEEN LOCATED AND DID NOT REQUIRE THE REQUESTOR TO SUBMIT PROOF TO ESCHEATMENT OF THE CUSTOMER'S NEW ADDRESS. THE FIRM'S PROCEDURES ALSO DID NOT REQUIRE THAT ESCHEATMENT NOTIFY BRANCH OFFICE MANAGERS WHEN ACCOUNTS WERE RESTORED TO ACTIVE STATUS. AFTER THE RESTORATION OF AN ABANDONED ACCOUNT, THE REQUESTOR WAS REQUIRED TO SUBMIT A CHANGE OF ADDRESS REQUEST WITH THE CUSTOMER'S NEW ADDRESS TO THE FIRM'S NEW ACCOUNTS GROUP. UPON RECEIPT OF THE ADDRESS CHANGE REQUESTS, THE FIRM CHANGED THE ADDRESS OF RECORD OF THE RESTORED ACCOUNT AND SENT LETTERS CONFIRMING THE CHANGE OF ADDRESS TO BOTH THE CUSTOMER'S NEW AND OLD ADDRESS, ALTHOUGH THE OLD ADDRESS WAS INVARIABLY AN INVALID ADDRESS. THE FIRM'S DEFICIENT PROCEDURES FACILITATED A FIRM OPERATIONS MANAGER'S CONVERSION OF APPROXIMATELY $850,000 IN CUSTOMERS' FUNDS FOR HER PERSONAL USE AND ENABLED THE OPERATIONS MANAGER'S CONDUCT TO ESCAPE DETECTION BY THE FIRM. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED AND FINED $350,000. Summary: IN APRIL 2011, THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") NOTIFIED WELLS FARGO ADVISORS, L.L.C. ("WELLS FARGO") OF ITS INTENT TO RECOMMEND THAT WELLS FARGO BE SUBJECT TO DISCIPLINARY ACTION FOR VIOLATIONS OF NASD RULE 3010(B)(1) AND FINRA RULE 2010 FOR ITS FAILURE, FROM OCTOBER 2005 - MARCH 2007, TO ESTABLISH AND MAINTAIN ADEQUATE PROCEDURES FOR THE RESTORATION OF ACCOUNTS FROM "ABANDONED" TO "ACTIVE" STATUS. DURING THAT TIME, A REGISTERED PRINCIPAL OF WACHOVIA SECURITIES, LLC ("WACHOVIA"), N/K/A WELLS FARGO ADVISORS,LLC MISAPPROPRIATED APPROXIMATELY $847,188.87 OF ASSETS FROM ABANDONED CLIENT ACCOUNTS BY FRAUDULENTLY RESTORING "ABANDONED" ACCOUNTS TO "ACTIVE" STATUS AND THEREAFTER FORGING CHECK AND WIRE TRANSFER DOCUMENTATION TO CONVERT "ABANDONED" ASSETS TO HER OWN USE AND BENEFIT. WACHOVIA WAS A REGISTERED BROKER-DEALER AND WHOLLY-OWNED SUBSIDIARY OF WACHOVIA CORPORATION. WACHOVIA SECURITIES, LLC WAS RENAMED WELLS FARGO ADVISORS, L.L.C. AFTER WACHOVIA CORPORATION MERGED WITH WELLS FARGO & COMPANY ON DECEMBER 31, 2008. AFTER DISCOVERING THE FRAUDULENT ACTIVITY, WACHOVIA RESTORED ALL FUNDS TO EACH AFFECTED ACCOUNT AND IMPLEMENTED ADDITIONAL POLICIES AND PROCEDURES TO STRENGTHEN OVERSIGHT OF THE PROCESS THROUGH WHICH ACCOUNTS ARE RESTORED FROM "ABANDONED" TO "ACTIVE" STATUS. WELLS FARGO HAS FULLY COOPERATED WITH THE FINRA INVESTIGATION.
Allegations: FINRA RULE 2010, MSRB RULES G-17, G-30(A) - WELLS FARGO ADVISORS, LLC BOUGHT OR SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT FROM CUSTOMERS AND/OR SOLD MUNICIPAL SECURITIES TO CUSTOMERS AT AN AGGREGATE PRICE (INCLUDING ANY MARKUP OR MARKDOWN) THAT WAS NOT FAIR AND REASONABLE, TAKING INTO CONSIDERATION ALL RELEVANT FACTORS, INCLUDING THE BEST JUDGMENT OF THE BROKER, DEALER, OR MUNICIPAL SECURITIES DEALER AS TO THE FAIR MARKET VALUE OF THE SECURITIES AT THE TIME OF THE TRANSACTION AND OF ANY SECURITIES EXCHANGED OR TRADED IN CONNECTION WITH THE TRANSACTION, THE EXPENSE INVOLVED IN EFFECTING THE TRANSACTION, THE FACT THAT THE BROKER, DEALER, OR MUNICIPAL SECURITIES IS ENTITLED TO A PROFIT, AND THE TOTAL DOLLAR AMOUNT OF THE TRANSACTION. THE FIRM SOLD AGENCY BONDS TO ITS CUSTOMERS AND FAILED TO SELL SUCH BONDS AT A PRICE THAT WAS FAIR, TAKING INTO CONSIDERATION ALL RELEVANT CIRCUMSTANCES, INCLUDING MARKET CONDITIONS WITH RESPECT TO EACH AT THE TIME OF THE TRANSACTION, THE EXPENSE INVOLVED, AND THAT THE FIRM WAS ENTITLED TO A PROFIT. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $20,000, OF WHICH $10,000 IS FOR MSRB RULE VIOLATIONS, AND ORDERED TO PAY $8,660.93, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. THE FIRM HAS ALREADY PAID FULL OR PARTIAL RESTITUTION FOR SEVERAL OF THE TRANSACTIONS. A REGISTERED FIRM PRINCIPAL SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF RESTITUTION OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION TO FINRA NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC. THE FIRM SHALL FORWARD ANY UNDISTRIBUTED RESTITUTION AND INTEREST TO THE APPROPRIATE ESCHEAT, UNCLAIMED-PROPERTY OR ABANDONED-PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER IS KNOWN TO HAVE LAST RESIDED. FINE PAID IN FULL ON JANUARY 8, 2014.
Allegations: WELLS FARGO ADVISORS, LLC ("WFA") IS THE SUCCESSOR TO WELLS FARGO INVESTMENTS, LLC ("WFI") (CRD-10582). THE ALLEGATIONS SOLELY INVOLVE WFI'S DISSEMINATION OF SALES LITERATURE THAT FAILED TO CONFORM TO THE CONTENT STANDARDS OF NASD RULE 2210 AND FINRA RULE 2010. Status: Final Sanction Detail: WELLS FARGO ADVISORS, LLC ("WFA") IS THE SUCCESSOR TO WELLS FARGO INVESTMENTS, LLC ("WFI") (CRD-10582). THE ALLEGATIONS SOLEY INVOLVE WFI'S DISSEMINATION OF SALES LITERATURE THAT FAILED TO CONFORM TO THE CONTENT STANDARDS OF NASD RULE 2210 AND FINRA 2010. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM THROUGH ITS SUCCESSOR CONSENTED TO A CENSURE AND $25,000 MONETARY FINE. THE FIRM SENT PAYMENT TO FINRA ON OR ABOUT JUNE 11, 2014. FINE PAID JUNE 12, 2014
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT ACCEPTED AND HELD CUSTOMER MARKET ORDERS, TRADED FOR ITS OWN ACCOUNT AT PRICES THAT WOULD HAVE SATISFIED THE CUSTOMER MARKET ORDERS, AND FAILED TO IMMEDIATELY THEREAFTER EXECUTE THE CUSTOMER MARKET ORDERS. THE FINDINGS STATED THAT THE FIRM FAILED TO SHOW THE CORRECT TIME OF EXECUTION ON THE MEMORANDUM OF BROKERAGE ORDERS AND FAILED TO SHOW THE CORRECT TIME OF ENTRY ON THE MEMORANDUM OF BROKERAGE ORDERS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO REPORT THE CORRECT TIME OF EXECUTION TO THE OTC REPORTING FACILITY (OTCRF) LAST SALE REPORTS OF TRANSACTIONS IN DESIGNATED SECURITIES. THE FINDINGS ALSO INCLUDED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND FINRA RULES, CONCERNING OTC ORDER PROTECTION. THE FIRM'S WRITTEN SUPERVISORY PROCEDURES (WSPS) FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS FOR ADEQUATE WSPS CONCERNING OTC ORDER PROTECTION. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $35,000, AND UNDERTAKES TO REVISE ITS WSPS TO ADDRESS THE DEFICIENCIES DESCRIBED IN THE AWC. Summary: THE FIRM WAS CENSURED, FINED $35,000, AND UNDERTAKES TO REVISE ITS WSPS TO ADDRESS THE DEFICIENCIES DESCRIBED IN THE AWC.
Allegations: EVEREN SECURITIES, INC. (CHANGED ITS NAME TO FIRST UNION SECURITIES, INC.) 1. VIOLATED EXCHANGE RULE 440 AND SEC REGS 240.17A-3 AND A-4; 2. VIOLATED RULE 342. Status: Final Sanction Detail: CENSURE AND FINE OF $120,000.00
Allegations: WHEAT FIRST SECURITIES, INC. (PREDECESSOR TO FIRST UNION CAPITAL MARKETS CORP., WHICH MERGED INTO THE APPLICANT) WAS ALLEGED TO HAVE VIOLATED NASD CONDUCT RULES 2110, 2320 IN THAT THE FIRM FAILED TO USE REASONABLE DILIGENCE IN GETTING A FAVORABLE PRICE TO PURCHASE A SECURITY FOR A SINGLE CLIENT AND VIOLATION OF NASD CONDUCT RULES 2110 AND 3110 IN THAT THE FIRM FAILED TO CREATE AND MAINTAIN A RECORD OF THE ROUTED ORDER IN QUESTION. Status: Final Sanction Detail: WHEAT AGREED TO THE ACCEPTANCE OF A LETTER OF AWC INCLUDING THE SANCTION OF A CENSURE AND FINE OF $8,000. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO WHEAT FIRST SECURITIES, INC.'S LICENSE.
Allegations: WHEAT FIRST SECURITIES, INC. (PREDECESSOR TO FIRST UNION CAPITAL MARKETS CORP., WHICH MERGED INTO THE APPLICANT) WAS ALLEGED TO HAVE VIOLATED NASD CONDUCT RULES 2110 AND IM-2110-2 BY PLACING TERMS AND CONDITIONS ON A CLIENT ORDER NOT IMPOSED BY THE CLIENT WHEN ROUTING THE ORDER THROUGH ITS COMPUTER SYSTEM. Status: Final Sanction Detail: WHEAT AGREED TO THE ACCEPTANCE OF A LETTER OF AWC INCLUDING A FINE OF $1,000. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO WHEAT FIRST SECURITIES, INC.'S LICENSE.
Allegations: FIRST UNION CAPITAL MARKETS CORP. (MERGED INTO WHEAT FIRST SECURITIES, INC., WHICH CHANGED ITS NAME TO FIRST UNION CAPITAL MARKETS CORP.-BD6124, WHICH MERGED INTO APPLICANT)ALLEGED TO HAVE VIOLATED MSRB RULE G-36 BY FAILING TO SUBMIT ADVANCE REFUNDING DOCUMENTS TO THE MSRB AND BY FAILING TO TIMELY SUBMIT OFFICIAL STATEMENTS AND/OR OTHER DOCUMENTS TO THE MSRB. Status: Final Sanction Detail: FIRST UNION CAPITAL MARKETS CORP. AGREED TO A CENSURE AND PAYMENT OF A FINE OF $10,000. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO FIRST UNION CAPITAL MARKETS CORP'S LICENSE.
Allegations: ALLEGED VIOLATION OF RULES SET FORTH UNDER PART V, SECTION 2(D) OF SCHEDULE TO THE ASSOCIATION'S BY-LAWS CONCERNING QUOTATIONS ENTERED IN THE NASDAQ SYSTEM THAT EXCEEDED THE PARAMETERS FOR THE MAXIMUM ALLOWABLE SPREAD. Status: Final Sanction Detail: CENSURE AND FINE OF $8000.
Allegations: ALLEGED VIOLATIONS OF MSRB RULE G36. Status: Final Sanction Detail: CENSURE AND FINE OF $3,000. Summary: 3/23/2000 - CORRECTED DOCKET NO. AND DATE SETTLED DUE TO DATA ENTRY ERROR.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT EFFECTED 39 CUSTOMER TRANSACTIONS IN A MUNICIPAL SECURITY IN AN AMOUNT LOWER THAN THE MINIMUM DENOMINATION OF THE ISSUE WHICH WERE NOT SUBJECT TO AN EXCEPTION UNDER THE RULE. THE FINDINGS STATED THAT THE FIRM FAILED TO DISCLOSE ALL MATERIAL FACTS CONCERNING 39 MUNICIPAL SECURITIES TRANSACTIONS AT OR PRIOR TO THE TIME OF TRADE. SPECIFICALLY, THE FIRM FAILED TO INFORM ITS CUSTOMER THAT THE MUNICIPAL SECURITIES TRANSACTION WAS IN AN AMOUNT BELOW THE MINIMUM DENOMINATION OF THE ISSUE, OR THAT THE MUNICIPAL SECURITIES CONTAINED A RESALE RESTRICTION WHICH COULD AFFECT THE LIQUIDITY OF THE CUSTOMER'S POSITION. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $42,500, AND REQUIRED TO OFFER RESCISSION TO THE CUSTOMERS WHO PURCHASED THE SECURITIES AT EITHER THE ORIGINAL PURCHASE PRICE OR THE CURRENT FAIR MARKET VALUE, WHICHEVER IS HIGHER. THE OFFER OF RESCISSION SHALL REMAIN OPEN WITH THE AFFECTED CUSTOMER FOR A PERIOD OF 60 DAYS. FINES PAID IN FULL ON NOVEMBER 8, 2016. Summary: N/A
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TO TRACE THE CORRECT TIME OF TRADE EXECUTION FOR 88 TRANSACTIONS IN TRACE-ELIGIBLE SECURITIZED PRODUCTS. THE FINDINGS STATED THAT THE FIRM FAILED TO REPORT TO TRACE 148 TRANSACTIONS IN TRACE-ELIGIBLE SECURITIZED PRODUCTS WITHIN 15 MINUTES OF THE TIME OF EXECUTION. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $30,000. FINES PAID IN FULL ON NOVEMBER 17, 2017. Summary: THE FIRM WAS CENSURED AND FINED $30,000. FINES PAID IN FULL ON NOVEMBER 17, 2017.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE REPRESENTATIVES' 529 PLAN SHARE-CLASS RECOMMENDATIONS. THE FINDINGS STATED THAT THE FIRM'S WRITTEN SUPERVISORY PROCEDURES (WSPS) DID NOT REASONABLY ADDRESS THE SHARE-CLASS SUITABILITY FACTORS SPECIFIC TO 529 PLAN INVESTMENTS. THE FIRM'S WSPS FOR 529 PLANS DID NOT SPECIFICALLY ADDRESS THE RELATIONSHIP BETWEEN ACCOUNT BENEFICIARY AGE, THE NUMBER OF YEARS UNTIL FUNDS WOULD BE NEEDED TO PAY QUALIFIED EDUCATION EXPENSES, AND 529 PLAN SHARE-CLASS SUITABILITY. INSTEAD, THEY MERELY REFERENCED SUITABILITY FACTORS GENERALLY APPLICABLE TO ALL INVESTMENT PRODUCTS, SUCH AS FEES AND EXPENSES, INVESTMENT OBJECTIVE AND RISK TOLERANCE. IN ADDITION, THE FIRM'S ELECTRONIC ALERT SYSTEM DID NOT INCLUDE PARAMETERS TO IDENTIFY 529 PLAN SHARE-CLASS RECOMMENDATIONS THAT APPEARED TO BE INCONSISTENT WITH THE AGE OF THE ACCOUNT BENEFICIARY OR THE ACCOUNT'S STATED INVESTMENT HORIZON. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND ORDERED TO PAY $3,367,929, PLUS INTEREST, JOINTLY AND SEVERALLY, IN RESTITUTION TO CUSTOMERS. THE FIRM PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA IN ITS INVESTIGATION. ACCORDINGLY, NO MONETARY SANCTION HAS BEEN IMPOSED.
Allegations: FIRST UNION BROKERAGE SERVICES, INC. (BD#8112) MERGED INTO FIRST UNION SECURITIES, INC. (BD#19616) ON OCTOBER 1, 2000 AND FORM BDW WAS FILED FOR FIRST UNION BROKERAGE SERVICES, INC. ACCORDINGLY. DURING THE TIME PERIOD OF 9/27/1997 THROUGH 9/21/1998, FIRST UNION BROKERAGE SERVICES, INC. FAILED TO FILE REPORTS WITH THE ASSOCIATION OF POSITIONS OF 200 OR MORE STANDARDIZED OPTION CONTRACTS HELD BY 56 CUSTOMER ACCOUNTS. (VIOLATION OF NASD CONDUCT RULE 2860(B)(5)(A) FOR EACH REPORT NOT FILED.) FIRST UNION BROKERAGE SERVICES' FAILED TO MAINTAIN ADEQUATE WRITTEN SUPERVISORY PROCEDURES REGARDING THE REPORTING OF OPTIONS POSITIONS. (VIOLATION OF NASD CONDUCT RULES 2110 AND 3010.) Status: Final Sanction Detail: $7,000 COMPOSED OF $2,000 FINE FOR THE OPTIONS REPORTING VIOLATIONS AND A $5,000 FINE FOR THE SUPERVISORY VIOLATION. Summary: FIRST UNION BROKERAGE SERVICES, INC. ENTERED INTO AN ACCEPTANCE, WAIVER AND CONSENT ORDER WITH THE NASD REGULATION, INC. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS STATED ABOVE. THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO FIRST UNION BROKERAGE SERVICES, INC.'S LICENSE.
Allegations: FIRST UNION BROKERAGE SERVICES, INC. (BD#8112) MERGED INTO FIRST UNION SECURITIES, INC. (BD#19616) ON OCTOBER 1, 2000 AND FORM BDW WAS FILED FOR FIRST UNION BROKERAGE SERVICES, INC. ACCORDINGLY. DURING THE PERIOD FROM ON OR ABOUT 2/6/1995 THROUGH ON OR ABOUT 10/1/1999, FIRST UNION BROKERAGE SERVICES, INC. FAILED TO ESTABLISH AND MAINTAIN ADEQUATE WRITTEN PROCEDURES TO SUPERVISE THE SALE OF VARIABLE ANNUITY CONTRACTS. DURING THE PERIOD FROM ON OR ABOUT 2/6/1995 THROUGH ON OR ABOUT 8/31/1999, FIRST UNION BROKERAGE SERVICES, INC. FAILED TO DOCUMENT OR DEMONSTRATE THAT IT HAD MADE REASONABLE EFFORTS TO OBTAIN CERTAIN SUITABILITY INFORMATION. DURING THE PERIOD FROM ON OR ABOUT 9/24/1997 THROUGH ON OR ABOUT 4/22/1998, FIRST UNION BROKERAGE SERVICES, INC. ALLOWED TWO INDIVIDUALS TO PERFORM DUTIES AS REGISTERED REPRESENTATIVES WHILE THE REGISTRATIONS OF THESE INDIVIDUALS WERE DEEMED INACTIVE FOR FAILING TO COMPLETE THE REGULATORY ELEMENT OF THE CONTINUING EDUCATION. DURING THE PERIOD FROM ON OR ABOUT 3/13/1998 THROUGH ON OR ABOUT 4/15/1998, FIRST UNION BROKERAGE SERVICES, INC. FAILED AND NEGLECTED TO MAINTAIN A DAILY POSITION RECORD AND DOCUMENTATION TO SUPPORT INFORMATION FILED IN A SHORT INTEREST REPORT. Status: Final Sanction Detail: FIRST UNION BROKERAGE SERVICES, INC. ENTERED INTO AN ACCEPTANCE, WAIVER, AND CONSENT ORDER WITH THE NASD REGULATION, INC. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS STATED ABOVE. CENSURE AND A FINE OF $32,500.00 ASSESSED. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO FIRST UNION BROKERAGE SERVICES, INC.'S LICENSE.
Allegations: THE NYMEX ALLEGED THAT AFFILIATE HAD PLACED CERTAIN CUSTOMER ORDERS ON THE FLOOR OF THE NYMEX WHICH WERE IMPROPERLY TIME-STAMPED, AND HAD ALLEGEDLY FAILED TO MAINTAIN ACCURATE RECORDS. AS A RESULT, THE COMPLAINT ALLEGED THAT AFFILIATE HAD VIOLATED NYMEX RULES 8.50(A) AND 6.18(A). Status: Final Sanction Detail: FINE PAID ON OR ABOUT NOVEMBER 30, 1991. Summary: AFFILIATE SETTLED THIS MATTER BY AGREEING TO A FINE OF $15,000 AND TO UPDATE ITS POLICIES AND PROCEDURES DESIGNED TO ACHIEVE COMPLIANCE WITH AFOREMENTIONED RULES.
Summary: REMOVED AFFILIATE, PRUCO SECURITIES, LLC, SINCE WE ARE COMBINING DRP DISCLOSURES ONTO ANOTHER DRP FORM. THIS DRP FORM WILL BE USED FOR PRU GLOBAL DISCLOSURES ONLY.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Summary: CLERICAL ERROR - TRIPLICATE ENTRY - DUE TO CRD SERVER ERROR
Summary: CLERICAL ERROR - QUADRUPLICATE ENTRY - DUE TO CRD SERVER ERROR
Summary: CLERICAL ERROR - DUPLICATE ENTRY - DUE TO CRD SERVER ERROR
Allegations: WELLS FARGO ADVISORS, LLC ("WFA") IS THE SUCCESSOR TO WELLS FARGO INVESTMENTS, LLC ("WFI") (CRD-10582). THE ALLEGATIONS SOLELY INVOLVE WFI'S DISSEMINATION OF SALES LITERATURE THAT FAILED TO CONFORM TO THE CONTENT STANDARDS OF NASD RULE 2210 AND FINRA RULE 2010. Status: Final Sanction Detail: WELLS FARGO ADVISORS, LLC ("WFA") IS THE SUCCESSOR TO WELLS FARGO INVESTMENTS, LLC ("WFI") (CRD-10582). THE ALLEGATIONS SOLEY INVOLVE WFI'S DISSEMINATION OF SALES LITERATURE THAT FAILED TO CONFORM TO THE CONTENT STANDARDS OF NASD RULE 2210 AND FINRA 2010. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM THROUGH ITS SUCCESSOR CONSENTED TO A CENSURE AND $25,000 MONETARY FINE. THE FIRM SENT PAYMENT TO FINRA ON OR ABOUT JUNE 11, 2014. Summary: ### PLEASE REMOVE THIS FILING WAS MADE IN ERROR. PERIOD OF TIME IN QUESTION (AUGUST 2009 TO AUGUST 2010) WAS PRIOR TO THE SUCCESSION OF WFI TO WFA (12-13-2010). ###
Allegations: ALLEGATIONS THAT THE FIRM (1) MADE RECOMMENDATIONS THROUGH ITS REGISTERED REPRESENTATIVES TO CUSTOMERS TO PURCHASE CLASS B AND CLASS C MUTUAL FUND SHARES WHERE AN EQUAL INVESTMENT IN CLASS A SHARES WOULD HAVE BEEN MORE ADVANTAGEOUS FOR CERTAIN CLIENTS IN VIOLATION OF NASD RULE 2310, (2) DID NOT PROVIDE CERTAIN ELIGIBLE CUSTOMERS WITH THE BENEFIT OF NAV TRANSFER PROGRAMS IN CONNECTION WITH MUTUAL FUND PURCHASES AND SALES DISCOUNTS IN CONNECTION WITH PURCHASES OF UNIT INVESTMENT TRUSTS ("UIT") AND (3) FAILED TO ESTABLISH, MAINTAIN AND ENFORCE SUPERVISORY SYSTEMS AND PROCEDURES REASONABLY DESIGNED (A) TO PROVIDE CONSIDERATION, ON A CONSISTENT BASIS, OF THE BENEFITS OF VARIOUS MUTUAL FUND CLASSES AS THEY APPLIED TO INDIVIDUAL CUSTOMERS, (B) TO IDENTIFY OPPORTUNITIES FOR INVESTORS TO PURCHASE MUTUAL FUNDS AT NAV AND (C) TO ENSURE THAT SALES CHARGE DISCOUNTS WERE APPLIED TO ELIGIBLE UIT PURCHASES BY CUSTOMERS IN VIOLATION OF NASD RULES 2110 AND 3010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AS OUTLINE ABOVE. IN DETERMINING APPROPRIATE SANCTIONS, FINRA CONSIDERED THE FIRM'S PROACTIVE REMEDIAL ACTIONS TAKEN UPON DURING ITS DISCOVERY OF -AND BEFORE FINRA'S INQUIRY INTO - CERTAIN VIOLATIVE CONDUCT. AFTER IDENTIFYING FAILURES TO PROVIDE CERTAIN CUSTOMERS WITH NAV PRICING AND UIT SALES DISCOUNTS, THE FIRM ACTED PROMPTLY AND IN GOOD FAITH TO REPAY CUSTOMERS APPROXIMATELY $5.4 MILLION AND CORRECT ITS SYSTEMS AND PROCEDURES.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Allegations: BETWEEN 2003 AND 2004, TWO FORMER REGISTERED SECURITIES LENDING REPRESENTATIVES OF EDWARDS FACILITATED IMPROPER STOCK LOAN TRANSACTIONS WITH COUNTERPARTIES AT ARTIFICIALLY LOW RATES, DIRECTED OR FACILITED UNWARRANTED PAYMENTS TO FINDERS, AND PARTICIPATED IN TRANSACTIONS THAT SERVED NO LEGITMATE INTEREST OF THE FIRM BUT BENEFITED COUNTERPARTIES AND FINDERS WHO MADE PAYMENTS BACK TO EDWARDS' REGISTERED STOCK LOAN REPRESENTATIVES. THE FIRM LACKED SUPERVISORY SYSTEMS AND WRITTEN PROCEDURES RESONABLY DESIGNED TO PREVENT AND DETECT SUCH ACTIVITIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND FINE.
Allegations: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM WAS ALLEGED TO HAVE VIOLATED NASD CONDUCT RULE 2110, STANDARDS OF COMMERCIAL HONOR AND PRINCIPLES OF TRADE, AS IT RELATES TO DISLOSING TO CLIENTS THEIR ELIGIBILITY OF RECEIVING MUTUAL FUND BREAKPOINT DISCOUNTS. Status: Final Sanction Detail: THE TOTAL AMOUNT OF THE FINE WAS $4,844,465. $2,422,232 PAID TO THE NASD ON 2/19/04 AND $2,422,232 PAID TO THE SEC ON 2/19/04. Summary: THE FIRM AGREED TO THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. IN ADDITION TO THE CENSURE AND MONETARY FINE, THE FIRM HAS AGREED TO CERTAIN UNDERTAKINGS: (1) A TRADE BY TRADE REVIEW OF ALL FRONT END LOADED FUND SALES ABOVE $2500 FROM JANUARY 1, 1999 THROUGH NOVEMBER 3, 2003 TO ENSURE THAT CUSTOMERS RECEIVE THE APPROPRIATE SALES DISCOUNTS AND PROVIDE REFUNDS WHERE APPLICABLE AND (2) WITHIN 6 MONTHS OF THE DATE OF THE AWC, THE FIRM WILL CERTIFY TO THE REGULATORS THAT A SYSTEM IS IN PLACE REASONABLY DESIGNED TO MAKE CERTAIN CUSTOMERS GET APPROPRIATE BREAKPOINT DISCOUNTS.
Allegations: SIGNET FINANCIAL SERVICES, INC. (PREDECESSOR TO BOWLES HOLLOWELL CONNOR, WHICH MERGED INTO FIRST UNION CAPITAL MARKETS CORP., WHICH MERGED INTO APPLICANT)ALLEGED DEFICIENCIES IN BROKER/DEALER APPLICATION. Status: Final Sanction Detail: STATE OF MINNESOTA ISSUED AN ORDER OF DENIAL FOR SIGNET'S APPLICATION AS A BROKER/DEALER IN THE STATE FOR FAILURE TO CORRECT DEFICIENCIES INTHE REGISTRATION FILING DOCUMENTS OR WITHDRAW ITS APPLICATION. ON OCTOBER 2, 1995, SUBSEQUENTLY, THE STATE OF MINNESOTA ISSUED A CONSENT CEASE AND DESIST WITHOUT FINDING OF FACT. SIGNED, PAID $1,000 AND $500 INVESTIGATIVE COSTS. SIGNET RECEIVED BROKER/DEALER REGISTRATION. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO SIGNET FINANCIAL SERVICES, INC.'S LICENSE.
Allegations: THE AFFILIATE WAS DENIED REGISTRATION AS AN INVESTMENT ADVISOR BY THE COMMONWEALTH OF VIRGINIA STATE CORPORATION COMMISSION, DIVISION OF SECURITIES AND RETAIL FRANCHISING, ON JANUARY 15, 1997. THIS DENIAL WAS BASED UPON THE FACT THAT THE STATUTORY DEADLINE FOR SUBMITTING ALL INFORMATION THAT WAS NECESSARY TO COMPLETE AFFILIATE'S APPLICATION FOR REGISTRATION HAD EXPIRED, THEREFORE, THIS DENIAL WAS NOT BASED UPON ANY MISCONDUCT OR UNLAWFUL ACTIVITY BY THE AFFILIATE. Status: Final Sanction Detail: THE APPLICATION WAS NEVER RESUBMITTED. THERE WERE NO OTHER SANCTIONS ORDERED OUTSIDE OF THE INITIAL DENIAL OF REGISTRATION. THE AFFILIATE CHECKED THE ABOVE BOX BECAUSE THE IARD PROGRAM REQUIRES THAT A SANCTION BE CHECKED.
Allegations: FEDERAL RESERVE CONSENT ORDER RE: BANK'S MORTGAGE FORECLOSURE PRACTICES. Status: Final Sanction Detail: THE $87,000,000.00 CIVIL MONEY PENALTY WILL BE REDUCED BY THE AMOUNT OF BORROWER ASSISTANCE PROVIDED BY THE COMPANY OVER THE NEXT 2 YEARS AND WAIVED IN ITS ENTIRETY IF THAT ASSISTANCE IS $87,000000.00 OR GREATER.
Allegations: 7.THE OCC FOUND THAT WELLS FARGO BANK, N.A. ("WFBNA") FAILED TO MAKE ACCEPTABLE SUBSTANTIAL PROGRESS TOWARD CORRECTING PREVIOUSLY IDENTIFIED BSA/AML PROBLEMS RELATING TO DUE DILIGENCE PRACTICES AND CUSTOMER RISK ASSESSMENT IN THE WHOLESALE BANKING GROUP RESULTING IN A VIOLATION OF 12 USC 1818(S); AND CRITICAL INTERNAL CONTROL DEFICIENCIES IN THE WHOLESALE BANKING GROUP'S BSA/AML COMPLIANCE PROGRAM RESULTED IN AN INTERNAL CONTROL PILLAR VIOLATION (12 CFR 21.21(D)(1)). Status: Final Sanction Detail: WELLS FARGO BANK, N.A. BOARD OF DIRECTORS CONSENTED TO THE ISSUANCE OF THE CONSENT ORDER.
Allegations: THE FIRM WAS ALLEGED TO HAVE VIOLATED CORPORATIONS CODE SECTION 25210(B), 25218, CODE OF REGULATIONS SECTION 260.210(A), 260.218, 260.218.4(A), 260.218.4(C)IN THE EMPLOYING OF AN AGENT WITHOUT INVESTIGATING THE EXPERIENCE AND BACKGROUND OF THE INDIVIDUAL, FAILING TO ENFORCE WRITTEN PROCEDURES AND FAILING TO SUPERVISE THE AGENT. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO A PENALTY OF $250,000 PAID ON DECEMBER 20, 2004. THE FIRM ALSO REVISED AND ADOPTED ENHANCED HIRING POLICIES AND REVISED AND ADOPTED ENHANCED POLICIES AND PROCEDURES SURROUNDING WIRE TRANSFERS AND JOURNALING OF MONIES OR SECURITIES.
Allegations: THE DIVISION ALLEGED THAT A WFA EMPLOYEE HAD ACTED AS AN INVESTMENNT ADVISOR REPRESENTATIVE IN MISSSISSIPPI, WITHOUT BEING PROPERLY REGISTERED AS SUCH IN VIOLATION OF SECTION 75-71-303 (B)(2) MISSSISSIPPI SECURITIES ACT 2000 & SECTION 75-71-403 (2)(D) MISSSISSIPPI SECURITIES ACT 2009. Status: Final Sanction Detail: WFA PAID THE $25000 FINE TO THE DIVISION ON 02/25/2011. Summary: THE DIVISION ALLEGED THAT A WFA EMPLOYEE ACTED AS AN INVESTMENNT ADVISOR REPRESENTATIVE IN MISSSISSIPPI, WITHOUT BEING PROPERLY REGISTERED AS SUCH, VIOLATING SECTION 75-71-303 (B)(2) MISSSISSIPPI SECURITIES ACT 2000 & SECTION 75-71-403 (2)(D) MISSSISSIPPI SECURITIES ACT 2009. WFA PAID THE $25000 FINE TO THE DIVISION ON 02/25/2011.
Allegations: FIRST UNION BROKERAGE SERVICES, INC. WAS ALLEGED TO HAVE ENGAGED IN THE OFFER AND/OR SALE OF SECURITIES TO IDAHO RESIDENTS. Status: Final Sanction Detail: ADMINISTRATIVE PENALTY OF $5,000 AND OFFER OF RECISSION TO IDAHO RESIDENTS TO WHOM SECURITIES WERE SOLD. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO FIRST UNION BROKERAGE SERVICES, INC.'S LICENSE.
Allegations: FIRST UNION BROKERAGE SERVICES, INC. WAS ALLEGED TO HAVE TRANSACTED BUSINESS AS AN UNREGISTERED BROKER/DEALER IN THE STATE. Status: Final Sanction Detail: FIRST UNION BROKERAGE SERVICES, INC. ENTERED INTO A CONSENT ORDER WHEREIN IT NEITHER ADMITTED OR DENIED THE ALLEGATIONS. RESPONDENT AGREED TO PAY A $1,000 ADMINISTRATIVE PENALTY AND $350 IN ADMINISTRATIVE COSTS. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO FIRST UNION BROKERAGE SERVICES, INC.'S LICENSE.
Allegations: FIRST UNION BROKERAGE SERVICES, INC. WAS ALLEGED TO HAVE ENGAGED IN THE UNSOLICITED OFFER AND/OR SALE OF SECURITIES TO MASSACHUSETTS RESIDENTS. Status: Final Sanction Detail: FIRST UNION BROKERAGE SERVICES, INC. NOTIFIED THE CUSTOMERS INVOLVED THAT THE FIRM WAS NOT REGISTERED AS A BROKER/DEALER IN MASSACHUSETTS. ADMINISTRATIVE FINE OF $15,000. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO FIRST UNION BROKERAGE SERVICES, INC.'S LICENSE.
Allegations: FIRST UNION CAPITAL MARKEST CORP. (MERGED INTO WHEAT FIRST SECURITIES, INC., WHICH CHANGED ITS NAME TO FIRST UNION CAPITAL MARKETS CORP.-BD6124)ALLEGED TO HAVE TRANSACTED BUSINESS AS AN UNREGISTERED BROKER/DEALER IN THE STATE UNDER THE MISTAKEN BELIEF THAT THE SECURITIES ACT PROVIDED AN EXEMPTION FROM BROKER/DEALER REGISTRATION FOR FINANCIAL AND INSTITUTIONAL INVESTOR ACCOUNTS. Status: Final Sanction Detail: FIRST UNION CAPITAL MARKETS CORP. ENTERED INTO A CONSENT ORDER WHEREIN IT NEITHER ADMITTED OR DENIED THE ALLEGATIONS. RESPONDENT AGREED TO PAY A $5,000 ADMINISTRATIVE PENALTY AND $500 IN ADMINISTRATIVE COSTS. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO FIRST UNION CAPITAL MARKETS CORP'S LICENSE.
Allegations: THE STOCK EXCHANGE OF HONG KONG, DICIPLINARY COMMITTEE (THE "COMMITTE"). DISCIPLINARY PROCEEDING CASE NO: 50/99. AUGUST 15, 1999. THE COMMITTEE AND THE HONG KONG SECURITIES AND FUTURES COMMISSION JOINTLY CHARGED PRUDENTIAL-BACHE SECURITIES (HONG KONG) LIMITED ("PBS(HK)"), AN AFFILIATE OF PRUDENTIAL SECURITIES AND ITS DEALING DIRECTOR, LIU LUK POR FOR BREACH OF THE RULES OF THE EXCHANGE. THE SUBSTANCE OF THE CHARGE WAS THAT DURING A PERIOD FROM DECEMBER 15, 1997 TO JULY 3, 1998 PBS(HK)HAD INADEQUATE INTERNAL CONTROLS AND FAILED TO IMPLEMENT AN APPROPRIATE SYSTEM FOR DETERRING AND DETECTING INTRA-DAY SHORT SELLING BY ITS STAFF, AND THAT AS A RESULT, A FORMER SALES REPRESENTATIVE OF PBS(HK), WHO WAS SUBSEQUENTLY DISMISSED, HAD ENGAGED IN EXTENSIVE SHORT SELLING IN HIS OWN ACCOUNT. THE RESULT WAS THAT THE SECURITIES AND FUTURES COMMISSION ISSUED A PUBLIC REPRIMAND TO BOTH PBS(HK) AND MR. LIU LUK POR AND THE STOCK EXCHANGE OF HONG KONG ISSUED A PUBLIC CENSURE PLUS A FIND OF HK$30,000 (APPROXIMATELY US$3,900) FOR PBS(HK) AND A PUBLIC CENSURE PLUS A FINE OF HD$20,000 (APPROXIMATELY US$2,600) FOR MR. LIU LUK POR. Status: Final Sanction Detail: FINES WER PAID AS OF 8/19/1999.
Allegations: THE SFA ALLEGED THAT BETWEEN MAY 13, 1991 AND OCTOBER 2, 1991 AFFILIATE AND JOHN BRACKLEY FAILED TO COMPLY WITH SFA PRINCIPLES OF STATEMENTS OF PRINCIPLE. THE AFFILIATE WAS ALLEGED TO HAVE ENGAGED IN A COURSE OF CONDUCT IN RELATION TO PROPERTY FUTURES TRANSACTIONS TRADED ON THE LONDON FOX; BRACKLEY WAS ALLEGED TO HAVE FAILED TO ACT WITH DUE CARE, SKILL AND DILIGENCE AND TO AVOID IN ENGAGING IN A COURSE OF CONDUCT WHICH DID NOT CONFORM WITH THE HIGH STANDARDS OF MARKET CONDUCT. Status: Final Sanction Detail: FINE PAID ON OR ABOUT JANUARY 15, 1992. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGED VIOLATIONS, THE AFFILIATE AGREED TO PAY A FINE IN THE AMOUNT OF $60,000, JOHN BRACKLEY WAS REPRIMANDED. IN ADDITION, THE SFA STATED THAT THERE WAS NO INTENTION ON THE PART OF THE AFFILIATE TO VIOLATE SFA RULES, INFRINGE APPLICABLE MARKET STANDARDS OR CREATE ANY FALSE IMPRESSION OF TH EMARKET IN PROPERTY FUTURES.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Allegations: A CEASE AND DESIST ORDER WAS PLACED AGAINS JW GENESIS IN CONNECTION WITH ALLEGED UNAUTHORIZED TRADE BY A REGISTERED REPRESENTATIVE OF THE FIRM. Status: Final Sanction Detail: N/A Summary: STATE OF INDIANA FILED FORM U6 AGAINST FIRST UNION SECURITIES, INC. (NKA WACHOVIA SECURITIES, LLC) INSTEAD OF FIRST UNION FINANCIAL SERVICES, INC. (NKA WACHOVIA SECURITIES FINANCIAL NETWORK, LLC).
Allegations: SOUTHTRUST SECURITIES, INC. (CRD# 17922 - MERGED INTO WACHOVIA SECURITIES, LLC) FAILED TO EFFECT RENEWAL OF 7 EXISTING REGISTERED OFFICES WITH THE STATE OF FLORIDA. Status: Final Sanction Detail: PAID FINE ON 7/10/2000. Summary: FINAL ORDER WAS ACCEPTED ON 7/20/2000 BY THE STATE OF FLORIDA; ALL SUBJECT OFFICES WERE PROMPTLY APPROVED BY THE STATE.
Allegations: THE NORTH DAKOTA SECURITIES COMMISSIONER ALLEGED THAT, FROM DECEMBER 2001 TO JULY 2002, TWO PREDECESSORS TO WACHOVIA SECURITIES, LLC (WSLLC) HAD FAILED TO SUPERVISE A FORMER REGISTERED REPRESENTATIVE IN CONNECTION WITH ALLEGEDLY UNSUITABLE TRADING IN OTC STOCKS AND OPTIONS IN THE ACCOUNTS OF SEVERAL CUSTOMERS. Status: Final Sanction Detail: $75,000 PAID BY WSLLC. UNDERTAKING IS DESCRIBED IN RESPONSE TO QUESTION 13. Summary: WSLLC AGREED TO CORRESPOND WITH CERTAIN FORMER CLIENTS AND TO ADDRESS ANY COMPLAINTS THROUGH ITS NORMAL DISPUTE RESOLUTION PROCESS.
Allegations: THE OFFICE FOUND THAT BEGINNING IN OCTOBER 2004, WELLS FARGO ADVISORS LLC, ACTING THROUGH 13 INDIVIDUALS, ENGAGED IN INVESTMENT ADVISORY BUSINESS FROM OFFICES WITHIN THIS STATE WITHOUT THE 13 INDIVIDUALS BEING LAWFULLY REGISTERED IN THE STATE OF FLORIDA AS INVESTMENT ADVISOR REPRESENTATIVES FOR THE FIRM IN VIOLATION OF SECTION 517.12(4), F. S. Status: Final Sanction Detail: $65,000 ADMINISTRATIVE FINE WAS LEVIED AGAINST WELLS FARGO ADVISORS LLC. THE FINE WAS PAID IN FULL ON 6/21/2011. Summary: ON 6/21/2011 THE OFFICE OF FINANCIAL REGULATION ENTERED A FINAL ORDER ADOPTING THE STIPULATION AND CONSENT AGREEMENT IN THE MATTER OF WELLS FARGO ADVISORS, LLC. WELLS FARGO ADVISORS LLC NEITHER ADMITTED NOR DENIED THE FINDINGS BUT CONSENTED TO THE ENTRY OF FINDINGS BY THE OFFICE. THE OFFICE FOUND THAT BEGINNING IN OCTOBER 2004, WELLS FARGO ADVISORS LLC, ACTING THROUGH 13 INDIVIDUALS, ENGAGED IN INVESTMENT ADVISORY BUSINESS FROM OFFICES WITHIN THIS STATE WITHOUT THE 13 INDIVIDUALS BEING LAWFULLY REGISTERED IN THE STATE OF FLORIDA IN VIOLATION OF SECTION 517.12(4), F. S. WELLS FARGO ADVISORS LLC AGREED TO CEASE AND DESIST FROM ALL PRESENT AND FUTURE VIOLATIONS OF CHAPTER 517, F.S. AND THE ADMINISTRATIVE RULES THEREUNDER; AND TO PAY AN ADMINISTRATIVE FINE IN THE AMOUNT OF $65,000.
Allegations: IN AMENDED CONSENT ORDER, DOCKET NO. 2011-0312, IN THE MATTER OF WELLS FARGO ADVISORS, LLC, THE MARYLAND DIVISION OF SECURITIES ALLEGED THAT WELLS FARGO ADVISORS, LLC EMPLOYED EIGHT INVESTMENT ADVISER REPRESENTATIVES WHO PROVIDED INVESTMENT ADVISORY SERVICES TO CLIENTS PRIOR TO BEING REGISTERED WITH THE SECURITIES DIVISION AS INVESTMENT ADVISER REPRESENTATIVES PURSUANT TO SECTION 11-402 OF THE MARYLAND SECURITIES ACT. THE DIVISION ALSO ALLEGED THAT THE FIRM FAILED TO TIMELY AMEND THE FORMS U4 OF TWO OF ITS AGENTS TO REFLECT THE CHANGE IN THEIR EMPLOYMENT ADDRESS PURSUANT TO SECTION 11-411(D) OF THE MARYLAND SECURITIES ACT AND REGULATION 02.02.02.07 OF THE CODE OF MARYLAND REGULATIONS. THE FIRM WAS ORDERED TO PAY A FINE OF $50,000 TO THE MARYLAND SECURITIES DIVISION, LESS THE $5,000 FINE THE FIRM PAID TO THE DIVISION IN AUGUST 2011 PURSUANT TO THE ORIGINAL CONSENT ORDER ISSUED IN THIS MATTER. THE FIRM WAS ALSO ORDERED TO FOLLOW THE COMPLIANCE POLICIES AND PROCEDURES PROVIDED TO THE DIVISION IN CONNECTION WITH THE MATTER, AND COMPLY FULLY WITH THE MARYLAND SECURITIES ACT AND RULES AND REGULATIONS PROMULGATED THEREUNDER. Status: Final Sanction Detail: THE FIRM WAS ORDERED TO PAY A FINE OF $50,000 TO THE MARYLAND SECURITIES DIVISION, LESS THE $5,000 FINE THE FIRM PAID TO THE DIVISION IN AUGUST 2011 PURSUANT TO THE ORIGINAL CONSENT ORDER ISSUED IN THIS MATTER. Summary: IN AMENDED CONSENT ORDER, DOCKET NO. 2011-0312, IN THE MATTER OF WELLS FARGO ADVISORS, LLC, THE MARYLAND DIVISION OF SECURITIES ALLEGED THAT WELLS FARGO ADVISORS, LLC EMPLOYED EIGHT INVESTMENT ADVISER REPRESENTATIVES WHO PROVIDED INVESTMENT ADVISORY SERVICES TO CLIENTS PRIOR TO BEING REGISTERED WITH THE SECURITIES DIVISION AS INVESTMENT ADVISER REPRESENTATIVES PURSUANT TO SECTION 11-402 OF THE MARYLAND SECURITIES ACT. THE DIVISION ALSO ALLEGED THAT THE FIRM FAILED TO TIMELY AMEND THE FORMS U4 OF TWO OF ITS AGENTS TO REFLECT THE CHANGE IN THEIR EMPLOYMENT ADDRESS PURSUANT TO SECTION 11-411(D) OF THE MARYLAND SECURITIES ACT AND REGULATION 02.02.02.07 OF THE CODE OF MARYLAND REGULATIONS. THE FIRM WAS ORDERED TO PAY A FINE OF $50,000 TO THE MARYLAND SECURITIES DIVISION, LESS THE $5,000 FINE THE FIRM PAID TO THE DIVISION IN AUGUST 2011 PURSUANT TO THE ORIGINAL CONSENT ORDER ISSUED IN THIS MATTER. THE FIRM WAS ALSO ORDERED TO FOLLOW THE COMPLIANCE POLICIES AND PROCEDURES PROVIDED TO THE DIVISION IN CONNECTION WITH THE MATTER, AND COMPLY FULLY WITH THE MARYLAND SECURITIES ACT AND RULES AND REGULATIONS PROMULGATED THEREUNDER.
Allegations: SIGNET FINANCIAL SERVICES, INC. (PREDECESSOR TO BOWLES HOLLOWELL CONNOR, WHICH MERGED INTO FIRST UNION CAPITAL MARKETS CORP., WHICH MERGED INTO APPLICANT)ALLEGED TO HAVE FAILED TO TIMELY DISCLOSE A STATE ACTION BY VIRGINIA ON THE FORM ADV. THE AMOUNT OF THE FINE WAS NOT SHOWN. Status: Final Sanction Detail: SAME DESCRIPTION AS 12B Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO SIGNET FINANCIAL SERVICES, INC.'S LICENSE.
Allegations: FIRST UNION BROKERAGE SERVICES, INC. WAS ALLEGED TO HAVE ENGAGED IN THE UNSOLICITED OFFER AND/OR SALE OF SECURITIES TO NEW MEXICO RESIDENTS. Status: Final Sanction Detail: CIVIL PENALTY OF $500 AND ADMINISTRATIVE PENALTY OF $335. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO FIRST UNION BROKERAGE SERVICES, INC.'S LICENSE.
Allegations: FIRST UNION BROKERAGE SERVICES,INC. WAS ALLEGED TO HAVE ENGAGED IN THE OFFER AND SALE OF SECURITIES TO KANSAS RESIDENTS PRIOR TO REGISTRATION AS A BROKER/DEALER IN THE STATE OF KANSAS. Status: Final Sanction Detail: FINE OF $1500.00 Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO FIRST UNION BROKERAGE SERVICES, INC.'S LICENSE.
Allegations: SIGNET FINANCIAL SERVICES, INC. (PREDECESSOR TO BOWLES HOLLOWELL CONNOR, WHICH MERGED INTO FIRST UNION CAPITAL MARKETS CORP., WHICH MERGED WITH APPLICANT)ALLEGED TO HAVE VIOLATED SECTION 8-6-3(A) OF THE CODE OF ALABAMA OF 1975 FOR TRANSACTING BUSINESS IN THE STATE WHILE UNREGISTERED. Status: Final Sanction Detail: SIGNET FINANCIAL SERVICES, INC. WAS FINED $1500. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO SIGNET FINANCIAL SERVICES, INC.'S LICENSE.
Allegations: SIGNET FINANCIAL SERVICES, INC. (PREDECESSOR TO BOWLES HOLLOWELL CONNOR, WHICH MERGED INTO FIRST UNION CAPITAL MARKETS CORP., WHICH MERGED INTO APPLICANT)ALLEGED TO HAVE CONDUCTED SALES OF ASSET MANAGEMENT SERVICES PRIOR TO REGISTRATION AS AN INVESTMENT ADVISOR Status: Final Sanction Detail: SIGNET FINANCIAL SERVICES, INC. WAS FINED $5,000 AND A PENALTY OF $300 WAS ASSESSED. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO SIGNET FINANCIAL SERVICES, INC.'S LICENSE.
Allegations: SIGNET FINANCIAL SERVICES, INC. (PREDECESSOR TO BOWLES HOLLOWELL CONNOR, WHICH WAS MERGED INTO FIRST UNION CAPITAL MARKETS CORP., WHICH MERGED INTO APPLICANT) ALLEGED TO HAVE CONDUCTED SALES OF ASSET MANAGEMENT SERVICES PRIOR TO REGISTRATION AS AN INVESTMENT ADVISOR Status: Final Sanction Detail: SIGNET FINANCIAL SERVICES, INC. WAS FINED $150,000 AND A PENALTY OF $3,000 WAS ASSESSED. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO SIGNET FINANCIAL SERVICES, INC.'S LICENSE.
Allegations: SIGNET FINANCIAL SERVICES, INC. (PREDECESSOR TO BOWLES HOLLOWELL CONNOR, WHICH MERGED INTO FIRST UNION CAPITAL MARKETS CORP., WHICH MERGED INTO APPLICANT)ALLEGED TO HAVE CONDUCTED SECURITIES TRANSACTIONS IN OR FROM THE STATE OF NEW JERSEY WITHOUT BEING PROPERLY REGISTERED. Status: Final Sanction Detail: SIGNET FINANCIAL SERVICES, INC. AGREED TO PAY $7,000 FOR FAILURE TO REGISTER AND $3,000 FOR INVESTIGATIVE COSTS. Summary: THIS DRP FILED IN ERROR. SHOULD NOT HAVE BEEN DISCLOSED ON BD19616. DISCLOSURE RELATES TO PREDECESSOR BROKER DEALER WHOSE BD WAS WITHDRAWN. BD19616 DID NOT SUCCEED TO SIGNET FINANCIAL SERVICES, INC.'S LICENSE.
Allegations: THE DIVISION ALLEGES THAT WFA COMMITTED MULTIPLE VIOLATIONS OF (I) RULE 21 VAC 5-20-260 B BY FAILING TO EXERCISE DILIGENT SUPERVISION OVER SECURITIES ACTIVITIES OF ITS AGENT; (II) RULE 21 VAC 5-20-260 D (2) BY FAILING TO MONITOR AND CONDUCT FREQUENT EXAMINATIONS OF ALL CUSTOMER ACCOUNTS TO DETECT AND PREVENT IRREGULARITIES OR ABUSES; AND (III)RULE 21 VAC 5-20-260 D BY FAILING TO ENFORCE ITS WRITTEN POLICIES AND PROCEDURES. Status: Final Sanction Detail: MONETARY FINE OF $150,000. WELLS FARGO ADVISORS AGREED TO PAY $55,000 TO DEFRAY THE COST OF INVESTIGATION.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND THE ENTRY OF FINDINGS THAT IT RECEIVED, REVIEWED AND/OR ANALYZED DOCUMENTS AND INFORMATION FROM A FINANCIAL ADVISORY FIRM CONCERNING CERTAIN MONEY MANAGER STRATEGIES THAT CONTAINED INFORMATION THAT WAS LATER FOUND TO BE FALSE AND MISLEADING. THE FINDINGS STATED THAT THE FIRM INCLUDED THE FINANCIAL ADVISORY FIRM'S MONEY MANAGER STRATEGIES IN CERTAIN OF ITS EXTERNALLY MANAGED SEPARATELY MANAGED ACCOUNT PROGRAMS, BUT THE FIRM DID NOT UTILIZE INACCURATE HISTORICAL PERFORMANCE DATA IN CONNECTION WITH ITS DECISION TO ONBOARD THE MONEY MANAGER STRATEGIES AND THE FIRM DID NOT INCORPORATE INACCURATE PERFORMANCE DATA IN ITS ADVERTISEMENTS OR PROGRAM MARKETING MATERIALS. Status: Final Sanction Detail: MONETARY PAYMENT $270,000.00 Summary: NOTICE OF HEARING WAS ISSUED DECEMBER 21, 2017. CONSENT ORDER WAS ISSUED DECEMBER 21, 2017.
Allegations: ALLEGED THAT WFCS HAS VIOLATED NRS 90.360(2) AND NAC 90.392 BY MAINTAINING THREE (3) BRANCH OFFICE LOCATIONS IN THE STATE OF NEVADA WITHOUT OBTAINING A LICENSE FROM THE DIVISION Status: Final Sanction Detail: IN ADDITION TO THE MONETARY PENALTY OF $8500, WFCS IS ORDERED TO PAY $1446.13 FOR COSTS OF INSPECTING TWO BRANCH OFFICES
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Allegations: A.G. EDWARDS FAILED TO EXERCISE REASONABLE SUPERVISION OVER REGISTERED REPRESENTATIVE HOWARD '"BUCK MCHUGH" AND PERMITTED MCHUGH TO COLD-CALL RETIREES, TRADE IN CLIENT ACCOUNTS WITHOUT AUTHORIZATION. MCHUGH ENGAGED IN CHURNING, DAY TRADING AND FREE-RIDING IN SUCH ACCOUNTS. A.G. EDWARDS FAILED TO FORMALLY DISCIPLINE MCHUGH, PERMITTING HIM TO SWITCH BRANCHES MULTIPLE TIMES AND NOT INFORMING SUBSQUENT MANAGERS OF MCHUGH'S PRIOR ACTS. Status: Final Sanction Detail: A.G. EDWARDS SHALL OFFER RESTITUTION TO CERTAIN MCHUGH'S FORMER CLIENTS.
Allegations: IT WAS ASSERTED THAT WACHOVIA SECURITIES (ARGENTINA), LLC, HAD ENGAGED IN UNAUTHORIZED OFFERING OF REGULATED SECURITIES/INVESTMENT SERVICES TO THE PUBLIC OF ARGENTINA BY LISTING THE ADDRESS AND PHONE NUMBER OF ITS ARGENTINE BRANCH OFFICE LOCATION ON THE "GLOBAL OFFICE LOCATOR PAGE" OF THE PUBLIC WEBSITE OF ITS PARENT, WACHOVIA SECURITIES, LLC. Status: Final Sanction Detail: CIVIL AND ADMINISTRATIVE PENALTIES AND FINES. PAID AUGUST 2012.
Allegations: IT WAS ASSERTED THAT WACHOVIA SECURITIES (ARGENTINA), LLC, HAD ENGAGED IN UNAUTHORIZED OFFERING OF REGULATED SECURITIES/INVESTMENT SERVICES TO THE PUBLIC OF ARGENTINA BY LISTING THE ADDRESS AND PHONE NUMBER OF ITS ARGENTINE BRANCH OFFICE LOCATION ON THE "GLOBAL OFFICE LOCATOR PAGE" OF THE PUBLIC WEBSITE OF ITS PARENT, WACHOVIA SECURITIES, LLC. Status: Final Sanction Detail: CIVIL AND ADMINISTRATIVE PENALTIES AND FINES. PAID AUGUST 2012. Summary: IT WAS ASSERTED THAT WACHOVIA SECURITIES (ARGENTINA), LLC, HAD ENGAGED IN UNAUTHORIZED OFFERING OF REGULATED SECURITIES/INVESTMENT SERVICES TO THE PUBLIC OF ARGENTINA BY LISTING THE ADDRESS AND PHONE NUMBER OF ITS ARGENTINE BRANCH OFFICE LOCATION ON THE "GLOBAL OFFICE LOCATOR PAGE" OF THE PUBLIC WEBSITE OF ITS PARENT, WACHOVIA SECURITIES, LLC.CIVIL AND ADMINISTRATIVE PENALTIES AND FINES. PAID AUGUST 2012.
Allegations: WELLS FARGO BANK, N.A. FAILED TO COMPLY WITH CERTAIN PROVISIONS OF PRIOR OCC CONSENT ORDERS RELATING TO CERTAIN RESIDENTIAL MORTGAGE SERVICING PRACTICES FROM PRIOR CONSENT ORDERS. # 2016-055 (AA-EC-2016-30) ORDERS WELLS FARGO BANK, N.A. PAY A $ 70,000,000. CIVIL MONEY PENALTY. Status: Final Sanction Detail: THE BANK NEITHER ADMITTED NOR DENIED ANY WRONGDOING WITH RESPECT TO THE FINDINGS IN THE CONSENT ORDER.
Allegations: WELLS FARGO BANK, N.A. FAILED TO COMPLY WITH CERTAIN PROVISIONS OF PRIOR OCC CONSENT ORDERS RELATING TO CERTAIN RESIDENTIAL MORTGAGE SERVICING PRACTICES FROM PRIOR CONSENT ORDERS. # 2016-055 (AA-EC-2016-30) ORDERS WELLS FARGO BANK, N.A. PAY A $ 70,000,000. CIVIL MONEY PENALTY. Status: Final Sanction Detail: THE BANK NEITHER ADMITTED NOR DENIED ANY WRONGDOING WITH RESPECT TO THE FINDINGS IN THE CONSENT ORDER.
Allegations: THE CALIFORNIA DEPARTMENT OF INSURANCE FILED A DISCIPLINARY ACTION FOR ALLEGED IMPROPER SALES PRACTICES BETWEEN 2008 AND 2016 CONCERNING THE BANK'S ONLINE INSURANCE REFERRAL PROGRAM FOR RENTERS AND SIMPLIFIED-ISSUE TERM LIFE INSURANCE. THE INSURANCE PRODUCTS WERE OFFERED BY REFERRAL THROUGH THIRD-PARTY CARRIERS AMERICAN MODERN INSURANCE GROUP, ASSURANT, GREAT WEST FINANCIAL, AND PRUDENTIAL INSURANCE COMPANY. THE CALIFORNIA DEPARTMENT OF INSURANCE ALLEGES THAT WELLS FARGO'S ACTIONS ARE GROUNDS FOR SUSPENDING OR REVOKING THE INSURANCE LICENSES FOR WELLS FARGO BANK, N.A. AND WELLS FARGO INSURANCE, INC. Status: Final Sanction Detail: $5,000,000 OF THE PENALTY SHALL BE PAID WITHIN 30 DAYS OF THE EFFECTIVE DATE, AND $345,816 WILL BE TO COVER ANY AND ALL ATTORNEY FEES, COSTS AND/OR EXPENSES RECOVERABLE. AND THE REMAINING $5,000,000 SHALL BE PAYABLE ONLY IF, AFTER A PERIOD OF NO LESS THAN TWO YEARS FOLLOWING THE LAST OF THE RESPECTIVE EXPIRATION DATES OF ITS LICENSES, WELLS FARGO FILES AN APPLICATION WITH THE DEPARTMENT FOR REISSUANCE OF EITHER OF ITS LICENSES, OR APPLIES FOR ANY LICENSE, AND THE INSURANCE COMMISSIONER GRANTS ANY SUCH LICENSES.
Summary: "DRP FILED IN ERROR"
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE WAS PAID ON FEBRUARY 24, 2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS Status: Final Sanction Detail: PAYMENT IS DUE TO STATE OF NEW YORK BY MARCH 31, 2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE WAS PAID ON FEBRUARY 25, 2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE WAS PAID ON FEBRUARY 24, 2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE WAS FINE PAID ON FEBRUARY 19, 2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: PAYMENT OF FINE IS DUE BY 03/06/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: FINE IS DUE BY 03/06/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: FINE WAS PAID ON 3/6/2009.
Allegations: ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: FINE WAS PAID ON 3/11/2009.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS Status: Final Sanction Detail: THE FINE WAS PAID ON 03/13/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 03/18/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 03/25/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 04/01/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 03/27/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 04/07/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 04/03/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 04/10/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE IS DUE IN FULL BY 12/31/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE IS DUE BY 04/27/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE IS DUE BY 04/30/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 05/19/2009
Allegations: THE COMMISSION ISSUED CONSENT ORDER NO. CO-2009-0011, CITED WACHOVIA SECURITIES, LLC WITH ENGAGING IN UNETHICAL AND DISHONEST PRACTICES AND FAILURE TO PROPERLY SUPERVISE ITS AGENTS. THIS ACTION STEMMED FROM THE FIRMS INAPPROPIATE MARKETING OF AUCTION RATE SECURITIES (ARS) TO CUSTOMERS WITHOUT ADEQUATELY DISCLOSING RISKS OF ILLIQUIDITY Status: Final Sanction Detail: $350.000 TO STATE OF ALABAMA; $250,000 TO ALABAMA SECURITIES COMMISSION; $73,141.24 TO INVESTOR PROTECTION TRUST; $10,000 TO ALABAMA DISTRICT ATTORNEY'S ASSOCIATION. RECEIVED 06/10/2009 THE FIRM SENT THE $683,141.24 TOTAL FINE, AS STIPULATED, TO THE STATE OF ALABAMA ON 06/04/2009. Summary: THE COMMISSION ISSUED CONSENT ORDER NO. CO-2009-0011, CITED WACHOVIA SECURITIES, LLC WITH ENGAGING IN UNETHICAL AND DISHONEST PRACTICES AND FAILURE TO PROPERLY SUPERVISE ITS AGENTS. THIS ACTION STEMMED FROM THE FIRMS INAPPROPIATE MARKETING OF AUCTION RATE SECURITIES (ARS) TO CUSTOMERS WITHOUT ADEQUATELY DISCLOSING RISKS OF ILLIQUIDITY
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE WAS PAID ON JUNE 12TH, 2009
Allegations: ON JULY 15, 2010, THE CONNECTICUT BANKING COMMISSIONER ENTERED A CONSENT ORDER WITH RESPECT TO WACHOVIA SECURITIES, LLC (N/K/A WELLS FARGO ADVISORS, LLC), A CONNECTICUT-REGISTERED BROKER DEALER LOCATED AT ONE NORTH JEFFERSON AVENUE, ST. LOUIS, MISSOURI. THE CONSENT ORDER FOLLOWED AN INVESTIGATION BY A MULTISTATE TASK FORCE INTO THE MARKETING AND SALE OF AUCTION RATE SECURITIES (ARS) BY THE FIRM FROM JANUARY 1, 2006 THROUGH FEBRUARY 14, 2008. THE CONSENT ORDER ALLEGED THAT, IN CONJUNCTION WITH THE MARKETING OF ARS, THE FIRM FAILED TO SUPERVISE THEIR EMPLOYEES, AND THAT THE FIRM ENGAGED IN DISHONEST OR UNETHICAL PRACTICES IN THE SECURITIES BUSINESS BY MISCHARACTERIZING OR FAILING TO ADEQUATELY EXPLAIN ARS TO CUSTOMERS. Status: Final Sanction Detail: SEE RESPONSE TO ITEM 12.B. PAYMENT OF THE $863,341.30 FINE WAS SENT TO THE STATE OF CONNECTICUT DEPARTMENT OF BANKING ON 07/20/2010.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Summary: REMOVED AFFILIATE, WACHOVIA SECURITIES FINANCIAL NETWORK, LLC,COMBINING DRP DISCLOSURES ONTO ANOTHER DRP FORM. USING THIS DRP FORM TO COMBINE THE AFFILIATE, PRUCO SECURITIES, LLC, DISCLOSURES.
Allegations: SEC ADMIN RELEASE 34-73175, IA RELEASE 40-3928/SEPTEMBER 22, 2014: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940 AGAINST WELLS FARGO ADVISORS, LLC ("WELLS FARGO ADVISORS" OR "RESPONDENT"). IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS,RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. WELLS FARGO ADVISORS ADMITS THE FINDINGS, ACKNOWLEDGES THAT ITS CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS, ADMITS THE COMMISSION'S JURISDICTION OVER IT AND THE SUBJECT MATTER OF THESE PROCEEDINGS, AND CONSENTS TO THE ENTRY OF THIS ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS. THIS CASE INVOLVES THE FAILURE OF WELLS FARGO ADVISORS TO ADEQUATELY ESTABLISH, MAINTAIN, AND ENFORCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE MISUSE OF MATERIAL NONPUBLIC INFORMATION, SPECIFICALLY, THE MATERIAL NONPUBLIC INFORMATION OBTAINED FROM ITS CUSTOMERS AND ITS ADVISORY CLIENTS. WELLS FARGO ADVISORS' POLICIES AND PROCEDURES TO PREVENT THE MISUSE OF MATERIAL NONPUBLIC INFORMATION WERE NOT REASONABLY DESIGNED TO ADDRESS THE RISK THAT ITS ASSOCIATED PERSONS COULD OBTAIN MATERIAL NONPUBLIC INFORMATION FROM ITS CUSTOMERS AND ADVISORY CLIENTS EVEN THOUGH THE FIRM EXPRESSLY IDENTIFIED THAT RISK IN MULTIPLE INTERNAL DOCUMENTS. THIS RISK MANIFESTED ITSELF IN 2010 WHEN ONE OF THE REGISTERED REPRESENTATIVES OF WELLS FARGO ADVISORS MISAPPROPRIATED INFORMATION FROM ONE OF HIS CUSTOMERS ABOUT A COMPANY'S SECURITIES, TRADED ON THE BASIS OF THAT INFORMATION,AND TIPPED OTHERS INCLUDING SEVERAL OF HIS WELLS FARGO ADVISORS CUSTOMERS. THE MANNER IN WHICH THE POLICIES AND PROCEDURES WERE DESIGNED AFFECTED THE COMPANY SECURITIES REVIEW. MULTIPLE UNITS WITHIN THE FIRM RECEIVED INDICATIONS SUGGESTING THAT THE REGISTERED REPRESENTATIVE WAS MISUSING MATERIAL NONPUBLIC INFORMATION OBTAINED FROM A CUSTOMER TO TRADE IN THE COMPANY'S SECURITIES. BECAUSE OF A LACK OF ASSIGNED RESPONSIBILITY OR COORDINATION, EACH OF THESE UNITS FAILED TO TAKE NEEDED ACTIONS. THE POLICIES AND PROCEDURES DESIGNED CAUSED RESPONDENT NOT TO RECOGNIZE SEVERAL RED FLAGS THAT ITS REPRESENTATIVE WAS ENGAGING IN INSIDER TRADING IN THE COMPANY'S SECURITIES. IN ADDITION THE RESPONDENT DID NOT EFFECTIVELY MAINTAIN AND ENFORCE THE POLICIES AND PROCEDURES. ADDITIONALLY, ALTHOUGH THE POLICIES AND PROCEDURES REQUIRED "DAILY REVIEW TO IDENTIFY SITUATIONS WHEN PROFIT OR AVOIDANCE OF LOSS COULD MOST LIKELY RESULT FROM TRADING PRIOR TO THE PUBLIC RELEASE OF INFORMATION," FOR A TEN MONTH PERIOD THE RETAIL CONTROL GROUP (RCG), A UNIT IN THE FIRM'S COMPLIANCE DEPARTMENT, FAILED TO PERFORM REVIEWS IN A TIMELY MANNER OF AT LEAST 40 INSTANCES OF POSSIBLE INSIDER TRADING FLAGGED FOR REVIEW. WHEN THE RESPONDENT PRODUCED DOCUMENTS, AS REQUESTED BY THE COMMISSION,RELATING TO REVIEWS OF TRADING BY THE REGISTERED REPRESENTATIVE WHO TRADED IN THE COMPANY'S SECURITIES, IN RESPONSE TO THE COMMISSION'S REQUEST,DOCUMENTS RELATING TO THE RCG REVIEW OF THE SECURITIES TRADING WERE NOT PRODUCED. RESPONDENT UNREASONABLY DELAYED,WITHOUT ANY EXPLANATION,FOR SIX MONTHS PRODUCING DOCUMENTS RELATING TO THE RCG REVIEW OF THE REPRESENTATIVE WHO TRADED IN THE COMPANY'S SECURITIES. WHEN THE DOCUMENTS WERE PRODUCED, THE FIRM FAILED TO PRODUCE AN ACCURATE RECORD OF THE REVIEW AS IT EXISTED AT THE TIME OF THE REQUEST. INSTEAD, IT PRODUCED A DOCUMENT THAT HAD BEEN ALTERED BY AN EMPLOYEE. WHEN QUESTIONS AROSE SURROUNDING THE ALTERED DOCUMENT, THE EMPLOYEE WAS PLACED ON ADMINISTRATIVE LEAVE AND EVENTUALLY TERMINATED. AS A RESULT, RESPONDENT WILLFULLY VIOLATED SECTIONS 15(G), 17(A), AND 17(B) OF THE EXCHANGE ACT AND RULE 17A-4(J) THEREUNDER AND SECTIONS 204(A) AND 204A OF THE ADVISERS ACT. Status: Final Sanction Detail: RESPONDENT CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 15(G), 17(A), AND 17(B) OF THE EXCHANGE ACT AND RULE 17A-4(J) PROMULGATED THEREUNDER AND SECTIONS 204A AND 204(A) OF THE ADVISERS ACT. RESPONDENT IS CENSURED. RESPONDENT SHALL, WITHIN 10 DAYS OF THE ENTRY OF THIS ORDER, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $5,000,000. WILLFULLY VIOLATED SECTIONS 15(G), 17(A), AND 17(B) OF THE EXCHANGE ACT AND RULE 17A-4(J) THEREUNDER AND SECTIONS 204(A) AND 204A OF THE ADVISERS ACT. Summary: SEE SANCTION DETAILS IN 12.B.
Allegations: FIRST UNION CAPITAL MARKETS CORP. (MERGED INTO WHEAT FIRST SECURITIES, INC, WHICH CHANGED ITS NAME TO FIRST UNION CAPITAL MARKETS CORP.-BD6124. FIRST UNION CAPITAL MARKETS CORP. MERGED INTO THE APPLICANT.)INITIALLY RECEIVED A WELLS CALL ALLEGING VIOLATION OF VARIOUS RULES AND REGULATIONS IN CONECTION WITH EXECUTION BY REPRESENTATIVES OF FUCM OF CERTIFICATIONS OF COMPLIANCE WITH RULE 9I-16 OF THE FLORIDA ADMINISTRATIVE CODE. NO DAMAGES ARE ALLEGED. ADMINISTRATIVE PROCEEDING ALLEGES FAILURE BY THE FIRM TO DISCLOSE A CONTINGENT FEE ARRANGEMENT WITH CONSULTANT IN VIOLATION OF FINANCIAL ADVISORY CONTRACT AND FLORIDA LAW AND MSRB RULE G-17. Status: On Appeal Sanction Detail: AN ADMINISTRATIVE LAW JUDGE RENDERED A DECISION ORDERING FIRST UNION TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF SECTION 15B OF THE EXCHANGE ACT AND MSRB RULE G-17 FOR A PERIOD OF 3 YEARS, DISGORGE APPROXIMATELY $114,000 PLUS PRE-JUDGEMENT INTEREST AND PAY A FINE OF $20,000. Summary: THE DECISION WAS AFFIRMED BY THE COMMISSION ON AUGUST 20, 2003.
Allegations: PURSUANT TO THE SEC SHARE CLASS SELECTION DISCLOSURE INITIATIVE AND WITHOUT ADMITTING OR DENYING THE SEC'S FINDINGS, WELLS FARGO CLEARING SERVICES LLC ("WCFS") AND WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC ("RESPONDENTS"), JOINTLY AND SEVERALLY, CONSENTED TO THE ENTRY OF A SEC ORDER ALLEGING THAT RESPONDENTS WILLFULLY VIOLATED SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND SECTION 207 OF THE ADVISERS ACT, IN THAT RESPONDENTS DID NOT ADEQUATELY DISCLOSE TO THEIR CLIENTS IN EITHER THEIR FORMS ADV OR OTHERWISE THEIR CONFLICTS OF INTEREST RELATING TO (A) THEIR RECEIPT OF 12B-1 FEES AND (B) THEIR SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. Status: Final Sanction Detail: WITHIN TEN DAYS OF THE ENTRY OF THE ORDER, PAYMENT OF DISGORGEMENT AND PREJUDGEMENT INTEREST, IN THE AMOUNT OF $17,363,847.29 IS REQUIRED TO BE PAID INTO AN ESCROW FUND FOR DISTRIBUTION TO AFFECTED INVESTORS PURSUANT TO THE TERMS OF THE ORDER Summary: THE FIRM SELF-REPORTED TO THE COMMISSION THE VIOLATIONS IN THE ORDER PURSUANT TO THE DIVISION OF ENFORCEMENT'S (THE "DIVISION") SHARE CLASS SELECTION DISCLOSURE INITIATIVE.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Allegations: THE FIRM AND AFFILIATES WERE ALLEGED TO HAVE ENTERED INTO AN AGREEMENT TO ALLOW A REGISTERED REPRESENTATIVE TO MARKET TIME IN A SPECIFIC EVERGREEN FUND IN EXCESS OF TRADING LIMITS SET FORTH IN THE FUNDS' PROSPECTUS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM ENTERED INTO AN AGREEMENT TO PAY DISGORGEMENT OF $1 AND CIVIL PENALTY OF $500,000, CENSURED, AND CEASE AND DESIST ANY FURTHER VIOLATIONS OF SECTION 17(D) OF THE INVESTMENT COMPANY ACT AND RULE 17D-1.
Allegations: VIOLATED APPLICABLE BOOKS AND RECORDS REQUIREMENTS IN CONNECTION WITH CERTAIN PRIMARY DISTRIBUTIONS OF DEBT SECURITIES OF ONE OR MORE OF THE FOLLOWING GOVERNMENT SPONSORED ENTITIES: FHLB, FFCBFC FNMA, FHLMC, AND STUDENT LOAN MARKETING ASSOCIATION. SPEDIFICALLY VIOLATED RULES 17(A), 17(A)(3), AND 17(A)(4) OF THE SECURITIES EXCHANGE ACT OF 1934. Status: Final Sanction Detail: SOUTHTRUST SECURITIES, INC. (CRD# 17922 - MERGED INTO WACHOVIA SECURITIES, LLC) WAS ORDERED TO PAY A $10,000 CIVIL MONETARY PENALTY, PAID IN FULL ON 01/16/1992. Summary: SEC INSTITUTED PROCEEDINGS AGAINST SOUTHTRUST SECURITIES, INC. (CRD# 17922 - MERGED INTO WACHOVIA SECURITIES, LLC) AND AT LEAST 97 OTHER FIRMS, EACH OF WHICH WAS A BROKER AND/OR DEALER.
Allegations: SEC ADMIN RELEASE 34-82054, NOVEMBER 13, 2017: THE SEC DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AGAINST WELLS FARGO ADVISORS, LLC. IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. SOLELY FOR THE PURPOSE OF THESE PROCEEDINGS AND ANY OTHER PROCEEDINGS BROUGHT BY OR ON BEHALF OF THE COMMISSION, OR TO WHICH THE COMMISSION IS A PARTY, AND WITHOUT ADMITTING OR DENYING THE FINDINGS HEREIN, EXCEPT AS TO THE COMMISSION'S JURISDICTION OVER IT AND THE SUBJECT MATTER OF THESE PROCEEDINGS, WHICH ARE ADMITTED, RESPONDENT CONSENTS TO THE ENTRY OF THIS ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER. ON THE BASIS OF THIS ORDER AND RESPONDENT'S OFFER, THE COMMISSION FINDS THAT THESE PROCEEDINGS ARISE OUT OF WELLS FARGO ADVISORS' FAILURE TO FILE OR TIMELY FILE A NUMBER OF SUSPICIOUS ACTIVITY REPORTS ("SARS") FROM APPROXIMATELY MARCH 2012 THROUGH JUNE 2013. THE MAJORITY OF THESE FAILURES INVOLVED THE FAILURE TO TIMELY FILE SARS ON ONGOING SUSPICIOUS ACTIVITY THAT CONTINUED AFTER AN INITIAL SAR FILING BY WELLS FARGO ADVISORS ON RELATED SUSPICIOUS ACTIVITY. AT THE TIME, WELLS FARGO ADVISORS' ANTI-MONEY LAUNDERING ("AML") POLICIES AND PROCEDURES REQUIRED THE FILING OF SARS PURSUANT TO THE REQUIREMENTS OF THE BANK SECRECY ACT ("BSA"), INCLUDING THE FILING OF SARS RELATED TO CONTINUING SUSPICIOUS ACTIVITY. DESPITE THESE REQUIREMENTS, WELLS FARGO ADVISORS FAILED TO FILE OR TIMELY FILE AT LEAST 50 SARS, A MAJORITY OF WHICH RELATED TO CONTINUING SUSPICIOUS ACTIVITY OCCURRING IN ACCOUNTS HELD AT WELLS FARGO ADVISORS' U.S. BRANCH OFFICES THAT FOCUSED ON INTERNATIONAL CUSTOMERS. AS A RESULT OF THIS CONDUCT, WELLS FARGO ADVISORS WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-8 THEREUNDER. Status: Final Sanction Detail: RESPONDENT IS ORDERED TO CEASE AND DESIST; IS CENSURED; AND SHALL PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $3,500,000.00. Summary: IN DETERMINING TO ACCEPT WELLS FARGO ADVISORS' OFFER, THE COMMISSION CONSIDERED VOLUNTARY REMEDIAL ACTS PROMPTLY UNDERTAKEN BY RESPONDENT, INCLUDING THE FIRM'S RETAINING A THIRD PARTY AML COMPLIANCE FIRM TO REVIEW CERTAIN OF ITS SAR INVESTIGATIONS DURING THE SUMMER OF 2014. IN DETERMINING WHETHER TO ACCEPT THE OFFER, THE COMMISSION HAS ALSO CONSIDERED THE UNDERTAKINGS ENUMERATED IN THE ORDER. IN VIEW OF THE FOREGOING, THE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST TO IMPOSE THE SANCTIONS AGREED TO IN RESPONDENT WELLS FARGO ADVISORS' OFFER. ACCORDINGLY, PURSUANT TO SECTIONS 15(B) AND 21C OF THE EXCHANGE ACT IT IS HEREBY ORDERED THAT: RESPONDENT CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-8 PROMULGATED THEREUNDER; RESPONDENT IS CENSURED; AND RESPONDENT SHALL, WITHIN 30 DAYS OF THE ENTRY OF THIS ORDER, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $3,500,000.00 TO THE SEC.
Summary: REMOVE THIS DRP, COMBINED ONTO ANOTHER DRP FORM.
Summary: COMBINING ALL DRP DISCLOSURES ONTO THIS ONE FORM FOR THIS AFFILIATE WITH THE EXCEPTION OF QUESTION 11G, WHICH WILL BE ON A SEPARATE DRP.
Summary: COMBINING ALL DRP DISCLOSURES FOR THIS AFFILIATE ONTO THIS DRP FORM.
Summary: COMBINING ALL DRP DISCLOSURES FOR THIS AFFILIATE ONTO THIS ONE DRP FORM.
Summary: COMBINING ALL DRP DISCLOSURES FOR THIS AFFILIATE ONTO THIS ONE DRP FORM.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AND ITS AFFILIATE CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THEY FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE REASONABLE SUPERVISORY SYSTEMS FOR THE USE OF CONSOLIDATED REPORTS GENERATED BY THEIR REGISTERED REPRESENTATIVES THROUGH A PARTICULAR APPLICATION (THE APPLICATION) THAT THE FIRMS MADE AVAILABLE TO THEIR REGISTERED REPRESENTATIVES. THE FINDINGS STATED THAT THE FIRM AND ITS AFFILIATE PERMITTED THEIR REGISTERED REPRESENTATIVES TO USE UP TO 10 OR MORE DIFFERENT APPLICATIONS TO CREATE CONSOLIDATED REPORTS, INCLUDING THE APPLICATION. THE APPLICATION WAS THE MOST WIDELY USED CONSOLIDATED REPORTING APPLICATION AT THE FIRMS. THE FINDINGS ALSO STATED THAT WHEN PREPARING APPLICATION REPORTS, THE FIRMS' REPRESENTATIVES WERE PERMITTED TO MANUALLY ENTER INFORMATION REGARDING CUSTOMERS' EXTERNAL ACCOUNTS, ASSETS AND LIABILITIES INTO A CENTRALIZED ASSETS AND LIABILITIES TABLE, WHICH THE FIRMS MAINTAINED. THE APPLICATION WOULD PULL THAT INFORMATION FROM THE TABLE TO POPULATE THE APPLICATION REPORTS, INCLUDING THOSE THAT WERE THEN SENT TO THE FIRMS' CUSTOMERS. THE FIRMS REVIEWED A RANDOM SAMPLING OF ONLY 2 PERCENT OF THE APPLICATION REPORTS. THE FIRM AND ITS AFFILIATE DID NOT, AND HAD NO SYSTEM IN PLACE TO, REVIEW THE CONTENTS OF THE APPLICATION REPORTS, INCLUDING INFORMATION ABOUT CUSTOMERS' HOLDINGS AWAY FROM THE FIRMS. THE FINDINGS ALSO INCLUDED THAT THE FIRMS' SUPERVISORY SYSTEMS AND PROCEDURES WERE INADEQUATE BECAUSE THERE WAS NO MECHANISM ALLOWING THEIR REPRESENTATIVES TO DESIGNATE WHICH APPLICATION REPORTS WERE ACTUALLY PROVIDED TO CUSTOMERS. THE FIRMS COULD NOT DISTINGUISH BETWEEN DRAFT APPLICATION REPORTS AND REPORTS THAT WERE COMPLETED AND SENT TO CUSTOMERS, WHICH SHOULD HAVE BEEN SUBJECTED TO THE FIRMS' SUPERVISORY SYSTEMS DESIGNED TO REVIEW CUSTOMER COMMUNICATIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $1,000,000, JOINTLY AND SEVERALLY.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT, WITH TWO OTHER FIRMS, FAILED TO MAINTAIN APPROXIMATELY ONE MILLION ELECTRONIC BROKERAGE RECORDS IN NON-ERASABLE AND NON-REWRITABLE FORMAT, KNOWN AS WORM "WRITE ONCE, READ MANY" FORMAT. THE FINDINGS STATED THAT WORM IS INTENDED TO PREVENT THE ALTERATION OR DESTRUCTION OF BROKER-DEALER RECORDS STORED ELECTRONICALLY. THE FINDINGS ALSO STATED THAT FOR APPROXIMATELY 1.5 MILLION ACCOUNTS, THE FIRM, WITH THE OTHER TWO FIRMS, FAILED TO PRESERVE CUSTOMER ACCOUNT FORM TEMPLATES CONTAINING THE TERMS AND CONDITIONS RELATED TO THE OPENING AND MAINTENANCE OF THE ACCOUNTS. THE FINDINGS ALSO INCLUDED THAT THE FIRM, WITH ONE OF THE OTHER FIRMS, FAILED TO RETAIN CERTAIN COMMUNICATIONS, INCLUDING 77,280 REJECT LETTERS AND 78,200 FULFILLMENT LETTERS. FINRA FOUND THAT THE FIRM FAILED TO NOTIFY FINRA, ITS DESIGNATED EXAMINING AUTHORITY, AT LEAST 90 DAYS PRIOR TO USING NEW STORAGE MEDIA TO STORE ELECTRONIC BROKER-DEALER RECORDS. FINRA ALSO FOUND THAT THE FIRM FAILED TO IMPLEMENT AN AUDIT SYSTEM FOR THOSE RECORDS THEY FAILED TO MAINTAIN IN WORM FORMAT. IN ADDITION, FINRA DETERMINED THAT THE FIRM FAILED TO PROVIDE ITS THIRD-PARTY VENDORS FULL ACCESS TO, AND THE ABILITY TO DOWNLOAD INFORMATION FROM, ITS ELECTRONIC STORAGE SYSTEMS. MOREOVER, FINRA FOUND THAT THE FIRM FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM, AND FAILED TO ENFORCE WRITTEN PROCEDURES, CONCERNING THE FIRM'S READY ACCESS TO ELECTRONIC BROKER-DEALER RECORDS AND ITS STORAGE OF SUCH RECORDS IN WORM FORMAT. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $1,500,000, JOINTLY AND SEVERALLY, AND IS REQUIRED TO REVIEW ITS POLICIES AND PROCEDURES RELATED TO THE ADEQUACY OF ITS RELEVANT POLICIES AND PROCEDURES (WRITTEN OR OTHERWISE), INCLUDING A DESCRIPTION OF THE REMEDIAL MEASURES LEADING TO FULL COMPLIANCE, RELATING TO THE CONDUCT ADDRESSED IN THE AWC
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT CERTAIN FIRM REGISTERED REPRESENTATIVES RECOMMENDED VOLATILITY-LINKED EXCHANGE-TRADED PRODUCTS (VOLATILITY ETPS) TO BROKERAGE CUSTOMERS WITHOUT FULLY UNDERSTANDING THEIR RISKS AND FEATURES. THE FINDINGS STATED THAT THE FIRM FAILED TO VET OR PLACE RESTRICTIONS ON RECOMMENDATIONS AND PURCHASES OF VOLATILITY ETPS, AND AS A RESULT, THESE PRODUCTS WERE MADE AVAILABLE TO RETAIL BROKERAGE CUSTOMERS REGARDLESS OF RISK PROFILE AND INVESTMENT OBJECTIVE. CERTAIN FIRM REPRESENTATIVES MISTAKENLY BELIEVED THAT VOLATILITY ETPS COULD BE USED AS A LONG-TERM HEDGE ON THEIR CUSTOMERS' EQUITY POSITIONS IN THE EVENT OF A MARKET DOWNTURN. IN FACT, VOLATILITY ETPS ARE GENERALLY SHORT-TERM TRADING PRODUCTS THAT DEGRADE SIGNIFICANTLY OVER TIME AND SHOULD NOT BE USED AS PART OF A LONG-TERM BUY-AND-HOLD INVESTMENT STRATEGY. ACCORDINGLY, IN THOSE INSTANCES, THE REPRESENTATIVES DID NOT HAVE A REASONABLE BASIS TO RECOMMEND VOLATILITY ETPS AS SUITABLE TO CUSTOMERS WITH CONSERVATIVE OR MODERATE RISK PROFILES AND INVESTMENT OBJECTIVES AND THE REPRESENTATIVES FURTHER FAILED TO APPROPRIATELY RECOMMEND THE EXIT OF THESE POSITIONS WITHIN A TIMELY MANNER. IN SOME INSTANCES, CUSTOMERS INCURRED SIGNIFICANT LOSSES. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN POLICIES AND PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH NASD RULE 2310 IN CONNECTION WITH ITS SALE OF VOLATILITY ETPS. ALTHOUGH THE FIRM SHOULD HAVE BEEN AWARE OF THE COMPLEXITY AND UNIQUE RISKS AND FEATURES ASSOCIATED WITH VOLATILITY ETPS, THE FIRM FAILED TO IMPLEMENT A REASONABLE SYSTEM TO SUPERVISE ITS REPRESENTATIVES' SOLICITED SALES OF VOLATILITY ETPS. THE FINDINGS ALSO INCLUDED THAT THE FIRM'S SUPERVISORY SYSTEMS ALSO DID NOT INCLUDE REASONABLE TRAINING FOR REGISTERED REPRESENTATIVES AND SUPERVISORS REGARDING THE FEATURES AND RISKS ASSOCIATED WITH VOLATILITY ETPS. BECAUSE THE FIRM FAILED TO ESTABLISH AND PROVIDE REASONABLE GUIDANCE, TRAINING OR TOOLS TO EDUCATE ITS REGISTERED REPRESENTATIVES AND SUPERVISORS ABOUT VOLATILITY ETPS, CERTAIN RETAIL BROKERAGE CUSTOMERS WERE UNINFORMED ABOUT THE FEATURES AND RISKS ASSOCIATED WITH VOLATILITY ETPS PRIOR TO PURCHASING THEM. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND ORDERED TO JOINTLY AND SEVERALLY PAY $3,411,478.78 IN RESTITUTION TO CUSTOMERS. Summary: IN DETERMINING TO RESOLVE THIS MATTER WITHOUT THE IMPOSITION OF A FINE, FINRA TOOK THE FOLLOWING INTO CONSIDERATION: (I) PRIOR TO DETECTION BY FINRA, THE FIRM CORRECTED ITS SUPERVISORY DEFICIENCIES RELATING TO VOLATILITY ETPS; (II) THE FIRM WAS PREVIOUSLY FINED $2.1 MILLION - AFTER THE MISCONDUCT AND ITS REMEDIATION HEREIN - FOR SIMILAR VIOLATIONS RELATING TO NON-TRADITIONAL ETPS; AND, (III) THE FIRM PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA BY, AMONG OTHER THINGS, ENGAGING AT ITS OWN EXPENSE A CONSULTING FIRM TO REVIEW, COMPILE, AND CALCULATE LARGE AMOUNTS OF DATA PERTAINING TO SALES OF VOLATILITY ETPS FOR USE IN DETERMINING THE APPROPRIATE RESTITUTION TO BE PROVIDED.
Allegations: THE NASD ALLEGES THAT ON OR ABOUT APRIL 3, 2000 NASD REGULATION STAFF REQUESTED PURSUANT TO NASD PROCEDURAL RULE 8210 THAT FIRST UNION COMPLETE AND RETURN A BRANCH OFFICE INFORMATION QUESTIONNAIRE BY APRIL 18, 2000. FIRST UNION REQUESTED AND RECIEVED AN EXTENSION OF THE RESPONSE DEADLINE UNTIL MAY 12, 2000. AFTER FURTHER COMMUNICATION WITH FIRST UNION, NASD REGULATION STAFF DID NOT RECEIVE THE REQUESTED INFORMATION UNTIL MARCH 2001. THE NASD ALLEGES THAT SUCH CONDUCT VIOLATES NASD PROCEDURAL RULE 8210 AND NASD CONDUCT RULE 2110. Status: Final Sanction Detail: N/A Summary: WITHOUT ADMITTING OR DENYING GUILT, FIRST UNION SECURITIES COSENTED TO THE NASD'S FINDINGS THAT ON OR ABOUT APRIL 3, 2000 NASD REGULATION STAFF REQUESTED PURSUANT TO NASD PROCEDURAL RULE 8210 THAT FIRST UNION COMPLETE AND RETURN A BRANCH OFFICE INFORMATION QUESTIONNAIRE BY APRIL 18, 2000. THAT FIRST UNION REQUESTED AND RECIEVED AN EXTENSION OF THE RESPONSE DEADLINE UNTIL MAY 12, 2000. THAT AFTER FURTHER COMMUNICATION WITH FIRST UNION, NASD REGULATION STAFF DID NOT RECEIVE THE REQUESTED INFORMATION UNTIL MARCH 2001. THAT THE NASD ALLEGES THAT SUCH CONDUCT VIOLATES NASD PROCEDURAL RULE 8210 AND NASD CONDUCT RULE 2110.
Allegations: 1. ALLEGATIONS OF FAILURE TO SUPERVISE TO ENSURE THAT CUSTOMER ORDERS WERE PROPERLY ALLOCATED TO CUSTOMER ACCOUNTS PRIOR TO OR SIMULTANEOUSLY WITH ORDER EXECUTION BY EVEREN SECURITIES (NOW KNOWN AS FIRST UNION SECURITIES) DURING 1997. 2. DURING 1999 & 2000, EVEREN SECURITIES ALLEGEDLY FAILED TO REPORT ALL CUSTOMER COMPLAINTS, CUSTOMER SETTLEMENTS AND VIOLATIVE CONDUCT IN A TIMELY MANNER. Status: Final Sanction Detail: N/A Summary: WITHOUT ADMITTING OR DENYING ANY GUILT, EVEREN SECURITIES (NOW KNOWN AS FIRST UNION SECURITIES) CONSENTED TO THE NYSE'S FINDINGS THAT 1. VIOLATED EXCHANGE RULE 440 AND SEC REGULATIONS 240.71A-3 AND 17A-4 BY FAILING IT TO MAKE AND PERSERVE REQUIRED RECORDS RELATING TO ACCOUNT DESIGNATION AND EXECUTION OF CUSTOMER ORDERS, 2. EXCHANGE RULE 410 BY FAILING TO MAKE AND PERSERVE REQUIRED RECORDS REGARDING THE TIMELY ALLOCATION OF ORDERS TO CUSTOMER ACCOUNTS, 3. EXCHANGE RULE 351 BY FAILING TO PROMPTLY REPORT CERTAIN CUSTOMER COMPLAINTS AND/OR SETTLEMENTS TO THE EXCHANGE AS REQUIRED, 4. EXCHANGE RULE 342 IN THAT IT FAILED TO REASONABLY SUPERVISE AND CONTROL AND PROVIDE APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL AND ESTABLISH A SYSTEM OF FOLLOW-UP AND REVIEW WITH RESPECT TO (A)ASSURING COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS REQUIRING THE MAKING AND PRESERVATION OF TIMELY RECORDS RELATING TO THE ACCOUNT DESIGNATION AND EXECUTION OF CUSTOMER ORDERS, (B) ASSURING THAT TRADE CORRECTIONS EFFECTED BY BRANCH OFFICE MANAGERS ARE PROPERLY REVIEWED, AND (C) ASSURING COMPLIANCE WITH EXCHANGE RULES TO PROMPTLY AND ACCURATLEY REPORT CUSTOMER COMPLAINTS AND/OR SETTLEMENTS TO THE EXCHANGE.
Allegations: SEC RULE 11AC1-4 - WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT MEMBER CONSENTED TO THE ENTRY OF FINDINGS THAT IT FAILED TO DISPLAY IMMEDIATELY THE CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN ITS PUBLIC QUOTATION, WHEN EACH SUCH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY; OR WHEN THE ORDER WAS PRICED EQUAL TO THE FIRM'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER IN SUCH SECURITY, AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH ITS BID OR OFFER IN EACH SUCH SECURITY. Status: Final Sanction Detail: A CENSURE AND A FINE OF $10,000.
Allegations: NASD RULE 2110 - WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, WACHOVIA SECURITIES, INC. CONSENTED TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TO THE FIXED INCOME PRICING SYSTEM ("FIPS")46 TRANSACTIONS IN FIPS SECURITIES WITHIN FIVE MINUTES AFTER EXECUTION DURING THE PERIOD FROM JANUARY 1, 2001 THROUGH JUNE 28,2001, WHICH CONSTITUTES A PATTERN OR PRACTICE OF REPORTING IN VIOLATION OF RULE 2110. THE FIRM PAID A FINE OF $5,000. Status: Final Sanction Detail: A FINE OF $5000.00
Allegations: THE FIRM WAS ALLEGED TO HAVE FAILED TO EXECUTE EIGHT MUNICIPAL SECURITY POSITIONS AT PRICES THAT WERE FAIR AND REASONABLE, DURING THE PERIOD FROM ON OR ABOUT AUGUST 22, 2002 THROUGH DECEMBER 10, 2002 IN VIOLATION OF MSRB RULES G-17 AND G-30(A). Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $20,000 AND PAYMENT OF RESTITUTION TO CLIENTS OF $19,486.25. WITHIN 90 DAYS OF ACCEPTANCE OF AWC THE FIRM SHALL PROVIDE THE NASD WITH A COPY OF ITS UPDATED WRITTEN SUPERVISORY PROCEDURES AS IT RELATES TO DETERMINING FAIR MARKET VALUE OF MUNICIPAL SECURITIES.
Allegations: THE FIRM WAS ALLEGED TO HAVE FAILED TO FILE FORM U4 AND U5 AMENDMENTS IN A TIMELY MANNER FROM JANUARY, 2002 TO MARCH, 2004. Status: Final Sanction Detail: THE FIRM WAS FINED IN THE TOTAL AMOUNT OF $650,000 WHICH WAS PAID ON NOVEMBER 16, 2004. THE FIRM IS PROHIBITED IN REGISTERING ANY ASSOCIATED PERSON, IN A NONSUPERVISORY SALES CAPACITY, FOR 5 CONSECUTIVE BUSINESS DAYS BEGINNING ON JANUARY 24, 2005 AND ENDING ON JANUARY 28, 2005. THE FIRM'S INTERNAL AUDIT DEPARTMENT IS REQUIRED TO AUDIT U4 AND U5 AMENDMENTS FILED BETWEEN JANUARY 1, 2004 AND SEPTEMBER 30, 2004 SUMMARIZING THEIR FINDINGS AND RECOMMENDATIONS WITH AN OFFICER. FURTHER, AN OFFICER SHALL CERTIFY THE FIRM HAS REVIEWED ITS SYSTEM AND PROCEDURES AND HAVE ESTABLISHED A SYSTEM AND PROCEDURES TO COMPLY WITH ARTICLE V REPORTING OBLIGATIONS.
Allegations: DURING THE PERIOD OF MAY 25, 2001 THROUGH APRIL 12, 2002, WACHOVIA WAS ALLEGED TO HAVE VIOLATED CONDUCT RULES 2110 AND 2210(C)(1)IN FAILING TO FILE SALES LITERATURE WITH THE NASD, ALLEGED TO HAVE VIOLATED RULE 2110 AND 3010(A)(1) IN FAILING TO RESONABLY SUPERVISE THE WRITTEN COMMUNICATION OF A REGISTERED REPRESENTATIVE, AND ALLEGED TO HAVE VIOLATED RULE 2110 AND 3010(B)(1)IN FAILING TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN PROCEDURES ON COMMUNICATIONS TO THE PUBLIC. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, WACHOVIA CONSENTED TO A CENSURE AND FINE OF $25,000. THE FINE WAS PAID ON APRIL 29, 2005.
Allegations: FAILURE TO DEVELOP WRITTEN SUPERVISORY PROCEDURES. Status: Final Sanction Detail: CENSURED AND FINED $2500, JOINTLY AND SEVERALLY. Summary: ON NOVEMBER 2, 1990 THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. NEW-779-AWC (DISTRICT NO. 5) SUBMITTED BY RESPONDENTS SOUTHTRUST SECURITIES, INC. (CRD#17922 - MERGED INTO WACHOVIA SECURITIES, LLC),JOSEPH C. MARFOGLIO, CHARLES J. SMITH AND JAMES D HOOKS WAS ACCEPTED; THEREFORE THEY ARE CENSURED AND FINED $2500 JOINTLY AND SEVERALLY - (ARTICLE III, SECTIONS 1, 21, 27 AND 33, APPENDIX 3 OF THE RULES OF FAIR PRACTICE AND MSRB RULE G-3 IN THAT RESPONDENT MEMBER, ACTING THROUGH RESPONDENTS MARFOGLIO AND SMITH, FAILED TO MAKE THE REQUIRED DEPOSIT IN ITS SPECIAL RESERVE BANK ACCOUNT; FAILED TO PROPERLY CONDUCT A QUARTERLY SECURITY EXAMINATION, COUNT AND VERIFICATION; FAILED TO PREPARE AND KEEP CURRENT AN ACCURATE SECURITIES POSITION RECORD; FAILED TO PREPARE AN ACCURATE COMPUTATION OF NET CAPITAL; RESPONDENT MEMBER, ACTING THROUGH RESPONDENT MARFOGLIO, FILED TO DEVELOP AND IMPLEMENT WRITTEN SUPERVISORY PROCEDURES; AND RESPONDENT MEMBER, ACTING THROUGH RESPONDENTS MARFOGLIO AND HOOKS, FAILED TO PROPERLY REGISTERE AN INDIVIDUAL AS A MUNICIPAL SECURITIES PRINCIPAL. ***$2,500 J&S PAID ON 11/20/90, INVOICE #90-05-1262***
Allegations: THE FIRM WAS ALLEGED TO HAVE VIOLATED EXCHANGE RULE 123C, IN FAILING TO ADHERE TO THE ORDER ENTRY AND CANCELLATION PROCEDURES FOR MARKET-ON-CLOSE (MOC) AND LIMIT-ON-CLOSE (LOC) ORDERS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO PAYMENT OF THE TOTAL FINE OF $7500, PAID ON 2/8/2006.
Allegations: DUE TO THE MISCONDUCT OF A REGISTERED REPRESENTATIVE, THE FIRM WAS ALLEGED TO HAVE VIOLATED NASD CONDUCT RULES 2110 AND 3010 IN REGARDS TO THE SUPERVISION OF CERTAIN ACTIVITIES OF THIS REGISTERED REPRESENTATIVE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO A CENSURE AND FINE OF $50,000.
Allegations: THE FIRM WAS ALLEGED TO HAVE VIOLATED NASD RULES 2110, 2830(L)(4) IN RECEIVING SPECIAL COMPENSATION FOR SHARES SOLD IN A PARTICULAR MUTUAL FUND DURING AN IRA PROMOTION THAT WAS NOT AVAILABLE TO ALL WHO DISTRIBUTED THE MUTUAL FUND AND THE ARRANGEMENT WAS NOT PROPERLY DISCLOSED IN THE PROSPECTUS OR STATEMENTS OF ADDITIONAL INFORMATION FOR THE MUTUAL FUNDS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE CENSURE AND FINE OF $25,000.
Allegations: ON JUNE 18 2007, AN NYSE HEARING OFFICER ACCEPTED "THE STIPULATION OF FACTS AND CONSENT TO PENALTY" ENTERED INTO BETWEEN NYSE REGULATION AND WACHOVIA SECURITIES LLC , WHEREIN WACHOVIA SECURITIES, LLC, WITHOUT ADMITTING OR DENYING GUILT, CONSENTED TO: (I) A FINDING THAT IT VIOLATED NYSE RULE 345A BY PERMITTING REGISTERED REPRESENTATIVES WITH INACTIVE REGISTRATIONS DUE TO CONTINUING EDUCATION REQUIREMENTS TO PERFORM DUTIES AND FUNCTIONS WHICH REQUIRED REGISTRATION AND VIOLATED NYSE RULE 342 BY FAILING TO PROVIDE FOR , ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES AND CONTROLS, INCLUDING A SYSTEM OF FOLLOW-UP AND REVIEW OF BUSINESS ACTIVITIES RELATING TO COMPLIANCE WITH CONTINUING EDUCATION TRAINING REQUIREMENTS BY REGISTERED REPRESENTATIVES; AND, (II) THE PENALTY OF A CENSURE AND A $90,000. FINE. IF NO REVIEW IS REQUESTED BY A MEMBER OF THE NYSE ENTITIES IDENTIFIED IN NYSE RULE 476(G), THE DECISION WILL BECOME FINAL AT THE CLOSE OF BUSINESS ON JULY 13, 2007. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING GUILT, CONSENTED TO THE PENALTY OF A CENSURE AND A $90,000. FINE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM HAS ENTERED INTO AN ACCEPTANCE, WAIVER AND CONSENT WITH FINRA CONCERNING CERTAIN FINDINGS REGARDING COMPLIANCE WITH TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) RULES DURING THE PERIOD JULY 1, 2005 THROUGH SEPTEMBER 30, 2005. THESE FINDINGS INVOLVED FAILING TO REPORT 1,434 TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 15 MINUTES OF TIME OF EXECUTION, AND OVER-REPORTING 4,008 TRANSACTIONS THAT WAS NOT REQUIRED TO BE REPORTED. THE FIRM HAS CONSENTED TO A FINE OF $5,000. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THE FIRM WAS FINED $5,000.
Allegations: NASD RULES 2110 AND 3010: RESPONDENT WACHOVIA SECURITIES, LLC FAILED TO DELIVER PROSPECTUSES AND PRODUCT DESCRIPTIONS TO CERTAIN CUSTOMERS WHO PURCHASED INVESTMENT PRODUCTS, AS REQUIRED UNDER FEDERAL SECURITIES LAWS AND NASD RULES. WACHOVIA SECURITIES FAILED TO HAVE ADEQUATE SUPERVISORY SYSTEMS AND APPROPRIATE WRITTEN SUPERVISORY PROCEDURES IN PLACE TO ENSURE THAT OFFERING DOCUMENTS WERE BEING SENT TO CUSTOMERS IN CONNECTION WITH SECURITIES TRANSACTIONS. WACHOVIA SECURITIES ALSO FAILED TO ADEQUATELY SUPERVISE THE SUBMISSION OF INFORMATION TO FINRA STAFF AND ENSURE THAT ITS SUBMISSIONS WERE ACCURATE, COMPLETE AND TIMELY SUBMITTED. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, WACHOVIA SECURITIES, LLC CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $1,400,000. IN ADDITION, WACHOVIA SECURITIES UNDERTAKES TO COMPLETE THE FOLLOWING WITHIN 120 DAYS OF NOTICE OF ACCEPTANCE OF THE AWC: 1) ADOPT AND IMPLEMENT SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE FEDERAL SECURITIES LAWS AND NASD/FINRA RULES APPLICABLE TO THE DELIVERY OF PROSPECTUSES AND PRODUCT DESCRIPTIONS, INCLUDING SYSTEMS AND PROCEDURES TO PROVIDE ADEQUATE OVERSIGHT IF THIRD PARTY VENDORS ARE UTILIZED; AND 2) PROVIDE A WRITTEN CERTIFICATE BY A DULY AUTHORIZED SENIOR OFFICER OF WACHOVIA SECURITIES LLC THAT THE FIRM HAS ADOPTED AND IMPLEMENTED SUPERVISORY SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE FEDERAL SECURITIES LAWS AND NASD/FINRA RULES APPLICABLE TO THE DELIVERY OF PROSPECTUSES AND PRODUCT DESCRIPTIONS.
Allegations: NASD RULES 2110, 3010(A), 3010(B): THE FIRM, FROM AUGUST 2001, THROUGH OCTOBER 2004, SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES WERE INADEQUATE TO DETECT ABUSIVE SALES PRACTICES REGARDING VARIABLE ANNUITIES THEREBY ALLOWING TWO REPRESENTATIVES TO ENGAGE IN ABUSIVE SALES PRACTICES REGARDING VARIABLE ANNUITIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $350,000. AN UNDERTAKING TO CERTIFY TO FINRA WITHIN 90 DAYS THAT FIRM HAS REVIEWED ITS PROCEDURES REGARDING VARIABLE ANNUITIES AND HAS SYSTEMS AND PROCEDURES IN PLACE THAT ARE REASONABLY DESIGNED TO DETECT ABUSIVE SALES PRACTICES.
Allegations: VIOLATION OF NASD RULES 2110, 2210(C)(1), 2210(C)(2)(A), 2210(D)(1)(A), 2210(D)(1)(B), 2210(D)(2)(B), & 2211 (D): RESPONDENT WELLS FARGO ADVISORS, LLC FAILED TO FILE PIECES OF UNIT INVESTMENT TRUST "UIT" MARKETING MATERIAL WITH THE NASD DEPARTMENT OF ADVERTISING REGULATION. THE FIRM INTERNALLY USED PIECES OF UIT MARKETING MATERIAL THAT FAILED TO COMPLY WITH NASD CONTENT STANDARDS IN THAT THEY FAILED TP PROVIDE A SOUND BASIS FOR EVALUATION AND A COMPLETE PRESENTATION REGARDING THE UITS. THE FIRM ALSO USED A PIECE OF MARKETING MATERIAL THAT COMPARED UITS TO OTHER INVESTMENTS WITHOUT INCLUDING ALL MATERIAL DIFFERENCES BETWEEN THE INVESTMENT OPTIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF THE FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $25,000.00. Summary: FINRA ALLEGED VIOLATION OF NASD RULES 2110, 2210(C)(1), 2210(C)(2)(A), 2210(D)(1)(A), 2210(D)(1)(B), 2210(D)(2)(B), & 2211(D)IN THAT THE RESPONDENT WELLS FARGO ADVISORS, LLC FAILED TO FILE PIECES OF UNIT INVESTMENT TRUST "UIT" MARKETING MATERIAL WITH THE NASD DEPARTMENT OF ADVERTISING REGULATION. THE FIRM INTERNALLY USED PIECES OF UIT MARKETING MATERIAL THAT FAILED TO COMPLY WITH NASD CONTENT STANDARDS IN THAT THEY FAILED TP PROVIDE A SOUND BASIS FOR EVALUATION AND A COMPLETE PRESENTATION REGARDING THE UITS. THE FIRM ALSO USED A PIECE OF MARKETING MATERIAL THAT COMPARED UITS TO OTHER INVESTMENTS WITHOUT INCLUDING ALL MATERIAL DIFFERENCES BETWEEN THE INVESTMENT OPTIONS. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF THE FINDINGS; THEREFORE, THE FIRM WAS CENSURED AND FINED $25,000.00
Allegations: MSRB RULES G-14(B)(II), G-15(A)(I) - WELLS FARGO ADVISORS, LLC FAILED TO REPORT THE CORRECT YIELD TO THE REAL-TIME TRANSACTION REPORTING SYSTEM (RTRS) IN REPORTS OF TRANSACTIONS IN MUNICIPAL SECURITIES AND FAILED TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMERS THE CORRECT LOWEST EFFECTED YIELD IN THESE MUNICIPAL SECURITIES TRANSACTIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $12,500. A COMPANY CHECK FOR THE FULL AMOUNT, $12,500.00 WAS SENT TO FINRA VIA OVERNIGHT CARRIER ON JANUARY 4, 2011.
Allegations: FINRA ALLEGED THAT WFA FAILED TO DELIVER PROSPECTUSES TO ITS CUSTOMERS WITHIN THREE BUSINESS DAYS OF THEIR PURCHASES IN 934,047 MUTUAL FUND TRANSACTIONS BETWEEN JANUARY 1, 2009 AND DECEMBER 31, 2009 (THE "RELEVANT PERIOD"). FINRA ALLEGED THAT WFA FAILED TO TIMELY FILE CERTAIN AMENDMENTS TO UNIFORM APPLICATIONS FOR SECURITIES INDUSTRY OR TRANSFER ("FORMS U4") AND UNIFORM TERMINATION NOTICES FOR SECURITIES INDUSTRY REGISTRATION ("FORMS U5") FROM JULY 1, 2008 TO JUNE 30, 2009. Status: Final Sanction Detail: $1,000,000 FINE TO WFA Summary: AWC ACCEPTED ON MAY 4, 2011
Allegations: NASD RULES 2110, 2440, INTERPRETATIVE MATERIAL-2440, MSRB RULES G-17, G-30(A): IN NINE TRANSACTIONS, THE FIRM SOLD (OR BOUGHT) CORPORATE BONDS TO (OR FROM)CUSTOMERS AND FAILED TO SELL (OR BUY) SUCH BONDS AT A PRICE THAT WAS FAIR, TAKING INTO CONSIDERATION ALL RELEVANT CIRCUMSTANCES, INCLUDING MARKET CONDITIONS WITH RESPECT TO EACH BOND AT THE TIME OF THE TRANSACTION, THE EXPENSE INVOLVED AND THAT THE FIRM WAS ENTITLED TO A PROFIT. IN TEN TRANSACTIONS, THE FIRM SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT TO A CUSTOMER AT AN AGGREGATE PRICE (INCLUDING ANY MARK-UP) THAT WAS NOT FAIR AND REASONABLE, TAKING INTO CONSIDERATION ALL RELEVANT FACTORS, INCLUDING THE BEST JUDGMENT OF THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER AS TO THE FAIR MARKET VALUE OF THE SECURITIES AT THE TIME OF THE TRANSACTIONS AND OF ANY SECURITIES EXCHANGED OR TRADED IN CONNECTION WITH THE TRANSACTION, THE EXPENSE INVOLVED IN EFFECTING THE TRANSACTION, THE FACT THAT THE BROKER, DEALER, OR MUNICIPAL SECURITIES DEALER IS ENTITLED TO A PROFIT, AND THE TOTAL DOLLAR AMOUNT OF THE TRANSACTION. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED, FINED $58,000 AND ORDERED TO PAY RESTITUTION TO CUSTOMERS IN THE TOTAL AMOUNT OF $38,462.01, PLUS INTEREST, AT THE RATE SET FORTH IN SECTION 6221(A) OF THE INTERNAL REVENUE CODE, FROM THE DATE OF THE VIOLATIVE CONDUCT UNTIL THE DATE THIS AWC IS ACCEPTED BY THE NATIONAL ADJUDICATORY COUNCIL (NAC). A REGISTERED PRINCIPAL OF THE FIRM SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION, OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION, TO FINRA, NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC. IF FOR ANY REASON, THE FIRM CANNOT LOCATE ANY CUSTOMER AFTER REASONABLE AND DOCUMENTED EFFORTS WITHIN SUCH PERIOD, OR SUCH ADDITIONAL PERIOD AGREED TO BY FINRA, THE FIRM SHALL FORWARD ANY UNDISTRIBUTED RESTITUTION AND INTEREST TO THE APPROPRIATE ESCHEAT, UNCLAIMED-PROPERTY OR ABANDONED- PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER IS KNOWN TO HAVE LAST RESIDED. Summary: THE FIRM SENT THE $58,000.00 FINE TO FINRA ON 05/11/2011.
Allegations: MSRB RULES G-14(B)(II), G-15(A)(I) - WELLS FARGO ADVISORS, LLC FAILED TO REPORT THE CORRECT YIELD TO THE REAL-TIME TRANSACTION REPORTING SYSTEM (RTRS) IN REPORTS OF TRANSACTIONS IN MUNICIPAL SECURITIES. THE FIRM FAILED TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMER THE CORRECT LOWEST EFFECTED YIELD IN MOST OF THESE TRANSACTIONS IN MUNICIPAL SECURITIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $20,000 FOR VIOLATIONS OF MSRB RULES G-14(B)(II) AND G-15(A)(I).
Allegations: FINRA RULE 2010, NASD RULES 2110, 2310, 3010 - WELLS FARGO ADVISORS, LLC FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH NASD AND FINRA RULES IN CONNECTION WITH THE SALE OF NON-TRADITIONAL EXCHANGE-TRADED FUNDS (ETFS) IN ACCOUNTS WHERE THE FIRM PROVIDED BROKERAGE SERVICES TO CERTAIN RETAIL CUSTOMERS AND THE FIRM FAILED TO PROVIDE ADEQUATE FORMAL TRAINING AND GUIDANCE TO ITS REGISTERED REPRESENTATIVES AND SUPERVISORS REGARDING NON-TRADITIONAL ETFS. THE FIRM ALLOWED ITS REGISTERED REPRESENTATIVES TO RECOMMEND A NON-TRADITIONAL ETF TO CUSTOMERS WITHOUT PERFORMING REASONABLE DILIGENCE TO UNDERSTAND THE RISKS AND FEATURES ASSOCIATED WITH IT. CERTAIN FIRM REGISTERED REPRESENTATIVES MADE UNSUITABLE RECOMMENDATION OF NON-TRADITIONAL ETFS TO CERTAIN CUSTOMERS WITH CONSERVATIVE INCOME OR CONSERVATIVE GROWTH & INCOME INVESTMENT OBJECTIVES AND/OR RISK TOLERANCES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, AND WITH ITS AFFILIATE WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC IS FINED $2.1 MILLION AND ORDERED TO PAY $641,489 IN RESTITUTION, JOINTLY AND SEVERALLY. A REGISTERED FIRM PRINCIPAL SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF RESTITUTION OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION TO FINRA NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THE AWC. ANY UNDISTRIBUTED RESTITUTION SHALL BE FORWARDED TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER LAST RESIDED. THE FIRM SHALL PROVIDE SATISFACTORY PROOF OF SUCH ACTION TO FINRA WITHIN 14 DAYS OF FORWARDING THE UNDISTRIBUTED RESTITUTION TO THE APPROPRIATE STATE AUTHORITY.
Allegations: FINRA BY-LAWS ARTICLE V, SECTION 2; FINRA RULES 1122, 2010; NASD RULES 2110, 3010, 3070, CAUSED VIOLATIONS OF FINRA RULE 3240(A), NASD RULE 2370(A): WELLS FARGO PERMITTED CERTAIN CUSTOMERS TO BORROW MONEY FROM THE MEMBER FIRM BY WITHDRAWING MORE FUNDS THAN WERE AVAILABLE IN THE CUSTOMERS' ACCOUNTS, THROUGH THE USE OF AMONG OTHER THINGS, ONLINE PAYMENTS, CHECKS, AND DEBIT CARDS. THE REGISTERED REPRESENTATIVES ASSIGNED TO THE ACCOUNTS, WITH THE CONCURRENCE OF THE BRANCH MANAGERS AND THE FIRM'S CREDIT AND MARGIN DEPARTMENT, DETERMINED WHETHER TO ALLOW THESE TYPES OF WITHDRAWALS TO GO THROUGH. IF THE OVERDRAFTS WERE ALLOWED TO OCCUR, THE CUSTOMERS WERE RESPONSIBLE FOR SATISFYING THE OVERDRAFT THROUGH A SAME DAY DEPOSIT OF FUNDS, WIRE TRANSFER, OR COLLATERAL OR SALE OF SECURITIES. ACCORDING TO THE FIRM'S POLICY, IF A CUSTOMER DID NOT SATISFY AN OVERDRAFT ON THE SAME DAY, THE DEBIT WOULD NOT BE HONORED. HOWEVER, DURING THE TIME PERIOD AT ISSUE, THE FIRM ALLOWED EXCEPTIONS TO THIS POLICY ON AN OCCASIONAL, THOUGH NOT FREQUENT, BASIS AND PERMITTED OVERDRAFTS IN SITUATIONS WHERE CUSTOMERS DID NOT COVER THE DEBIT ON THE SAME DAY, THEREBY LOANING MONEY TO THOSE CUSTOMERS. IN THOSE INSTANCES, IN ACCORDANCE WITH THE FIRM'S POLICIES AND PROCEDURES, IF THE OVERDRAFT WAS NOT REPAID AFTER A PERIOD OF TIME, THE UNSECURED DEBIT WAS CHARGED AGAINST THE REGISTERED REPRESENTATIVE'S PRODUCTION. ONCE AN OVERDRAFT WAS CHARGED AGAINST A REGISTERED REPRESENTATIVE'S PRODUCTION, THE REGISTERED REPRESENTATIVE COULD REQUEST THAT THE DEBT BE SENT TO COLLECTIONS, THROUGH THE FIRM, FOR RECOVERY FROM THE CUSTOMER. AMOUNTS RECOVERED FROM THE CUSTOMER WERE PAID TO THE REGISTERED REPRESENTATIVE, MINUS ANY COLLECTIONS EXPENSES. BY TRANSFERRING RESPONSIBILITY FOR THE LOAN TO REGISTERED REPRESENTATIVES AND ALLOWING REGISTERED REPRESENTATIVES TO OBTAIN REPAYMENT FROM THE CUSTOMERS, THE FIRM CAUSED REGISTERED REPRESENTATIVES TO LOAN MONEY TO CUSTOMERS. THE FIRM ALSO ALLOWED THE LOANS TO OCCUR WITHOUT ANY SYSTEM OR PROCEDURE IN PLACE TO DETERMINE WHETHER THE LOANS MET THE CONDITIONS OF FINRA RULE 3240(A) AND NASD RULE 2370(A). THEREFORE IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA AND NASD RULES. TWO CUSTOMERS ALLEGED IN WRITING THAT A REGISTERED REPRESENTATIVE HAD MADE JOURNAL TRANSFERS OF FUNDS TO OTHER CUSTOMERS WITHOUT THEIR AUTHORIZATION. THE FIRM SETTLED ONE COMPLAINT FOR $16,500 WHILE THE OTHER WAS RESOLVED WITHOUT A MONETARY SETTLEMENT. THE FIRM NEVER REPORTED EITHER OF THESE COMPLAINTS ON THE REGISTERED REPRESENTATIVE'S FORM U4, AND NEVER DISCLOSED THE SETTLEMENT OF THE SECOND COMPLAINT FOR MORE THAN $15,000. THE CUSTOMER COMPLAINTS ALLEGED MISAPPROPRIATION OF FUNDS WHICH REQUIRES DISCLOSURE UNDER NASD RULE 3070 WITHIN TEN DAYS. ONE COMPLAINT WAS NOT REPORTED UNTIL THREE AND ONE-HALF MONTHS AFTER IT WAS RECEIVED WHILE TO OTHER WAS NEVER REPORTED. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE IT IS CENSURED AND FINED $50,000. THE FIRM FURTHER UNDERTOOK AND AGREED TO CONDUCT A COMPREHENSIVE REVIEW OF ITS SYSTEMS, POLICIES AND PROCEDURES TO ENSURE THAT THOSE POLICIES AND PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA RULES AND THE FEDERAL SECURITIES LAWS REGARDING BORROWING MONEY FROM, OR LENDING MONEY TO, CUSTOMERS BY REGISTERED REPRESENTATIVES. WITHIN 120 DAYS OF THE ISSUANCE OF A NOTICE OF ACCEPTANCE OF THIS AWC, AN OFFICER OF THE FIRM SHALL CERTIFY IN WRITING TO FINRA THAT (I) THE FIRM HAS ENGAGED IN THE COMPREHENSIVE REVIEW; AND (II) AS OF THE DATE OF THE CERTIFICATION, THE FIRM HAS IN PLACE POLICIES AND PROCEDURES TO REASONABLY DESIGNED TO ADDRESS AND CORRECT THE VIOLATIONS RELATING TO SUPERVISION DESCRIBED IN THIS AWC.
Allegations: THIS ACTION RELATES TO CONDUCT THAT OCCURRED AT WELLS FARGO INVESTMENTS, LLC (CRD #10582). WELLS FARGO ADVISORS, LLC WAS NOT AFFILIATED WITH WELLS FARGO INVESTMENTS DURING THE RELEVANT PERIOD AND IS NAMED AS A RESPONDENT SOLELY AS SUCCESSOR IN LIABILITY FOR WELLS FARGO INVESTMENTS, LLC. FINRA RULE 2010, NASD RULES 2110, 2310, 3010: BETWEEN JANUARY 1, 2007 AND DECEMBER 31, 2008 WELLS FARGO INVESTMENTS REGISTERED REPRESENTATIVES MADE RECOMMENDATIONS TO CUSTOMERS TO PURCHASE FLOATING RATE LOAN FUNDS THAT WERE UNSUITABLE FOR THOSE CUSTOMERS IN LIGHT OF THEIR FINANCIAL SITUATIONS AND NEEDS. IN PARTICULAR, WELLS FARGO INVESTMENTS MADE NUMEROUS RECOMMENDATIONS TO CUSTOMERS WHOSE RISK TOLERANCES AND INVESTMENT OBJECTIVES WERE INCONSISTENT WITH THE RISKS AND FEATURES OF FLOATING RATE LOAN FUNDS. THE FLOATING RATE LOAN FUNDS SOLD BY WELLS FARGO INVESTMENTS WERE SUBJECT TO SIGNIFICANT CREDIT AND LIQUIDITY RISKS. ACCORDINGLY, THE FUNDS WERE NOT TYPICALLY SUITABLE FOR INVESTORS WITH AN INVESTMENT OBJECTIVE OF INCOME AND A CONSERVATIVE RISK TOLERANCE OR THOSE CUSTOMERS WHO WERE SEEKING TO PRESERVE PRINCIPAL, PARTICULARLY WHEN THOSE CUSTOMERS' PURCHASES CONSTITUTED A LARGE PERCENTAGE OF THEIR INVESTIBLE ASSETS OR LIQUID NET WORTH. MOREOVER, FLOATING RATE LOAN FUNDS, PARTICULARLY THOSE WITH RESTRICTIVE REDEMPTION POLICIES, WERE NOT TYPICALLY SUITABLE FOR INVESTORS WITH SHORT INVESTMENT TIME HORIZONS. BETWEEN 2007 AND EARLY 2009, THE NET ASSET VALUE OF THE TYPICAL FLOATING RATE LOAN FUNDS DECLINED SUBSTANTIALLY AND SINCE THAT TIME HAS PARTIALLY RECOVERED. HOWEVER, MANY WELLS FARGO INVESTMENTS CUSTOMERS FOR WHOM A FLOATING RATE LOAN FUND WAS UNSUITABLE SOLD THEIR HOLDINGS IN FLOATING RATE LOAN FUNDS AND INCURRED NET LOSSES. WELLS FARGO INVESTMENTS ALSO FAILED TO ESTABLISH AND MAINTAIN A SYSTEM FOR SUPERVISING ITS SALES OF FLOATING RATE LOAN FUNDS THAT WAS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE SUITABILITY REQUIREMENTS OF NASD AND FINRA RULES. EVEN AFTER POTENTIAL CONCERNS WERE RAISED INTERNALLY, WELLS FARGO INVESTMENTS FAILED TO PROVIDE SUFFICIENT GUIDANCE OR TRAINING TO REGISTERED REPRESENTATIVES OR SUPERVISORS TO DETERMINE WHETHER FLOATING RATE LOAN FUNDS WERE SUITABLE FOR ITS CLIENTS AND THE CREDIT AND LIQUIDITY RISKS ASSOCIATED WITH FLOATING RATE FUNDS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED, FINED $1,250,000 AND MUST PAY RESTITUTION TO CUSTOMERS IN THE AMOUNT OF $1,981,561.70. A REGISTERED PRINCIPAL ON BEHALF OF THE FIRM SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF RESTITUTION OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION TO FINRA NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THE AWC. IF FOR ANY REASON THE FIRM CANNOT LOCATE ANY OF THE CUSTOMERS RECEIVING RESTITUTION AFTER REASONABLE AND DOCUMENTED EFFORTS WITHIN 120 DAYS FROM THE DATE THE AWC IS ACCEPTED, OR SUCH ADDITIONAL PERIOD AGREED TO BY FINRA, THE FIRM SHALL FORWARD ANY UNDISTRIBUTED RESTITUTION AND INTEREST TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER IS LAST KNOWN TO HAVE RESIDED. THE FIRM SHALL PROVIDE SATISFACTORY PROOF OF SUCH ACTION TO FINRA WITHIN 14 DAYS OF FORWARDING THE UNDISTRIBUTED RESTITUTION AND INTEREST TO THE APPROPRIATE STATE AUTHORITY.
Allegations: WELLS FARGO ADVISORS, LLC IS THE SUCCESSOR OF WELLS FARGO INVESTMENTS. THE ALLEGATIONS RELATE SOLEY TO WELLS FARGO INVESTMENTS, LLC (CRD-10582)AND TRANSACTIONS AFFECTED BY IT, PRIOR TO JANUARY 2011, WHEN IT CEASED DOING BUSINESS. FINRA RULE 2010: IN 25 TRANSACTIONS, THE FIRM PURCHASED AGENCY SECURITIES FOR ITS OWN ACCOUNT FROM A CUSTOMER AND/OR SOLD AGENCY SECURITIES FOR ITS OWN ACCOUNT TO A CUSTOMER IN THE COURSE OF ITS BUSINESS AT AN AGGREGATE PRICE THAT WAS NOT FAIR AND REASONABLE, AND IN SO DOING FAILED TO OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPLES OF TRADE. Status: Final Sanction Detail: WELLS FARGO ADVISORS, LLC IS THE SUCCESSOR OF WELLS FARGO INVESTMENTS. THE ALLEGATIONS RELATE SOLEY TO WELLS FARGO INVESTMENTS, LLC (CRD-10582)AND TRANSACTIONS AFFECTED BY IT, PRIOR TO JANUARY 2011, WHEN IT CEASED DOING BUSINESS. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM THROUGH ITS SUCCESSOR CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, IT IS CENSURED, FINED $35,000 AND ORDERED TO PAY $17,384.81, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. A REGISTERED FIRM PRINCIPAL SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION, OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION, TO FINRA NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC. ANY UNDISTRIBUTED RESTITUTION AND INTEREST SHALL BE FORWARDED TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER LAST RESIDED.
Allegations: FINRA RULE 2010, NASD RULES 3010 AND 3012(A)(2)(B)(I): WELLS FARGO'S SUPERVISORY CONTROL SYSTEM FAILED TO INCLUDE A POLICY OR PROCEDURE REQUIRING A REVIEW TO DETECT OR PREVENT MULTIPLE TRANSMITTALS OF FUNDS FROM MULTIPLE CUSTOMERS GOING TO THE SAME THIRD PARTY ACCOUNTS. THE FIRM'S SYSTEM ALSO FAILED TO INCLUDE EXCEPTION REPORTS THAT WOULD HAVE IDENTIFIED MULTIPLE CUSTOMER WIRES GOING TO THE SAME THIRD PARTY ACCOUNT. CONSEQUENTLY, WELLS FARGO FAILED TO DETECT THAT A REGISTERED REPRESENTATIVE HAD INITIATED FUND TRANSFERS, TOTALING APPROXIMATELY $258,000, OUT OF TWO CUSTOMER ACCOUNTS, TO BANK ACCOUNTS THAT SHE OR HER FAMILY MEMBER APPARENTLY CONTROLLED. WELLS FARGO FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM THAT WAS REASONABLY DESIGNED TO ADEQUATELY REVIEW AND MONITOR THE TRANSMITTALS OF FUNDS FROM THE ACCOUNTS OF CUSTOMERS TO THIRD PARTY ACCOUNTS AND OUTSIDE ENTITIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE IT IS CENSURED AND FINED $150,000. WELLS FARGO ADVISORS, LLC FULLY COMPENSATED THE AFFECTED CLIENTS, AND REPORTED THIS MATTER TO REGULATORS. THE FIRM ALSO REPORTED THE MATTER TO LAW ENFORCEMENT AND HAS COOPERATED WITH THEIR EFFORTS TO RESOLVE THIS MATTER."
Allegations: FINRA RULE 2010, NASD INTERPRETATIVE MATERIAL 2110-2 - WELLS FARGO ADVISORS,LLC FAILED TO CONTEMPORANEOUSLY EXECUTE CUSTOMER LIMIT ORDERS IN OVER-THE-COUNTER (OTC) SECURITIES AFTER IT TRADED EACH SUBJECT SECURITY FOR ITS OWN MARKET-MAKING ACCOUNT AT A PRICE THAT WOULD HAVE SATISFIED EACH CUSTOMER'S LIMIT ORDER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS FINED $5,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT SOLD AGENCY BONDS TO ITS CUSTOMERS AND FAILED TO BUY OR SELL SUCH BONDS AT A PRICE THAT WAS FAIR, TAKING INTO CONSIDERATION ALL RELEVANT CIRCUMSTANCES, INCLUDING MARKET CONDITIONS WITH RESPECT TO EACH AT THE TIME OF THE TRANSACTION, THE EXPENSE INVOLVED AND THAT THE FIRM WAS ENTITLED TO A PROFIT. Status: Final Sanction Detail: SEE ABOVE
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT MADE UNSUITABLE RECOMMENDATIONS TO RETAIL CUSTOMERS TO PURCHASE STRUCTURED REPACKAGED ASSET-BACKED TRUST SECURITIES (STRATS), A COMPLEX STRUCTURED PRODUCT THAT PAID A FLOATING RATE OF PERIODIC INCOME UP TO A MINIMUM OR MAXIMUM RATE, BASED ON THE STRATS TRUST'S INTEREST IN A CAPITAL SECURITY ISSUED BY A FINANCIAL INSTITUTION AND THE STRATS TRUST'S INTEREST IN AN INTEREST RATE SWAP CONTRACT. THE FIRM SOLD APPROXIMATELY $12 MILLION WORTH OF THE STRATS TO ITS RETAIL CUSTOMERS, IN BOTH PRIMARY AND SECONDARY MARKETS. ALTHOUGH THE FIRM PROVIDED ITS SALES-FORCE TRAINING ON STRUCTURED PRODUCTS, NONE OF THIS TRAINING RELATED SPECIFICALLY TO THE UNIQUE FEATURES AND RISKS OF THE STRATS. ADDITIONALLY, ALTHOUGH THE FIRM'S INTRANET PAGE DEDICATED TO FIXED INCOME PRODUCTS PROVIDED BASIC INFORMATION CONCERNING THE STRATS, IT DID NOT PROVIDE ANY INFORMATION CONCERNING THE RISKS OF INVESTING IN THESE PRODUCTS, AND SPECIFICALLY DID NOT ADDRESS THE RISKS TO CUSTOMER PRINCIPAL IN THE EVENT OF A REDEMPTION OF THE UNDERLYING CAPITAL SECURITY. UNDER THE TERMS OF THE PROSPECTUS FOR THE STRATS, THE AMOUNT PAID TO A CUSTOMER IN THE EVENT OF A TERMINATION WAS THE PROCEEDS OF THE REDEMPTION OF UNDERLYING CAPITAL SECURITY PLUS ACCRUED INTEREST AND LESS THE SWAP TERMINATION FEE. IN CERTAIN CIRCUMSTANCES, THE CUSTOMER WOULD FACE A SUBSTANTIAL RISK OF LOSS OF PRINCIPAL UPON TERMINATION OF THE STRATS DUE TO THE AMOUNT OF THE SWAP TERMINATION FEE. THE FIRM'S REGISTERED REPRESENTATIVES GENERALLY WERE NOT FAMILIAR WITH SUCH RISKS OF INVESTING IN THE STRATS AND WERE CONSEQUENTLY UNABLE TO EXPLAIN SUCH RISKS WHEN RECOMMENDING THE PRODUCT TO THE FIRM'S RETAIL CUSTOMERS. EVENTUALLY, THE FINANCIAL INSTITUTION REDEEMED THE UNDERLYING CAPITAL SECURITY, CAUSING THE STRATS TO BE TERMINATED. THE FINANCIAL INSTITUTION REDEEMED THE UNDERLYING CAPITAL SECURITY AT PAR VALUE PLUS ACCRUED INTEREST. BASED ON THE TERMS OF THE[NTC] STRATS, CUSTOMERS RECEIVED THE PROCEEDS OF THE REDEMPTION [NTC] OF THE UNDERLYING CAPITAL SECURITY LESS THE SWAP TERMINATION FEE PAID. AS A RESULT, AT THE TIME OF THE STRATS' TERMINATION, MANY CUSTOMERS HOLDING THE STRATS RECEIVED LESS, AND IN SOME CASES SIGNIFICANTLY LESS, THAN THE AMOUNT THEY PAID FOR THE STRATS. NEVERTHELESS, THE FIRM'S REGISTERED REPRESENTATIVES DID NOT COMPREHEND THE RISKS TO CUSTOMERS OF INVESTING IN THE STRATS AND THUS LACKED A REASONABLE BASIS FOR RECOMMENDING THESE PRODUCTS TO THE FIRM'S RETAIL CUSTOMERS. THE FINDINGS STATED THAT THE FIRM MADE AVAILABLE TO ITS SALES-FORCE CERTAIN INTERNAL-USE ONLY DOCUMENTS REGARDING THE STRATS. THESE DOCUMENTS DID NOT CONTAIN ADEQUATE DESCRIPTIONS OF THE PRODUCT, NOR DID THEY DISCLOSE THE DEGREE TO WHICH STRATS CUSTOMERS COULD LOSE PRINCIPAL IF THE UNDERLYING CAPITAL SECURITY WAS REDEEMED. ACCORDINGLY, THE FIRM'S INTERNAL-USE ONLY COMMUNICATIONS WERE NOT FAIR AND BALANCED AND DID NOT PROVIDE A SOUND BASIS FOR EVALUATING THE FACTS SURROUNDING THE STRATS OR ITS RISKS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY PROCEDURES, INCLUDING TRAINING OF ITS REGISTERED REPRESENTATIVES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA SUITABILITY STANDARDS. THE FIRM'S SUPERVISORY SYSTEM FOR THE SALE OF STRATS WAS NOT REASONABLY DESIGNED BECAUSE IT FAILED TO INCLUDE ADEQUATE TRAINING FOR THE FIRM'S SALES-FORCE REGARDING THE RISKS OF INVESTING IN THE PRODUCT. THE FIRM DID NOT PROVIDE PRODUCT SPECIFIC TRAINING TO ITS REGISTERED REPRESENTATIVES, AND THE INTERNAL-USE ONLY MATERIALS MADE AVAILABLE TO ITS REGISTERED REPRESENTATIVES DID NOT ADEQUATE INFORM ITS REPRESENTATIVES ABOUT THE RISKS OF INVESTING IN THE STRATS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $500,000, AND ORDERED TO PAY $241,974.34, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS.
Allegations: ALLEGED VIOLATION OF RULES SET FORTH UNDER PART V, SECTION 2(D) OF SCHEDULE TO THE ASSOCIATION'S BY-LAWS CONCERNING QUOTATIONS ENTERED IN THE NASDAQ SYSTEM THAT EXCEEDED THE PARAMETERS FOR THE MAXIMUM ALLOWABLE SPREAD. Status: Final Sanction Detail: CENSURE AND FINE OF $8,000.
Allegations: ALLEGED VIOLATION OF RULES SET FORTH UNDER PART IV(A)4, (A)2(A), AND PART IV(A) AND PART IV(B) OF FIPS RULES AND ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Status: Final Sanction Detail: FINE OF $2,500 AND AN UNDERTAKING TO SUBMIT REVISED WRITTEN SUPERVISORY PROCEDURES CONCERNING FIPS IN A FORM NOT UNACCEPTABLE TO THE STAFF.
Allegations: ALLEGED VIOLATIONS OF RULES SET FORTH UNDER NASD CONDUCT RULES 2110 AND 3010 AND VIOLATIONS OF NASD MARKETPLACE RULE 4632(A). Status: Final Sanction Detail: CENSURE AND FINE OF $18,500 (COMPOSED OF $5000 FINE FOR THE TRADE REPORTING VIOLATION, $3500 FOR THE LIMIT ORDER VIOLATIONS AND $10,000 FINE FOR THE SUPERVISION VIOLATION).
Allegations: ALLEGED TO HAVE VIOLATED NASD CONDUCT RULES 2110 AND 2320 WITH RESPECT TO THE FIRM'S FAILURE TO ASCERTAIN THE BEST INTERDEALER MARKET IN EXECUTING CUSTOMER TRANSACTIONS. SEC RULE 17A-4 AND NASD CONDUCT RULE 3110 WITH RESPECT TO RECORDKEEPING REGULATIONS. NASD CONDUCT RULES 2110 AND IM-2110-2 WITH RESPECT TO EXECUTION OF CUSTOMER LIMIT ORDERS AND SEC RULE 11AC1-4 WITH RESPECT TO THE FIRM'S FAILURE TO DISPLAY IMMEDIATELY CUSTOMER LIMIT ORDERS. Status: Final Sanction Detail: THE FIRM AGREED TO A CENSURE AND A $13,000 FINE (COMPOSED OF A $1,000 FINE FOR RECORDKEEPING VIOLATIONS AND FINE OF $7,500 FOR BEST EXECUTION VIOLATIONS, A FINE OF $2,500 FOR THE LIMIT ORDER PROTECTION INTERPRETATION VIOLATIONS, AND A FINE OF $2,000 FOR THE LIMIT ORDER DISPLAY RULE VIOLATIONS.)
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO EXECUTE 50 MARKET ORDERS IN PREFERRED SECURITIES FULLY AND PROMPTLY. THE FINDINGS STATED THAT IN 19 OF THOSE 50 TRANSACTIONS, THE FIRM FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $20,000 AND REQUIRED TO PAY RESTITUTION IN THE TOTAL AMOUNT OF $4,543.08, PLUS INTEREST. Summary: THE FIRM WAS CENSURED, FINED $20,000 AND REQUIRED TO PAY RESTITUTION IN THE TOTAL AMOUNT OF $4,543.08, PLUS INTEREST.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT EXECUTED SHORT SALE ORDERS IN OVER-THE-COUNTER (OTC) EQUITY SECURITIES AND IMPROPERLY MARKED THE ORDERS AS SHORT EXEMPT. THE FINDINGS STATED THAT THE FIRM EXECUTED SHORT SALE TRANSACTIONS IN OTC EQUITY SECURITIES AND INCORRECTLY REPORTED THE TRANSACTIONS TO THE OTC REPORTING FACILITY WITH SHORT EXEMPT MODIFIERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $20,000. Summary: THE FIRM WAS CENSURED AND FINED $20,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE A FORMER REGISTERED REPRESENTATIVE WHO EXCESSIVELY TRADED EQUITY POSITIONS IN ACCOUNTS BELONG TO AN ELDERLY CUSTOMER. THE FINDINGS STATED THAT THE CUSTOMER WAS 88 YEARS OLD WHEN THE TRADING COMMENCED AND THAT AS A RESULT OF THE EXCESSIVE TRADING SHE PAID AT LEAST $300,000 IN COMMISSIONS AND OTHER FEES. THE FIRM'S COMPUTER PROGRAM FLAGGED THE CUSTOMER'S ACCOUNTS FOR HIGH VELOCITY; HOWEVER, THE FIRM DID NOT REASONABLY ADDRESS THESE FLAGS. FOLLOWING ITS INVESTIGATION, THE FIRM DISCHARGED THE REPRESENTATIVE RESPONSIBLE FOR THE CUSTOMER'S ACCOUNTS. ULTIMATELY, THE FIRM PAID $1 MILLION IN RESTITUTION TO THE CUSTOMER IN SETTLEMENT OF A COMPLAINT THAT SHE FILED REGARDING THE ACTIVITY IN HER ACCOUNTS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $175,000.
Allegations: WITHOUT ADMITTING OR DENYING FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE THE ACTIVITIES OF TWO FORMER FIRM REPRESENTATIVES, WHO RECOMMENDED THAT MANY OF THEIR CUSTOMERS INVEST A SUBSTANTIAL PORTION OF THEIR ASSETS AT THE FIRM IN HIGH-RISK ENERGY SECURITIES. THE REPRESENTATIVES' CONDUCT GENERATED MULTIPLE RED FLAGS REGARDING OVERCONCENTRATION IN THE FIRM'S CUSTOMER ACCOUNTS THAT RAISED SUITABILITY CONCERNS THAT THE FIRM FAILED TO REASONABLY INVESTIGATE. AS A RESULT THE FIRM IS ALLEGED TO HAVE VIOLATED NASD RULE 3010(A) AND FINRA RULES 3110(A) AND 2010 Status: Final Sanction Detail: TOTAL FINE $300,000, 100 PERCENT TO APPLICANT, NO PORTION OF PENALTY WAIVED, AND DATE PAID (DELIVERED TO FINRA) 9/4/2020. Summary: THE FIRM ENTERED INTO AN AWC AGREEMENT WITH FINRA ON AUGUST 28, 2020, FULLY RESOLVING THIS MATTER, WHICH INCLUDED AGREEMENT TO THE ENTRY OF A CENSURE AGAINST THE FIRM, A FINE PAYABLE TO FINRA IN THE AMOUNT OF $350,000, AND RESTITUTION IN THE AMOUNT OF $201,498 PLUS INTEREST AS SET FORTH IN THE AGREEMENT. THIS MATTER IS NOW FINAL.
Allegations: WITHOUT ADMITTING OR DENYING FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT, TOGETHER WITH ANOTHER MEMBER FIRM, FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, AND FAILED TO ENFORCE WRITTEN SUPERVISORY PROCEDURES (WSPS), THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA'S SUITABILITY RULE AS IT PERTAINS TO SWITCHES FROM VARIABLE ANNUITIES TO INVESTMENT COMPANY PRODUCTS. AS A RESULT THE FIRM IS ALLEGED TO HAVE VIOLATED NASD RULE 3010 AND FINRA RULES 3110 AND 2010 Status: Final Sanction Detail: THE FIRM PAID A FINE TO FINRA IN THE AMOUNT OF $625,000, AND IS TO PAY RESTITUTION TO CUSTOMERS IN THE AMOUNT OF $1,355,499.19, PLUS INTEREST ON THAT AMOUNT, AND THE FIRM WAS ALSO CENSURED BY FINRA. Summary: THE FIRM ENTERED INTO AN AWC AGREEMENT WITH FINRA ON SEPTEMBER 2, 2020, FULLY RESOLVING THIS MATTER, WHICH INCLUDED AGREEMENT TO THE ENTRY OF A CENSURE AGAINST THE FIRM, A FINE PAYABLE TO FINRA IN THE AMOUNT OF $625,000, AND RESTITUTION TO THE CUSTOMERS IN THE AMOUNT OF $1,355,499.19, PLUS INTEREST ON THAT AMOUNT, AS SET FORTH IN THE AGREEMENT. FINE RECEIVED BY FINRA SEPTEMBER 16, 2020.
Allegations: WITHOUT ADMITTING OR DENYING FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT, FROM APRIL 2016 THROUGH OCTOBER OF 2016, THE FIRM DISTRIBUTED 6,851 ACCOUNT STATEMENTS TO CUSTOMERS CONTAINING VALUATION INFORMATION FOR ONE OR MORE DIRECT PARTICIPATION PROGRAMS (DPPS) OR REAL ESTATE INVESTMENT TRUSTS (REITS) THAT DID NOT COMPLY WITH NASD RULE 2340(C). THE FIRM ALSO FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE THAT ITS CUSTOMER ACCOUNT STATEMENTS REFLECTED DPP AND REIT PRICES DERIVED FROM A VALUATION METHODOLOGY ALLOWED BY NASD RULE 2340 (C). FOR THE SAME REASONS THE FIRM ALSO FAILED TO MAINTAIN ACCURATE BOOKS AND RECORDS VIOLATING FINRA RULES 3110(A) AND (B), 4511 AND 2010 Status: Final Sanction Detail: THE FIRM IS ORDERED TO PAY A FINE TO FINRA IN THE AMOUNT OF $300,000, AND, THE FIRM WAS CENSURED BY FINRA. (13) THE FIRM ENTERED INTO AN AWC AGREEMENT WITH FINRA ON NOVEMBER 4, 2020, FULLY RESOLVING THIS MATTER, WHICH INCLUDED AN AGREEMENT TO THE ENTRY OF A CENSURE AGAINST THE FIRM, AND AN AGREEMENT TO PAY A FINE TO FINRA IN THE AMOUNT OF $300,000, AS SET FORTH IN THE AGREEMENT.
Allegations: WITHOUT ADMITTING OR DENYING FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT, FAILED TO MAKE ACCURATE ORDER MEMORANDA IN VIOLATION OF RULE 17A-3(A)(6) UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND FINRA RULES 4511 AND 2010, AND TRANSMITTED INACCURATE REPORTS TO THE ORDER AUDIT TRAIL SYSTEM (OATS) IN VIOLATION OF FINRA RULES 7450 AND 2010. Status: Final Sanction Detail: THE FIRM PAID A FINE TO FINRA IN THE AMOUNT OF $75,000, AND THE FIRM WAS ALSO CENSURED BY FINRA. Summary: THE FIRM ENTERED INTO AN AWC AGREEMENT WITH FINRA ON NOVEMBER 25, 2020, FULLY RESOLVING THIS MATTER, WHICH INCLUDED AGREEMENT TO THE ENTRY OF A CENSURE AGAINST THE FIRM AND A FINE PAYABLE TO FINRA IN THE AMOUNT OF $75,000. FINRA RECEIVED THE FINE ON DECEMBER 10, 2020.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO STORE RECORDS RELATED TO ITS CUSTOMER IDENTIFICATION PROGRAM (CIP)-AN INTEGRAL PART OF AN ANTI-MONEY LAUNDERING PROGRAM-IN THE REQUIRED NON-ERASABLE AND NON-WRITABLE FORMAT, KNOWN AS "WRITE ONCE, READ MANY" (WORM) FORMAT. THE FINDINGS STATED THAT FIRM PERSONNEL DISCOVERED THAT THE FIRM WAS STORING RECORDS RELATED TO ITS CIP ON A SYSTEM THAT WAS NOT WORM COMPLIANT, AND ADVISED AN INTERNAL WORKING GROUP THAT ADDRESSED BOOKS AND REQUIREMENTS OF THE ISSUE. THE WORKING GROUP CONCLUDED THAT THE ISSUE SHOULD BE ESCALATED TO DETERMINE IF IT NEEDED TO BE REPORTED TO FINRA. THE ISSUE, HOWEVER, WAS NOT ESCALATED TO THE FIRMS' WORKING GROUP THAT CONSIDERED FINRA REPORTING OBLIGATIONS, AND THE FIRM DID NOT REPORT IT TO FINRA OR REMEDIATE IT AT THAT TIME. THE FIRM CONTINUED TO STORE CIP RECORDS ON THE NON-WORM COMPLIANT PLATFORM FOR MORE THAN THREE YEARS. APPROXIMATELY 13 MILLION CIP-RELATED RECORDS, PERTAINING TO APPROXIMATELY 8.2 MILLION CUSTOMERS, WERE STORED ON THE NON-WORM COMPLIANT PLATFORM, WITH APPROXIMATELY 4 MILLION DOCUMENTS HAVING BEEN STORED ON THE FIRM'S NON-WORM COMPLIANT PLATFORM AFTER THE ISSUE WAS DISCOVERED. THEREFORE, THE FIRM VIOLATED EXCHANGE ACT RULE 17A-4(F)(2)(II)(A). IN ADDITION, THE FIRM FAILED TO NOTIFY FINRA, ITS DESIGNATED EXAMINING AUTHORITY, AT LEAST 90 DAYS PRIOR TO USING THE NON-WORM COMPLIANT PLATFORM ON WHICH IT STORED THE CIP-RELATED RECORDS. THEREFORE, THE FIRM VIOLATED EXCHANGE ACT RULES 17A-4(F)(3)(V) AND 17A-4(F)(2)(I). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $2,250,000, JOINTLY AND SEVERALLY WITH WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC. WELLS FARGO CLEARING SERVICES CONTRIBUTED $2,000,000 TO THE PAYMENT OF THE FINE. Summary: THE FIRM ENTERED INTO AN AWC AGREEMENT WITH FINRA ON DECEMBER 6, 2021, FULLY RESOLVING THIS MATTER, WHICH INCLUDED AGREEMENT TO THE ENTRY OF A CENSURE AGAINST THE FIRM AND A FINE PAYABLE TO FINRA. FINE WAS RECEIVED BY FINRA ON DECEMBER 23, 2021.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THEENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM THAT WASREASONABLY DESIGNED TO SUPERVISE SHORT-TERM TRADING OF UNIT INVESTMENT TRUSTS (UITS). THEFINDINGS STATED THAT THE FIRM DID NOT ESTABLISH A SUPERVISORY SYSTEM THAT WAS REASONABLYDESIGNED TO IDENTIFY EARLY UIT ROLLOVERS. THE FIRM HAD AN AUTOMATED REPORT THAT FLAGGED SALESOF A MUTUAL FUND OR UIT FOLLOWED WITHIN 25 DAYS BY A PURCHASE OF ANY OF THOSE SAME PRODUCTS, AND IN THE ORDINARY COURSE THE FIRM SENT SWITCH LETTERS TO CUSTOMERS WHEN THIS REPORT WAS GENERATED. HOWEVER, THAT REPORT DID NOT ACCOUNT FOR THE LENGTH OF TIME A UIT WAS HELD BEFORE IT WAS SOLD. AS A RESULT, THE FIRM DID NOT HAVE ANY AUTOMATED SYSTEM TO IDENTIFY WHEN UITS WERE ROLLED OVER SIGNIFICANTLY IN ADVANCE OF THEIR MATURITY DATE - EVEN THOUGH THE FIRM'S WRITTEN SUPERVISORY PROCEDURES (WSPS) RECOGNIZED THAT UITS SHOULD GENERALLY BE HELD TO MATURITY. AS SUCH, THE FIRM FAILED TO DETECT THAT ON THOUSANDS OF OCCASIONS, ITS REPRESENTATIVES RECOMMENDED POTENTIALLY UNSUITABLE EARLY SERIES-TO-SERIES ROLLOVERS. ON THOUSANDS OF OTHER OCCASIONS, THE FIRM FAILED TO DETECT THAT ITS REPRESENTATIVES REPEATEDLY RECOMMENDED OTHER POTENTIALLY UNSUITABLE EARLY UIT ROLLOVERS THAT CAUSED CUSTOMERS TO PAY UNNECESSARY SALES CHARGES. COLLECTIVELY, THESE EARLY UIT ROLLOVERS MAY HAVE CAUSED CUSTOMERS TO PAY $2,083,624.66 IN SALES CHARGES THAT THEY WOULD NOT HAVE INCURRED HAD THEY HELD THE UITS UNTIL THEIR MATURITY DATES. THE FIRM HAS VOLUNTARILY EMPLOYED CORRECTIVE MEASURES TO REVISE ITS PROCEDURES, INCLUDING BY REVISING ITS WSPS AND BY IMPLEMENTING IMPROVED CONTROLS RELEVANT TO ITS UIT BUSINESS, SUCH AS ESTABLISHING AUTOMATED ALERTS TO ASSIST IN IDENTIFYING WHEN REPRESENTATIVES RECOMMEND EARLY UIT ROLLOVERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $550,000, AND ORDERED TO PAY $2,083,624.66, PLUS INTEREST, INRESTITUTION TO CUSTOMERS. THE FIRM PAID THE FINE ON JANUARY 6TH 2022.
Allegations: FINRA RAISED CONCERNS WITH WFCS REGARDING THE ADEQUACY OF THE FIRM'S SUPERVISION OF SHORT-TERM TRADING IN THREE SECURITIES WHICH FINRA VIEWS AS PRODUCTS GENERALLY INTENDED TO BE HELD FOR THE LONG TERM, NAMELY: SYNDICATE PREFERRED STOCKS; SYNDICATE CLOSED END FUNDS; AND MEDIUM-TERM NOTES. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $400,000, ORDERED TO PAY $599,025.29, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS, AND ORDERED TO PAY $2,031,972.10, PLUS INTEREST, IN DISGORGEMENT TO FINRA. Summary: THE FIRM VOLUNTARILY REACHED A SETTLEMENT WITH FINRA REGARDING FINRA CONCERNS RELATED TO THE ADEQUACY OF THE FIRM'S SUPERVISION OF SHORT-TERM TRADING IN THREE SECURITIES: SYNDICATE PREFERRED STOCKS; SYNDICATE CLOSED END FUNDS; AND MEDIUM-TERM NOTES. THE SETTLEMENT ACKNOWLEDGED THE FIRM'S SUPERVISORY SYSTEM ENHANCEMENTS AND PROVIDED FOR A FIRM CENSURE, A FINE OF $400,000, A DISGORGEMENT PAYMENT TO FINRA IN THE AMOUNT OF $2,031,972.10 PLUS APPLICABLE INTEREST, AND CUSTOMER RESTITUTION IN THE AMOUNT OF $599,025.29, PLUS APPLICABLE INTEREST.
Allegations: NASD ALLEGED THAT FIRST UNION SECURITIES, INC. (F/K/A WHEAT FIRST SECURITIES, INC.) VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULES 17A-3 AND 17A-4 THEREUNDER AND MSRB RULES G-8, G-9 AND G-27. FIRST UNION'S BOOKS AND RECORDS FAILED TO ACCURATELY REFLECT FINDERS FEES PAID FOR MUNICIPAL SECURITIES TRANSACTIONS OVER AN EIGHTEEN MONTH PERIOD FROM LATE 1991 THROUGH APRIL, 1993. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, FIRST UNION SECURITIES, INC. CONSENTED TO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WHICH INCLUDED A CONSENT TO CENSURE AND A FINE OF $350,000.
Allegations: ALLEGED VIOLATION OF NASD CONDUCT RULE 2110 AND 3010(B). Status: Final Sanction Detail: THE FIRM CONSENTED TO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITHOUT ADMITTING OR DENYING THE ALLEGATIONS AND CONSENTED TO CENSURE AND A FINE OF $7500.
Allegations: THE NASD ALLEGED VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT AND NASD RULE 2110 CONCERNING SALES OF PORTFOLIOS OF US TREASURY SECURITIES FOR DEFEASANCE ESCROW AT EXCESSIVE, UNDISCLOSED MARKUPS TO MUNICIPALITIES IN CONNECTION WITH ADVANCE REFUNDINGS. FURTHER, THE NASD ALLEGED THAT THE FIRM KNEW, OR SHOULD HAVE KNOWN, THAT THE MARKUPS WERE NOT REASONABLY RELATED TO THE PREVAILING WHOLESALE MARKET PRICES AND THEREBY JEOPARDIZED THE TAX-EXEMPT STATUS OF THE BONDS AND DIVERTED FUNDS FROM THE US TREASURY. Status: Final Sanction Detail: FIRST UNION SECURITIES, WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS, CONSENTED TO THE FINDINGS OF THE NASD AND UNDERTAKES TO MAKE PAYMENTS TOTALING $309,775.92 RELATED TO THE SALE OF SECURITIES TO CERTAIN MUNICIPAL ISSUERS IN CONNECTION WITH ADVANCE REFUNDINGS, PAY $11,802,522.08 TO THE US TREASURY AND $625,000 TO THE NASD UNDER AN AGREEMENT SIMULTANEOUSLY ENTERED INTO AMONG FIRST UNION SECURIRITIES, THE INTERNAL REVENUE SERVICE AND THE US ATTORNEY FOR THE SOUTHERN DISTRICT OF NEW YORK.
Allegations: THE NASD ALLEGED THAT FUSI'S PREDECESSORS, BUTCHER & SINGER AND WHEAT FIRST SECURITIES, INC. VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT AND NASD RULE 2001 CONCERNING SALES OF PORTFOLIOS OF US TREASURY SECURITIES FOR DEFEASANCE ESCROW AT EXCESSIVE, UNDISCLOSED MARKUPS TO MUNICIPALITIES IN CONNECTION WITH ADVANCE REFUNDINGS. FURTHER, THE NASD ALLEGED THAT THE FIRM KNEW OR SHOULD HAVE KNOWN THAT THE MARKUPS WERE NOT REASONABLY RELATED TO THE PREVAILING WHOLESALE MARKET PRICES AND THEREBY JEOPARDIZED THE TAX-EXEMPT STATUS OF THE BONDS AND DIVERTED THE FUNDS FROM THE US TREASURY. Status: Final Sanction Detail: FUSI, WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS, CONSENTED TO THE FINDINGS OF THE NASD AND UNDERTAKES TO MAKE PAYMENTS TOTALING $1,460,110.32 RELATED TO THE SALE OF SECURITIES TO CERTAIN MUNICIPAL ISSUERS IN CONNECTION WITH ADVANCE REFUNDINGS, PAY $6,752,152.49 TO THE US TREASURY AND $478,500 TO THE NASDR UNDER AN AGREEMENT SIMULTANEOUSLY ENTERED INTO AMONG FUSI, THE INTERNAL REVENUE SERVICE AND THE US ATTORNEY FOR THE SOUTHERN DISTRICT OF NEW YORK.
Allegations: WITHOUT ADMITTING THE ALLEGATIONS, WELLS FARGO BANK, N.A. ("WFBNA") CONSENTED TO A SETTLEMENT IN WHICH IT WAS ALLEGED AND FOUND TO HAVE VIOLATED NFA COMPLIANCE RULE 2-49(A) BY FAILING TO COMMUNICATE WITH A COUNTERPARTY IN A FAIR AND BALANCED MANNER AS REQUIRED UNDER COMMODITY FUTURES TRADING COMMISSION REGULATION 23-433. WFBNA AGREED TO PAY A CIVIL MONEY PENALTY OF $2,500,000.00 TO THE NATIONAL FUTURES ASSOCIATION WITHIN 30 DAYS Status: Final Sanction Detail: $2,500,000. FINE DUE WITHIN 30 DAYS OF SETTLEMENT AGREEMENT.
Allegations: THE FIRM THROUGH A REGISTERED REPRESENTATIVE AND OTHERS ALLOWED THE CLIENT'S WIFE TO EFFECT THE WITHDRAWALS FROM A CUSTOMER'S ACCOUNT WITHOUT THE REQUIRED DOCUMENTS AS REQUIRED BY A.G. EDWARDS WRITTEN PROCEDURES. Status: Final Sanction Detail: REPRIMAND AND $5000 FINE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE FINDINGS STATED THAT THESE CUSTOMERS WERE INSTEAD SOLD CLASS A SHARES WITH A FRONT-END SALES CHARGE OR CLASS B OR C SHARES WITH BACK-END SALES CHARGES AND HIGHER ONGOING FEES AND EXPENSES. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT ELIGIBLE CUSTOMERS WHO PURCHASED MUTUAL FUND SHARES RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS. THE FIRM FAILED TO ADOPT ADEQUATE CONTROLS TO DETECT INSTANCES IN WHICH THEY DID NOT PROVIDE SALES CHARGE WAIVERS TO CUSTOMERS IN CONNECTION WITH THEIR MUTUAL FUND PURCHASES. Status: Final Sanction Detail: THE FIRM IS CENSURED, ORDERED TO PROVIDE RESTITUTION TO CUSTOMERS, WHICH INCLUDES THE SALES CHARGE PAID, PLUS INTEREST, AND WITH RESPECT TO ANY ELIGIBLE CUSTOMER THAT PURCHASED CLASS B OR C SHARES AND STILL HOLDS SUCH SHARES IN AN ACCOUNT AT THE FIRM, IT SHALL OFFER SUCH CUSTOMER THE OPTION OF CONVERTING SUCH CLASS B OR C SHARES TO CLASS A SHARES. IF AN ELIGIBLE FUND DOES NOT PERMIT CONVERSION OF CLASS B OR C SHARES TO CLASS A SHARES, THE ELIGIBLE CUSTOMER SHALL BE PROVIDED THE OPTION OF REPLACING CLASS B OR C SHARES WITH AN EQUIVALENT VALUE OF CLASS A SHARES OFFERED BY ANOTHER ELIGIBLE FUND. THE FIRM SHALL CAUSE SUCH CONVERSION TO OCCUR AT NO EXPENSE TO THE CUSTOMER.
Allegations: THE STATE OF SOUTH DAKOTA DEPARTMENT OF REVENUE & REGULATION DIVISION OF SECURITIES CONDUCTED AN INVESTIGATION INTO THE ACTIVITIES OF A TEAM OF AGENTS WHO WORKED TOGETHER FOR A.G. EDWARDS (WHICH WAS LATER ACQUIRED BY WACHOVIA SECURITIES, LLC AND LATER BY WELLS FARGO ADVISORS, LLC.) A LARGE PERCENTAGE OF THE TEAM'S PRODUCTION WAS FROM ANNUITY AND INSURANCE SALES AND THE DIVISION WAS CONCERNED ABOUT THE SUPERVISION OF THE TEAM AND THE SUITABILITY OF THEIR SALES. THE FIRM PLACED THE TEAM ON HEIGHTENED SUPERVISION AND PAID THE DIVISION A $21,000.00 FINE AND $20,000.00 TO COVER THE COSTS OF INVESTIGATION. Status: Final Sanction Detail: CONSENT ORDER Summary: THE STATE OF SOUTH DAKOTA DEPARTMENT OF REVENUE & REGULATION DIVISION OF SECURITIES CONDUCTED AN INVESTIGATION INTO THE SALES ACTIVITIES OF A TEAM OF AGENTS WHO WORKED TOGETHER FOR A.G. EDWARDS (WHICH WAS LATER ACQUIRED BY WACHOVIA SECURITIES, LLC AND LATER BY WELLS FARGO ADVISORS, LLC). APPROXIMATELY 44% OF THE GROUP'S PRODUCTION (ABOVE THE FIRM'S AVERAGE FOR THE PERIOD OF JANUARY 1, 2008 TO SEPTEMBER 30, 2008) WAS FROM ANNUITY AND INSURANCE SALES AND THE DIVISION WAS CONCERNED ABOUT THE SUPERVISION OF THE TEAM AND THE SUITABILITY OF THEIR SALES. WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, THE FIRM VOLUNTARILY PLACED THE TEAM ON HEIGHTENED SUPERVISION FOR A PERIOD OF ONE YEAR FROM THE DATE OF THE CONSENT ORDER (OR UNTIL AUGUST 8, 2010); PAID THE DIVISION A $21,000.00 FINE; AND PAID $20,000.00 TO COVER THE COSTS OF INVESTIGATION. ALSO THE FIRM NOW USES AN AUTOMATED TOOL (ANNUITYNET) WITH A BUILT IN SCORING SYSTEM THAT ROUTES VARIABLE ANNUITY TRANSACTIONS TO THE APPROPRIATE SUPERVISOR FOR REVIEW.
Allegations: THE DIVISION ALLEGED THAT O/A JUNE 9,2009, WELLS FARGO ADVISORS, LLC (WFA) ENGAGED IN DISHONEST AND UNETHICAL PRACTICES BY FAILING TO PROMPTLY AND REASONABLY FOLLOW INSTRUCTIONS FROM A CLIENT TO TRANSFER THE ASSETS IN HER ACCOUNTS TO ANOTHER FINANCIAL INSTITUTION IN-KIND, IN VIOLATION OF IND. CODE § 23-19-4-12(D)(13) AND 710 IAC 1-17-1(Y)(2001). THE DIVISION ALLEGED THAT FROM APPROXIMATELY MAY 5. 2009, TO JUNE 11,2009, WFA ENGAGED IN DISHONEST AND UNETHICAL PRACTICES BY FAILING TO SUPERVISE ITS AGENTS AND EMPLOYEES IN VIOLATION OF IND. CODE § 23-19-4-12(D)(13) & 710 IAC 1-17-1(V)(2001). Status: Final Sanction Detail: WELLS FARGO ADVISORS, LLC PAID A CIVIL PENALTY TO THE INDIANA SECURITIES DIVISION IN THE AMOUNT OF $8,000.00 AND ALSO PAID RESTITUTION TO NANCY MOORE IN THE AMOUNT OF $495.84. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS. THE FIRM WAS FINED $8,000.00 AND PAID RESTITUTION TO THE CLIENT IN THE AMOUNT OF $495.84.
Allegations: FEDERAL RESERVE CONSENT ORDER RE: BANK'S MORTGAGE FORECLOSURE PRACTICES. Status: Final Sanction Detail: WELLS FARGO & COMPANY (WELLS FARGO) ENTERED INTO A CONSENT ORDER WITH THE FEDERAL RESERVE PURSUANT TO WHICH WELLS FARGO AGREED, AMONG OTHER THINGS, (I) TO ENSURE THE BANK'S COMPLIANCE WITH THE OCC CONSENT ORDER; (II) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE ITS ENTERPRISE RISK MANAGEMENT WITH RESPECT TO OVERSIGHT OF RESIDENTIAL MORTGAGE LOAN SERVICING; (III) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE ITS ENTERPRISE-WIDE COMPLIANCE PROGRAM WITH RESPECT TO OVERSIGHT OF RESIDENTIAL MORTGAGE LOAN SERVICING; AND (IV) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE THE INTERNAL AUDIT PROGRAM WITH RESPECT TO RESIDENTIAL MORTGAGE LOAN SERVICING. Summary: WELLS FARGO & COMPANY (WELLS FARGO) ENTERED INTO A CONSENT ORDER WITH THE FEDERAL RESERVE PURSUANT TO WHICH WELLS FARGO AGREED, AMONG OTHER THINGS, (I) TO ENSURE THE BANK'S COMPLIANCE WITH THE OCC CONSENT ORDER; (II) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE ITS ENTERPRISE RISK MANAGEMENT WITH RESPECT TO OVERSIGHT OF RESIDENTIAL MORTGAGE LOAN SERVICING; (III) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE ITS ENTERPRISE-WIDE COMPLIANCE PROGRAM WITH RESPECT TO OVERSIGHT OF RESIDENTIAL MORTGAGE LOAN SERVICING; AND (IV) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE THE INTERNAL AUDIT PROGRAM WITH RESPECT TO RESIDENTIAL MORTGAGE LOAN SERVICING.
Allegations: THE BOARD OF GOVERNORS ALLEGED THAT WELLS FARGO FINANCIAL, INC., A SUBSIDIARY OF WELLS FARGO & COMPANY, ENGAGED IN ACTIVITIES CONSTITUTING UNSAFE OR UNSOUND BANKING PRACTICES, AND VIOLATIONS OF THE FEDERAL TRADE COMMISSION ACT AND STATE LAW IN CONNECTION WITH CERTAIN HOME MORTGAGE LENDING ACTIVITIES. Status: Final Sanction Detail: THIS MATTER WAS RESOLVED BY SETTLEMENT AND A MUTUALLY AGREED ORDER DATED JULY 20, 2011 PROVIDING FOR: (I) PAYMENT OF CIVIL MONETARY PENALTY OF $85 MILLION; (II) THE SUBMISSION WITHIN 90 DAYS OF REMEDIAL PLANS FOR PAYING RESTITUTION TO ELIGIBLE BORROWERS; AND (III) THE SUBMISSION WITHIN 90 DAYS OF ACCEPTABLE PLANS FOR THE PREVENTION OF SIMILIAR FUTURE CONDUCT, OVERSEEING COMPLIANCE WITH FEDERAL AND STATE LAW APPLICABLE TO HOME MORTGAGE LENDING ACTIVITIES, AND MODIFYING INCENTIVE COMPENSATION AND PERFORMANCE MANAGEMENT PROGRAMS RELATED TO HOME MORTGAGE LENDING ACTIVITIES. Summary: THIS MATTER WAS RESOLVED BY SETTLEMENT AND A MUTUALLY AGREED ORDER DATED JULY 20, 2011 PROVIDING FOR: (I) PAYMENT OF CIVIL MONETARY PENALTY OF $85 MILLION; (II) THE SUBMISSION WITHIN 90 DAYS OF REMEDIAL PLANS FOR PAYING RESTITUTION TO ELIGIBLE BORROWERS; AND (III) THE SUBMISSION WITHIN 90 DAYS OF ACCEPTABLE PLANS FOR THE PREVENTION OF SIMILIAR FUTURE CONDUCT, OVERSEEING COMPLIANCE WITH FEDERAL AND STATE LAW APPLICABLE TO HOME MORTGAGE LENDING ACTIVITIES, AND MODIFYING INCENTIVE COMPENSATION AND PERFORMANCE MANAGEMENT PROGRAMS RELATED TO HOME MORTGAGE LENDING ACTIVITIES.
Allegations: A FORMER AFFILIATE OF WELLS FARGO BANK, N.A. WAS ALLEGED TO HAVE OFFERED CREDIT CARDS TO NEW YORK STATE RESIDENTS SECURED BY RESIDENTIAL REAL ESTATE AND ORIGINATED RESIDENTIAL MORTGAGES IN A MANNER INCONSISTENT WITH NEW YORK LAW. Status: Final Sanction Detail: THE BANK AGREED TO RELEASE SECURITY INTERESTS RELATING TO THE CREDIT CARDS SECURED BY RESIDENTIAL PROPERTY IN NEW YORK, PROVIDE INTEREST REFUNDS AND RATE REDUCTION TO SOME BORROWERS, CONSIDER LOAN MODIFICATIONS, AND PAY A PENALTY.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ORDER TO CEASE AND DESIST AND TO TAKE AFFIRMATIVE ACTION TO TAKE STEPS TO ENSURE THE BANK COMPLIES WITH CONSENT ORDERS ISSUED BY THE OCC AND CFPB, WITHIN SIXTY DAYS, SUBMIT A WRITTEN PLAN TO FURTHER ENHANCE THE EFFECTIVENESS IN CARRYING OUT OVERSIGHT AND GOVERNANCE OF WFC, IMPROVE ITS OVERSIGHT OF SENIOR MANAGEMENT INCLUDING AN EFFECTIVE RISK TOLERANCE PROGRAM AND RISK IDENTIFICATION AND ESCALATION FRAMEWORK. FOLLOWING THE ADOPTION FO THE PLANS AND IMPROVEMENTS, WFC SHALL CONDUCT BY SEPTEMBER 30, 2018 AND INDEPENDENT REVIEW OF THE BOARD'S IMPROVEMENTS, ENHANCEMENTS TO THE FIRM'S COMPLIANCE AND OPERATIONAL RISK MANAGEMENT PROGRAM. WFC MUST CONDUCT A SECOND INDEPENDENT REVIEW INTO WFC'S "BUSINESS-AS-USUAL PRACTICES AND OPERATIONS TO ASSESS THE EFFICACY AND SUSTAINABILITY OF THE IMPROVEMENTS. BOTH REVIEWS MUST BE CONDUCTED BY THIRD PARTY EXPERTS WITH RESULTS SUBMITTED TO THE FEDERAL RESERVE WITHIN 30 DAYS OF COMPLETION OF THE REPORTS. WFC IS RESTRICTED, WITHOUT PRIOR WRITTEN APPROVAL, TO TAKE ANY ACTION THAT WOULD CAUSE THE AVERAGE OF WFC'S TOTAL CONSOLIDATED ASSETS FOR THE CURRENT AND PRECEDING QUARTER TO EXCEED A SPECIFIED LEVEL AS DESCRIBED MORE FULLY IN THE ORDER. Status: Final Sanction Detail: RESTRICTED, WITHOUT PRIOR WRITTEN APPROVAL, FROM EXCEEDING CERTAIN ASSET LEVELS AS DESCRIBED MORE FULLY IN THE ORDER.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: ON MARCH 30TH, 2023, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "BOARD OF GOVERNORS") ISSUED AN ORDER OF ASSESSMENT OF CIVIL MONEY PENALTY ISSUED UPON CONSENT PURSUANT TO THE FEDERAL DEPOSIT INSURANCE ACT, AS AMENDED (THE "ORDER") IMPOSING A CIVIL MONEY PENALTY ON WELLS FARGO & COMPANY ("WFC"), THE APPLICANT'S PARENT ENTITY, FOR UNSAFE AND UNSOUND PRACTICES RELATING TO FAILURES IN WFC'S RISK-MANAGEMENT AND OVERSIGHT FRAMEWORK FOR IDENTIFYING AND ADDRESSING LEGAL AND COMPLIANCE RISKS. SPECIFICALLY, WFC'S SUBSIDIARY BANK, WELLS FARGO BANK, N.A., (THE "BANK"), PROVIDED A TRADE FINANCE SOFTWARE PLATFORM TO A NON-US BANK, WHICH, DURING THE PERIOD OF DECEMBER 2011 TO DECEMBER 2015, THE NON-US BANK USED TO PROCESS NON-US DOLLAR TRADE FINANCE INSTRUMENTS OUTSIDE THE US FINANCIAL SYSTEM INVOLVING PARTIES IN JURISDICTIONS SUBJECT AT THE TIME TO SANCTIONS REGULATIONS. THE ORDER PROVIDES THAT WFC'S RISK-MANAGEMENT AND OVERSIGHT FRAMEWORK FAILURE TO IDENTIFY AND ADDRESS THE LEGAL AND COMPLIANCE RISKS WITH RESPECT TO THE BANK'S PROVISION OF THE SOFTWARE TO A NON-US BANK CONSTITUTES UNSAFE AND UNSOUND PRACTICES. Status: Final Sanction Detail: THE ORDER REQUIRES WELLS FARGO & COMPANY TO PAY A CIVIL MONEY PENALTY IN AMOUNT OF $67,762,500, WHICH IT PAID ON MARCH 30TH, 2023 Summary: THE BOARD OF GOVERNORS ASSESSED A CIVIL MONEY PENALTY ON WELLS FARGO & COMPANY FOR UNSAFE AND UNSOUND PRACTICES IN RESPECT OF FAILURES IN ITS RISK-MANAGEMENT AND OVERSIGHT FRAMEWORK THAT ENABLED WELLS FARGO & COMPANY'S SUBSIDIARY BANK TO PROVIDE A TRADING PLATFORM TO A NON-US BANK THAT ALLOWED THAT BANK TO PROCESS CERTAIN NON-US DOLLAR TRANSACTIONS INVOLVING PARTIES IN JURISDICTIONS SUBJECT TO OFAC REGULATIONS.
Allegations: THE FIRM INADVERTENTLY FAILED TO RENEW SALES REPRESENTATIVE, LARRY M MALLES, LICENSE BY DECEMBER 31, 2003 WHICH RESULTED IN MR MALLES TRANSACTING BUSINESS UNLICENSED FROM JANUARY 6, 2004 THROUGH JANUARY 8, 2004. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING VIOLATION OF THE REVISED MAINE SECURITIES ACT, THE FIRM AGREED TO A PENALTY OF $1500 AND WOULD COMPLY WITH ALL LICENSING AND OTHER LEGAL REQUIREMENTS FOR PERSONS ACTING IN A SECURITIES SALES REPRESENTATIVE CAPACITY.
Allegations: DURING AUGUST 5, 1999 THROUGH JULY 31, 2000, A REGISTERED REPRESENTATIVE OF THE FIRM HAD TRANSACTED BUSINESS WITH MAINE CLIENTS AND WAS NOT LICENSED OR EXEMPT. THE FIRM WAS ALLEGED TO HAVE VIOLATED THE REVISED MAINE SECURITIES ACT BY EMPLOYING THIS REGISTERED REPRESENTATIVE WHO WAS NOT LICENSED OR EXEMPT IN THE STATE AND FAILING TO REASONABLY SUPERVISE ONE OF ITS REGISTERED REPRESENTATIVES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO THE CENSURE AND PAYMENT OF $27,000.
Allegations: ALLEGED TO HAVE VIOLATED SECTION 36B-6(B) AND SECTION 36B-6(C) OF THE CONNECTICUT UNIFORM SECURITIES ACT WHERE CERTAIN FINACIAL ADVISORS AND A SALES ASSISTANT WERE NOT REGISTERED AS INVESTMENT ADVISORY AGENTS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE OF $2500.
Allegations: THE ALLEGATIONS WERE THAT, IN 2022, WELLS FARGO CLEARING SERVICES, LLC INADVERTENTLY DID NOT CONDUCT A BRANCH INSPECTION OF ONE MAINE BRANCH OFFICE (A REMOTE LOCATION NOT HELD OUT TO THE PUBLIC). THE MAINE SECURITIES ADMINISTRATOR TOOK THE POSITION THAT THIS VIOLATED MAINE'S ORDER 2021-12 AND MAINE OFFICE OF SECURITIES RULE CH. 504 SECTION (7)(4)(B) REGARDING THE ON-SITE BRANCH OFFICE INSPECTION REQUIREMENT. NO CUSTOMER IMPACT. Status: Final Sanction Detail: WELLS FARGO CLEARING SERVICES, LLC MAILED A $5,000 CHECK TO THE STATE OF MAINE ON OR ABOUT AUGUST 31, 2023. Summary: WELLS FARGO CLEARING SERVICES, LLC AGREED TO PAY $5,000 TO RESOLVE THE ALLEGATIONS OF A FAILURE TO COMPLY WITH MAINE'S ORDER NO. 2021-12, AN ORDER SUPERSEDING ORDER NO. 2020-45 REGARDING THE RESUMPTION OF ON-SITE BROKER-DEALER INSPECTIONS OF BRANCH OFFICES IN MAINE ("ORDER 2021-12"), AND MAINE OFFICE OF SECURITIES RULE CH. 504 SECTION (7)(4)(B) REGARDING THE ON-SITE BRANCH OFFICE INSPECTION REQUIREMENT. SPECIFICALLY, THE ALLEGATIONS WERE THAT, IN 2022, WELLS FARGO CLEARING SERVICES, LLC INADVERTENTLY DID NOT CONDUCT A BRANCH INSPECTION OF ONE MAINE BRANCH OFFICE (A REMOTE LOCATION NOT HELD OUT TO THE PUBLIC). THE MATTER WAS RESOLVED BY CONSENT AND WITH NO FORMAL FINDINGS ISSUED BY THE MAINE OFFICE OF SECURITIES.
Allegations: THE COMPLAINT ALLEGES FROM 2009 THROUGH 2013, GENUINE TITLE, LLC PROVIDED WELLS FARGO LOAN OFFICERS MARKETING SERVICES THAT ASSISTED THE LOAN OFFICERS IN GENERATING BUSINESS AND INCREASING THE NUMBER OF LOANS WELLS FARGO ORIGINATED OR FINANCED. THE COMPLAINT ALLEGES THAT UNDER AGREEMENTS OR UNDERSTANDING BETWEEN GENUINE TITLE AND THE LOAN OFFICERS, THE LOAN OFFICERS REFERRED SETTLEMENT SERVICE BUSINESS TO GENUINE TITLE. Status: Final Sanction Detail: WELLS FARGO IS ORDERED TO DISTRIBUTE AND ACKNOWLEDGE WITHIN 30 DAYS AND FOR FIVE (5) YEARS COPIES OF THE ORDER TO IT'S BOARD MEMBERS, EXECUTIVE OFFICERS, ALL MANAGEMENT PERSONNEL WITHIN ITS RETAIL SALES MORTGAGE ORIGINATION BUSINESS DOWN TO THE LEVEL OF HOME MORTGAGE CONSULTANT. Summary: WELLS FARGO BANK, N.A., NEITHER ADMITS OR DENIES ANY ALLEGATIONS EXCEPT TO ESTABLISH THE BUREAU'S JURISDICTION OVER WELLS FARGO AND THE SUBJECT MATTER.
Allegations: WITHOUT ADMITTING LIABILITY, THE BANK CONSENTED TO A CIVIL SETTLEMENT AGREEMENT IN WHICH THE US DOJ ALLEGED THE BANK ENGAGED IN VIOLATIONS COVERED UNDER THE FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989, 12 U.S.C. § 1833A, RELATED TO REPRESENTATIONS, DISCLOSURES OR NON-DISCLOSURES TO RMBS INVESTORS OR THIRD PARTIES THAT WERE PASSED THROUGH TO RMBS INVESTORS. WELLS FARGO BANK, N.A. AGREED TO PAY A CIVIL MONEY PENALTY OF $2,090,000,000 TO THE CIVIL DIVISION OF THE U.S. DEPARTMENT OF JUSTICE WITHIN FIFTEEN (15) DAYS. Status: Final Sanction Detail: $2,090,000,0000. FINE DUE WITHIN 15 DAYS OF SETTLEMENT AGREEMENT.
Allegations: WITHOUT ADMITTING OR DENYING LIABILITY, WELLS FARGO & COMPANY (WF&CO) ENTERED INTO A CONSENT ORDER IN WHICH WF&CO WAS ALLEGED TO HAVE VIOLATED §11-301(2) OF THE MARYLAND SECURITIES ACT, RELATED TO THE CREATION, POOLING, STRUCTURING, SPONSORSHIP, PACKAGING, MARKETING, UNDERWRITING, SALE OR ISSUANCE OF RESIDENTIAL MORTGAGE-BACKED SECURITIES ("RMBS") BETWEEN JANUARY 1, 2005 AND JANUARY 1, 2009. WF&CO AGREED TO PAY RESTITUTION OF $20,000,000 TO THE STATE OF MARYLAND WITHIN THIRTY (30) BUSINESS DAYS. Status: Final Sanction Detail: $20,000,000 RESTITUTION TO BE PAID WITHIN 30 BUSINESS DAYS OF SETTLEMENT AGREEMENT.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. ("WFBNA") CONSENTED TO THE ENTRY OF AN ORDER THAT ITS COMMUNITY BANK GROUP HAD UNSAFE OR UNSOUND PRACTICES IN RISK MANAGEMENT AND OVERSIGHT OF SALES PRACTICES, AND UNSAFE OR UNSOUND SALES PRACTICES BY SELLING UNWANTED DEPOSIT OR CREDIT CARD ACCOUNTS, THE UNAUTHORIZED OPENING OF SUCH ACCOUNTS, THE TRANSFER OF FUNDS TO UNAUTHORIZED ACCOUNTS, AND UNAUTHORIZED CREDIT INQUIRIES TO OPEN THE ACCOUNTS. Status: Final Sanction Detail: FINE PAID OF $35,000,000.00
Allegations: FAILURE OF PREDECESSOR FIRM WACHOVIA SECURITIES, INC. (BD 431) TO FILE ANNUAL AUDITED STATEMENTS WITHIN TIMELY MANNER AND TO PAY PENALTY OF $500 FOR LATE FILING. Status: Final Sanction Detail: ADMINISTRATIVE FINE OF $500.00 AND PENALTY FEE OF $500.00 PAID TO STATE 04/07/2003. Summary: THE RESPONDENT WACHOVIA SECURITIES, INC. (BD 19616)VOLUNTARILY CONSENTED TO THE ENTRY OF THE ORDER AND TO PAY THE PENALTY INCURRED BY THE FORMER WACHOVIA SECURITIES, INC. (BD431), WHICH MERGED WITH FIRST UNION SECURITIES, INC. ON 6/15/2002 TO BECOME WACHOVIA SECURITIES, INC. (BD19616).
Allegations: THE FIRM WAS ALLEGED TO HAVE VIOLATED SECURITIES LAWS BY FAILING TO ADEQUATELY SUPERVISE ITS AGENTS IN THE STATE OF MISSOURI. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE ORDER TO CEASE AND DESIST AND PAYMENT OF $300,000 TO THE MISSOURI INVESTOR EDUCATION AND PROTECTION FUND. IN ADDITION FOR A PERIOD OF TWO YEARS: (1) UPON REQUEST PROVIDE THE STATE OF MISSOURI BRANCH OFFICE REVIEWS BY REGULATORS, INCLUDING THE SEC, NYSE AND THE NASD, (2) PROMPTLY REPORT TO THE STATE OF MISSOURI THE NAME AND CRD NUMBER OF EACH MISSOURI-BASED AGENT IDENTIFIED BY THE SYSTEM WARRANTING HEIGHTENED SUPERVISION, (3) PROMPTLY REPORT ALL MATERIAL CHANGES IN COMPLIANCE SUPERVISORS WITH DIRECT OVERSIGHT OF MISSOURI-BASED AGENTS AND BRANCH OFFICES.
Allegations: AG EDWARDS PERMITTED AN UNREGISTERED PERSON TO USE BRANCH OFFICE FACILITIES TO FACILITATE THE REFERAL AND TRANSFER OF CLIENT FROM PREVIOUS BROKER-DEALER TO AG EDWARDS THROUGH HIS FORMER PARTNER A FORMER AG EDWARDS AGENT. AG EDWARDS DID NOT SUPERVISE NOR EMPLOY THE INDIVIDUAL IN ANY CAPACITY AND PERMITTED THE UNREGISTERED PERSON TO TRANSACT SECURITIES THROUGH HIS FORMER PARTNER Status: Final Sanction Detail: AG EDWARDS ALLOWED AN UNREGISTERED PERSON TO MAINTAIN A PRESENCE IN A NEW JERSEY BRANCH OFFICE AND PROVIDE INVESTMENT ADVISE TO CLIENTS. AG EDWARDS FAILED TO PREVENT UNSUITABLE TRADING STRATEGIES FROM BEING RECOMMENDED TO AG EDWARDS CLIENTS, FAILED TO REASONABLY SUPERVISE AND ESTABLISH AND ENFORCE PROCEDURES NECESSARY TO DEFECT PREVENT SUCH CONDUCT.
Allegations: IN CONNECTION WITH RESPONDENT'S (AND RESPONDENT'S PREDECESSOR'S) EMPLOYMENT OF BROKER MILLIET K. LANHAM, RESPONDENT FAILED TO REASONABLY SUPERVISE WITHIN THE MEANING OF SECTION 11-412(A)(10) OF THE SECURITIES ACT. Status: Final Sanction Detail: FINE = $50,000 PAID UPON ISSUANCE OF ORDER. NO PORTION OF PENALTY WAS WAIVED. Summary: CONSENT ORDER REFERRED TO FORMER BROKER'S HANDLING OF CERTAIN CUSTOMER ACCOUNTS. SOME CUSTOMERS WERE INVOLVED IN PRIVATE SETTLEMENT OF CLAIMS. ONE CUSTOMER, B.L., RECEIVED RESTITUTION PURSUANT TO THE TERMS OF THE CONSENT ORDER IN CONNECTION WITH BROKER'S HANDLING OF HER ACCOUNT.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: IN ADDITION TO TO THE FINE PAID ON 12/16/2008 IN THE AMOUNT OF $2,841,550.88. WACHOVIA SHALL PAY $265,000 AS COST FOR THE INVESTIGATION. $15,000 SHALL BE PAID TO NASAA.
Allegations: ON DECEMBER 29, 2010, THE CONNECTICUT BANKING COMMISSIONER ENTERED A CONSENT ORDER WITH RESPECT TO WACHOVIA SECURITIES, LLC, NOW KNOWN AS WELLS FARGO ADVISORS, LLC, A CONNECTICUT-REGISTERED BROKER-DEALER. THE CONSENT ORDER ALLEGED THAT THE FIRM FAILED TO ESTABLISH, ENFORCE AND MAINTAIN AN ADEQUATE SUPERVISORY SYSTEM IN OVERSEEING THE ACTIVITIES OF AN EX-BROKER-DEALER AGENT OF THE FIRM. ACCORDING TO THE CONSENT ORDER, THE AGENT ISSUED, AND RECOMMENDED TO A CERTAIN WACHOVIA SECURITIES, LLC CLIENT, UNREGISTERED PROMISSORY NOTES THAT WERE NOT SUITABLE FOR THE CLIENT BASED ON THE CLIENT'S FINANCIAL SITUATION AND NEEDS. THE CONSENT ORDER ADDED THAT THE AGENT ACTED OUTSIDE THE REGULAR COURSE OR SCOPE OF HIS EMPLOYMENT WITH THE FIRM IN SELLING THE NOTES AND IN RECEIVING COMPENSATION FOR REFERRING BROKERAGE AND BANK CLIENTS TO AN ASSOCIATE FOR THE PURPOSE OF INVESTING IN OTHER INTEREST-PAYING PROMISSORY NOTES. THE AGENT ALLEGEDLY DID NOT PROVIDE THE FIRM WITH PRIOR WRITTEN NOTICE OF SUCH ACTIVITIES, NOR WERE THE TRANSACTIONS RECORDED ON THE FIRM'S BOOKS AND RECORDS Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS OR FINDINGS, WACHOVIA SECURITIES, LLC CONSENTED TO THE TERMS OF THIS CONSENT ORDER, PAID APPROXIMATELY $800,000.00 IN RESTITUTION TO THE CLIENT, AND AGREED TO PAY THE $75,000.00 FINE TO THE STATE OF CONNECTICUT.
Allegations: STATE OF DELAWRE DEPARTMENT OF JUSTICE DIVISION OF SECURITIES ALLEGED THAT WACHOVIA SECURITIES, LLC VIOLATED 6 DEL.C. § 7316 (A)(7) OF THE DELAWARE SECURIYTIES ACT BY EXECUTING A TRANSACTION ON BEHALF OF A CUSTOMER WITHOUT PRIOR AUTHORIZATION Status: Final Sanction Detail: BOTH PARTIES WISH TO AMICABLY RESOLVE THIS MATTER WITHOUT THE TIME AND EXPENSE ASSOCIATED WITH CONTINUED LITIGATION. WACHOVIA AGREES TO PERMANENTLY WAIVE ALL RIGHTS TO A HEARING OR APPEAL. WACHOVIA NEITHER ADMITS NOR DENIES THE DIVISION DETERMINATIONS. THE DIVISION AGREES TO CONCLUDE ITS INVESTIGATION AND TAKE NO FURTHER ACTION.
Allegations: THE COMMONWEALTH OF PENNSYLVANIA ALLEGED THAT THE FIRM FAILED TO SUPERVISE AN AGENT LOCATED IN MORGANTOWN, WV FROM JUNE 2007 TO OCTOBER 2008. WITHOUT ADMITTING ANY LIABILITY OR WRONGDOING, THE FIRM SETTLED THIS MATTER ON SEPTEMBER 20, 2011 WITH THE CLIENT FOR THE AMOUNT OF $158,557.85. FINRA MATTER # WAS 20100226488. Status: Final Sanction Detail: WACHOVIA SECURITIES, LLC IS ORDERED TO PAY AN ADMINISTRATIVE ASSESSMENT OF $150,000.00 AND LEGAL AND INVESTIGATIVE COSTS OF $8,557.85 TO THE COMMONWEALTH OF PENNSYLVANIA WITHIN 30 DAYS OF THE DATE OF THIS ORDER. . Summary: THE COMMONWEALTH OF PENNSYLVANIA ALLEGED THAT THE FIRM FAILED TO SUPERVISE AN AGENT LOCATED IN MORGANTOWN, WV DURING THE TIME PERIOD OF JUNE 2007 TO OCTOBER 2008. WITHOUT ADMITTING ANY LIABILITY OR WRONGDOING, THE FIRM SETTLED THIS MATTER WITH THE CLIENT ON SEPTEMBER 20, 2011 FOR THE AMOUNT OF $158,557.85. FINRA MATTER # 20100226488.
Allegations: ON DECEMBER 15, 2010, WELLS FARGO, A FEDERALLY COVERED INVESTMENT ADVISER, INFORMED THE OFFICE BY LETTER THAT AN ANOMALY IN ITS AUTOMATED SYSTEMS HAD CAUSED A NUMBER OF INDIVIDUALS TO ENGAGE IN INVESTMENT ADVISORY BUSINESS IN FLORIDA WITHOUT BENEFIT OF INVESTMENT ADVISER REPRESENTATIVE REGISTRATION. IN EARLY 2012, WELLS FARGO ADVISORS, LLC NOTIFIED THE OFFICE THAT IT HAD ADDITIONAL FINANCIAL ADVISORS, INCLUDING TWO OTHER REGISTERED ASSOCIATES, THAT POTENTIALLY NEEDED INVESTMENT ADVISER REPRESENTATIVE REGISTRATION IN FLORIDA. THE REGISTERED ASSOCIATAED ARE PROPERLY REGISTERED WITH THE OFFICE TO SELL SECURITIES. ON MARCH 16,2012, THE OFFICE ISSUED A LETTER TO DETERMINE IF THEY HAD ENGAGED IN INVESTMENT ADVISORY BUSINESS FROM OFFICES IN FLORIDA. IN RESPONSE TO THE OFFICE'S INQUIRY, A REGISTERED ASSOCIATE INDICATED THAT HE HAD ENGAGED IN BUSINESS FOR THREE MONTHS OUT OF THE YEAR SINCE 2008, AND ANOTHER REGISTERED ASSOCIATE INDICATED THAT HE HAD ENGAGED IN BUSINESS FOR TWO TO FOUR MONTHS PER YEAR SINCE 2009, PRIOR TO THEM EACH OBTAINING PROPER REGISTRATION IN FLORIDA. Status: Final Sanction Detail: ON 2/12/2013, THE OFFICE OF FINANCIAL REGULATION ("OFFICE") ENTERED A FINAL ORDER ADOPTING THE STIPULATION AND CONSENT AGREEMENT IN THE MATTER OF WELLS FARGO ADVISORS, LLC, AND TWO OTHER REGISTERED ASSOCIATES ("RESPONDENTS"). RESPONDENTS NEITHER ADMITTED NOR DENIED THE FINDINGS BUT CONSENTED TO THE ENTRY OF FINDINGS BY THE OFFICE. WELLS FARGO ADVISORS, LLC AGREES TO CEASE AND DESIST FROM ANY AND ALL FUTURE VIOLATIONS OF CHAPTER 517, F.S. AND THE ADMINISTRATIVE RULES THEREUNDER AND AGREES TO PAY AN ADMINISTRATIVE FINE OF $30,000.00.
Allegations: THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ALLEGED THAT DURING THE APPROXIMATE PERIOD OF JANUARY 2007 THROUGH DECEMBER 2010 WELLS FARGO ADVISORS, LLC, AN UNLICENSED ENTITY, ACCEPTED INSURANCE COMMISSIONS FROM WELLS FARGO ADVISORS INSURANCE AGENCY LLC, IN VIOLATION OF NEW YORK INSURANCE LAW. THE DEPARTMENT FURTHER ALLEGED THAT BOTH WELLS FARGO ADVISORS LLC AND WELLS FARGO ADVISORS FINANCIAL NETWORK LLC PROVIDED MATERIALLY INCOMPLETE INFORMATION IN THEIR RESPECTIVE INSURANCE LICENSE APPLICATIONS SUBMITTED TO THE STATE ON OR ABOUT JANUARY 27, 2012. Status: Final Sanction Detail: WELLS FARGO ADVISORS AND AFFILIATES PAID A $50,000 FINE AND AGREED TO TAKE ALL NECESSARY STEPS TO PREVENT THE REOCCURRENCE OF SIMILAR VIOLATIONS.
Allegations: THE STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION ALLEGED THAT WELLS FARGO ADVISORS, LLC FAILED TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE WITH REGARD TO THE USE OF INVESTMENTS IN NON-TRADITIONAL ETFS; FAILED TO ESTABLISH AND MAINTAIN AN ADEQUATE SUPERVISORY SYSTEM IN CONNECTION WITH THE SALE OF AND INVESTMENT IN NON-TRADITIONAL ETFS; FAILED TO FOLLOW WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO THE USE OF AND INVESTMENT IN NON-TRADITIONAL ETFS; AND ALLOWED A REGISTERED REPRESENTATIVE TO RECOMMEND UNSUITABLE PRODUCTS TO A CUSTOMER, ALL IN VIOLATION OF 9 VSA SECTION 5412(D)(9). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THEREFORE, THE FIRM IS CENSURED AND FINED $300,000. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THEREFORE, THE FIRM IS CENSURED AND FINED $300,000.
Allegations: RESPONDENT FAILED TO REASONABLY SUPERVISE THE IRA DISTRIBUTIONS FROM 08/07/2001 TO 07/29/2007 IN VIOLATION OF SECTION 409.4-412(D)(9) Status: Final Sanction Detail: RESPONDENT SHALL MAINTAIN AND ENFORCE PROCEDURES AND SYSTEMS FOR SUPERVISING THE ACTIVITIES OF AGENTS, EMPLOYEES, AND MISSOURI OFFICE OPERATIONS IN A MANNER REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE STATE AND FEDERAL SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY. Summary: RESPONDENT SHALL MAINTAIN AND ENFORCE PROCEDURES AND SYSTEMS FOR SUPERVISING THE ACTIVITIES OF AGENTS, EMPLOYEES, AND MISSOURI OFFICE OPERATIONS IN A MANNER REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE STATE AND FEDERAL SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY.
Allegations: THE MASSACHUSETTS SECURITIES DIVISION ALLEGED CERTAIN WFCS SUPERVISORS REQUIRED TO BE REGISTERED IN MASSACHUSETTS AND WFCS AGENTS HAD A LAPSE IN MASSACHUSETTS REGISTRATION FOR SOME PERIOD DURING THE RELEVANT TIME PERIOD OF JANUARY 1, 2016 TO JUNE 28, 2018. Status: Final Sanction Detail: WFCS NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS OR CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER, AND CONSENTED TO THE ENTRYOF THE ORDER BY THE DIVISION. WFCS ALSO AGREED TO (1) CEASE AND DESIST, (2) CENSURE BY THE DIVISION, (3) ADDITIONAL UNDERTAKINGS, AND (4) PAY THE DIVISION AN ADMINISTRATIVE FINE IN THE AMOUNT OF $450,000.
Allegations: THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ("OCC") ALLEGED THAT WACHOVIA BANK, N.A. ("WACHOVIA BANK") FAILED TO IMPLEMENT ADEQUATE POLICIES, PROCEDURES AND CONTROLS RELATING TO CASH TRANSFERS FOR CURRENCY EXCHANGE HOUSES AND FOREIGN CORRESPONDENT CUSTOMERS, TO CONDUCT ADEQUATE MONITORING OF RELATED TRANSACTIONS AND CUSTOMERS, TO FILE TIMELY SUSPICIOUS ACTIVITY REPORTS AND TO ADEQUATELY REPORT CASH STRUCTURING ACTIVITY FROM REVIEW OF INTERNALLY GENERATED REPORTS. Status: Final Sanction Detail: WACHOVIA AGREED TO PAY A FINE OF $50 MILLION TO THE OCC, WHICH WAS PAID ON OR BEFORE MARCH 21, 2010. NO PORTION OF THE FINE WAS WAIVED Summary: WACHOVIA BANK AGREED, AMONG OTHER THINGS, TO TAKE THE NECESSARY STEPS TO ADDRESS DEFICIENCIES AND ENHANCE ITS BSA AND AML POLICIES AND PROCEDURES OVER FOREIGN CORRESPONDENT BANKING ACTIVITIES, TO DEVELOP AN ACTION PLAN DESIGNED TO ADDRESS IDENTIFIED DEFICIENCIES AND VIOLATIONS OF LAW AND TO SUBMIT THE ACTION PLAN TO THE DEPUTY COMPTROLLER WITHIN 90 DAYS OF THE ORDER, NOT TO IMPLEMENT ANY MATERIAL CHANGES TO THE ACTION PLAN WITHOUT PRIOR SUBMISSION TO AND APPROVAL OF THE DEPUTY COMPTROLLER, TO SUBMIT A FORMAL REPORT TO ITS BOARD OF DIRECTORS AND THE DEPUTY COMPTROLLER DETAILING THE STATUS OF REMEDIATION ACTIVITIES WITHIN 120 DAYS OF THE ORDER, AND TO SUBMIT QUARTERLY STATUS REPORTS UNTIL THE PROVISIONS OF THE ORDER ARE TERMINATED BY THE COMPTROLLER. WACHOVIA BANK MERGED WITH AND INTO WELLS FARGO BANK, N.A. ON MARCH 20, 2010.
Allegations: THE FINANCIAL CRIMES ENFORCEMENT NETWORK ("FINCEN") OF THE DEPARTMENT OF THE TREASURY ALLEGED THAT WACHOVIA BANK, N.A. ("WACHOVIA BANK") FAILED TO IMPLEMENT ADEQUATE POLICIES, PROCEDURES AND CONTROLS RELATING TO CASH TRANSFERS FOR CURRENCY EXCHANGE HOUSES AND FOREIGN CORRESPONDENT CUSTOMERS, TO CONDUCT ADEQUATE MONITORING OF RELATED TRANSACTIONS AND CUSTOMERS, TO ADEQUATELY STAFF THE BANK SECRECY ACT ("BSA") COMPLIANCE FUNCTION, TO EFFECTIVELY IMPLEMENT AN INDEPENDENT AUDIT FUNCTION TO TEST FOR BSA COMPLIANCE, TO FILE TIMELY SUSPICIOUS ACTIVITY REPORTS AND TO REPORT CURRENCY TRANSACTIONS. Status: Final Sanction Detail: FINCEN ASSESSED A PENALTY OF $110 MILLION AGAINST WACHOVIA BANK, WHICH WAS DEEMED SATISFIED FULLY BY WACHOVIA BANK'S FORFEITURE OF $110 MILLION, PAID ON OR BEFORE MARCH 21, 2010, TO THE U.S. GOVERNMENT IN CONNECTION WITH THE DEFERRED PROSECUTION AGREEMENT DESCRIBED IN 13, BELOW. Summary: FINCEN ISSUED ITS ASSESSMENT OF CIVIL MONEY PENALTY CONCURRENTLY WITH WACHOVIA BANK ENTERING INTO A DEFERRED PROSECUTION AGREEMENT ("AGREEMENT") WITH THE U.S. ATTORNEY'S OFFICE AND THE U.S. DEPARTMENT OF JUSTICE (COLLECTIVELY, THE "UNITED STATES") ON MARCH 16, 2010. PURSUANT TO THE AGREEMENT, WACHOVIA BANK SETTLED CIVIL AND CRIMINAL FORFEITURE CLAIMS FOR THE AMOUNT OF $110 MILLION, PAID ON OR BEFORE MARCH 21, 2010, AND AGREED TO IMPLEMENT CERTAIN REMEDIAL MEASURES DESIGNED TO FULLY COMPLY WITH THE BANK SECRECY ACT AND TO ABIDE BY ANY FINCEN ORDERS AND REGULATIONS. WACHOVIA BANK MERGED WITH AND INTO WELLS FARGO BANK, N.A. ON MARCH 20, 2010. WELLS FARGO BANK, N.A. AGREED TO BE BOUND BY THE TERMS AND CONDITIONS OF THE AGREEMENT FOLLOWING THE MERGER. THE UNITED STATES AGREED THAT PROSECUTION OF WACHOVIA BANK BE DEFERRED FOR A PERIOD OF TWELVE MONTHS AND THAT, IF WELLS FARGO BANK, N.A. IS IN COMPLIANCE IN ALL MATERIAL ASPECTS WITH ALL OF ITS OBLIGATIONS UNDER THE AGREEMENT, THE UNITED STATES, WITHIN THIRTY DAYS OF THE EXPIRATION OF THAT PERIOD, WOULD SEEK DISMISSAL WITH PREJUDICE OF THE CHARGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. (WFBNA) CONSENTS TO THE FINDING THAT BETWEEN 2007 AND 2014, WFBNA FAILED TO ACCURATELY DISCLOSE SOME SERVICE MEMBER'S MILITARY STATUS IN AFFIDAVITS FILED IN EVICTION PROCEEDINGS AND BETWEEN 2006 AND 2011, FAILED TO OBTAIN COURT ORDERS PRIOR TO REPOSSESING SERVICES MEMBER'S AUTOMOBILES. Status: Final Sanction Detail: $20,000,000.00 FINE PAID Summary: N/A
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT OR CONCLUSIONS OF LAW, THE BANK CONSENTED TO THE ISSUANCE OF AN ORDER IN WHICH THE CFPB FOUND THAT THE BANK ENGAGED IN UNFAIR ACTS OR PRACTICES IN VIOLATION OF SECTIONS 1031(C) AND 1036(A)(1)(B) OF THE CONSUMER FINANCIAL PROTECTION ACT OF 2010 (CFPA) FOR CERTAIN SPECIFIED ACTS AND PRACTICES RELATED TO: (1) THE BANK'S FAILURE TO FOLLOW THE MORTGAGE-INTEREST-RATE-LOCK PROCESS IT EXPLAINED TO SOME PROSPECTIVE BORROWERS; AND (2) THE BANK'S FORCE-PLACED AUTOMOBILE COLLATERAL PROTECTION INSURANCE (CPI) PROGRAM. IN ADDITION TO ORDERING THE BANK TO STOP ENGAGING IN THE SPECIFIED ACTS AND PRACTICES, THE ORDER FURTHER REQUIRES THE BANK TO: (1) MAINTAIN A COMPLIANCE COMMITTEE RESPONSIBLE FOR MONITORING AND OVERSEEING THE BANK'S COMPLIANCE WITH THE PROVISIONS OF THE ORDER; (2) SUBMIT AN ACCEPTABLE ENTERPRISE-WIDE COMPLIANCE RISK MANAGEMENT PLAN DESIGNED TO ENSURE THE BANK'S ACTS AND PRACTICES COMPLY WITH FEDERAL CONSUMER FINANCIAL LAW AND THE TERMS OF THE ORDER, A STAFFING ASSESSMENT FOR THE COMPLIANCE RISK MANAGEMENT PROGRAM, AND A PLAN TO ENHANCE THE INTERNAL AUDIT PROGRAM WITH RESPECT TO COMPLIANCE; (3) ESTABLISH A COMPREHENSIVE REMEDIATION PROGRAM FOR REMEDIATION ACTIVITIES CONDUCTED BY THE BANK AND ESTABLISH REMEDIATION PLANS ADDRESSING THE CPI AND MORTGAGE-INTEREST-RATE-LOCK FINDINGS IN THE ORDER; (4) PAY A CIVIL MONEY PENALTY OF $1 BILLION, FOR WHICH ONLY $500 MILLION MUST BE PAID TO THE CFPB AS THE CFPB IS TREATING THE PAYMENT OF THE $500 MILLION OCC PENALTY AS PARTIAL SATISFACTION OF THE PENALTY; AND (5) COMPLY WITH VARIOUS REPORTING AND APPROVAL REQUIREMENTS. Status: Final Sanction Detail: $500,000,000. FINE
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE BANK CONSENTED TO THE ISSUANCE OF AN ORDER IN WHICH THE OCC FOUND THAT THE BANK FAILED TO IMPLEMENT AND MAINTAIN AN ENTERPRISE-WIDE COMPLIANCE RISK MANAGEMENT PROGRAM COMMENSURATE WITH THE BANK'S SIZE, COMPLEXITY, AND RISK PROFILE. THE OCC FOUND THAT THE DEFICIENCIES IN THE BANK'S ENTERPRISE-WIDE COMPLIANCE RISK MANAGEMENT PROGRAM, WHICH WERE IDENTIFIED DURING THE OCC'S ONGOING SUPERVISION OF THE BANK, CONSTITUTED RECKLESS UNSAFE OR UNSOUND PRACTICES RESULTING IN VIOLATIONS OF THE UNFAIR ACTS OR PRACTICES PROVISION OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT. THE OCC ALSO FOUND THAT DEFICIENCIES IN THE BANK'S AUTOMOBILE COLLATERAL PROTECTION INSURANCE (CPI) PROGRAM AND MORTGAGE INTEREST RATE LOCK EXTENSION FEE PRACTICES CONSTITUTED UNFAIR ACTS OR PRACTICES AND WERE UNSAFE OR UNSOUND. THE ORDER REQUIRES THE BANK TO: (1) MAINTAIN A COMPLIANCE COMMITTEE RESPONSIBLE FOR MONITORING AND OVERSEEING THE BANK'S COMPLIANCE WITH THE PROVISIONS OF THE ORDER; (2) DEVELOP AND EXECUTE A COMPLIANCE RISK MANAGEMENT PLAN, A CONSENT ORDER ACTION PLAN, A STAFFING ASSESSMENT FOR THE COMPLIANCE RISK MANAGEMENT PROGRAM, AND A PLAN TO ENHANCE THE INTERNAL AUDIT PROGRAM WITH RESPECT TO COMPLIANCE; (3) ESTABLISH A COMPREHENSIVE REMEDIATION PROGRAM FOR REMEDIATION ACTIVITIES CONDUCTED BY THE BANK AND ESTABLISH REMEDIATION PLANS ADDRESSING CPI AND MORTGAGE INTEREST RATE LOCK EXTENSION FEES; (4) PAY A CIVIL MONEY PENALTY OF $500,000,000; AND (5) COMPLY WITH VARIOUS REPORTING AND APPROVAL REQUIREMENTS. Status: Final Sanction Detail: $500,000,000.00 FINE
Allegations: WITHOUT ADMITTING LIABILITY, THE BANK CONSENTED TO CONSENT AGREEMENTS IN WHICH THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC) ALLEGED THE BANK ENGAGED IN (1) UNSAFE OR UNSOUND PRACTICES RELATED TO LOSS MITIGATION ACTIVITIES AND INADEQUATE INDEPENDENT RISK MANAGEMENT AND INTERNAL AUDIT OF THE LOSS MITIGATION AND (2) VIOLATIONS COVERED UNDER THE 2018 CONSENT ORDER, AA-EC-2018-15. WELLS FARGO BANK, N.A. AGREED TO PAY A CIVIL MONEY PENALTY OF $250,000,000. TO THE OCC UPON ACCEPTANCE OF THE CONSENT AGREEMENT AND WITHIN 150 DAYS PROVIDE THE OCC EXAMINER-IN-CHARGE A WRITTEN ACCEPTABLE ACTION PLAN FOR REMEDIAL ACTIONS UNDER THE AGREEMENT. Status: Final Sanction Detail: $250,000,000. PAID IMMEDIATELY UPON CONSENT AGREEMENT. WFBNA SHALL CREATE A WRITTEN ACTION PLAN FOR REMEDIAL ACTIONS REQUIRED UNDER THE CONSENT AGREEMENT. Summary: N/A
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. ("WFBNA") CONSENTED TO THE ENTRY OF AN ORDER THAT ITS COMMUNITY BANK GROUP ENGAGED IN UNFAIR AND ABUSIVE PRACTICES BY OPENING DEPOSIT ACCOUNTS, TRANSFERRING FUNDS BETWEEN ACCOUNTS, APPLYING FOR CREDIT CARDS, ISSUING DEBIT CARDS AND ENROLLING CUSTOMERS IN ON-LINE BANKING SERVICES WITHOUT THE CUSTOMERS' CONSENT. Status: Final Sanction Detail: $100,000,000.00 FINE PAID
Allegations: WITHOUT ADMITTING LIABILITY, WELLS FARGO & COMPANY (WF&CO) CONSENTED TO A SETTLEMENT AGREEMENT IN WHICH THE OFFICE OF ATTORNEY GENERAL, STATE OF NEW YORK (OAG), ALLEGED WF&CO ENGAGED IN VIOLATIONS OF NY GENERAL BUSINESS LAW, § 352 ET SEQ., EXECUTIVE LAW § 63(12), AND THE COMMON LAW OF THE STATE OF NY, RELATED TO REPRESENTATIONS TO INVESTORS. WELLS FARGO & COMPANY AGREED TO PAY A CIVIL MONEY PENALTY OF $65,000,000. TO THE OAG WITHIN TEN (10) BUSINESS DAYS. Status: Final Sanction Detail: $65,000,000. FINE PAID WITHIN 10 BUSINESS DAYS OF SETTLEMENT AGREEMENT.
Allegations: WITHOUT ADMITTING LIABILITY, WELLS FARGO & COMPANY (WFC) CONSENTED TO A SETTLEMENT AGREEMENT WITH THE ILLINOIS ATTORNEY GENERAL'S OFFICE IN WHICH WFC AGREED TO PAY $17.25MM IN RESTITUTION TO DESIGNATED ILLINIOIS STATE PENSIONS TO RESOLVE AN INVESTIGATION OF . WELLS FARGO MORTGAGE - RELATED SECURITIZATIONS ISSUED BEFORE JANUARY 1, 2009. Status: Final Sanction Detail: $17,250,000. RESTITUTION PAID WITHIN 10 BUSINESS DAYS OF SETTLEMENT AGREEMENT.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. ("WFBNA") CONSENTED TO THE ENTRY OF AN ORDER THAT UNDER CERTAIN SCENARIOS AND IN CERTAIN TIMEFRAMES ITS EDUCATION FINANCIAL SERVICES BUSINESS (EFS)ALLOCATED PARTIAL PAYMENTS, AGGREGATED PARTIAL PAYMENTS, AND CHARGED LATE FEES IN WAYS THAT WERE ALLEGED TO BE UNLAWFUL. Status: Final Sanction Detail: $3,600,000.00 FINE PAID
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 05/01/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE WAS PAID ON 05/18/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER Status: Final Sanction Detail: THE FINE IS DUE BY 06/01/2009
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE WAS PAID ON JUNE 16, 2009.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE WAS PAID ON JUNE 29, 2009.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE IS PAYABLE WITHIN 10 DAYS IF THE ORDER.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE WAS PAID ON JUNE 29, 2009.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER. Status: Final Sanction Detail: PAYMENT WAS MADE ON AUGUST 5, 2009.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER. Status: Final Sanction Detail: PAYMENT WAS MADE AUGUST 19, 2009.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER. Status: Final Sanction Detail: PAYMENT WAS MADE ON AUGUST 25, 2009.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMER. Status: Final Sanction Detail: THE FINE WAS SENT ON AUGUST 18, 2009.
Allegations: THE STATE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE IS DUE IN FULL BY 09/27/2009
Allegations: THE DISTRICT OF COLUMBIA HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE IS DUE IN FULL BY SEPTEMBER 26, 2009.
Allegations: THE STATE OF MAINE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE PAYMENT WAS SENT TO THE STATE OF MAINE ON 04/22/2009.
Allegations: THE STATE OF DELAWARE HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE PAYMENT WAS SENT TO THE STATE OF DELAWARE ON 04/09/2009.
Allegations: THE STATE OF WEST VIRGINIA HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE IS DUE TO THE STATE OF WEST VIRGINIA - WITHIN TEN DAYS - ON NOVEMBER 13, 2009.
Allegations: THE STATE OF INDIANA HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE PAYMENT WAS SENT TO THE STATE OF INDIANA ON 05/12/2009.
Allegations: U.S. VIRGIN ISLANDS HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE PAYMENT WAS SENT TO THE U.S. VIRGIN ISLANDS ON 01/13/2010.
Allegations: STATE OF WISCONSIN HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES (ARS) TO CUSTOMERS. Status: Final Sanction Detail: THE PAYMENT WAS SENT TO THE STATE OF WISCONSIN ON 01/25/2010.
Allegations: THE STATE OF MARYLAND HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE IS DUE TO STATE OF MARYLAND - OFFICE OF THE ATTORNEY GENERAL - SECURITIES DIVISION UPON RECEIPT OF THE CONSENT ORDER.
Allegations: STATEOF ARKANSAS HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: PAYMENT OF THE FINE TO THE STATE OF ARKANSAS IS DUE BY 03/21/2010.
Allegations: THE STATE OF ILLINOIS HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES (ARS) TO CUSTOMERS. Status: Final Sanction Detail: THE FINE WAS SENT TO THE STATE OF ILLINOIS ON 04/06/2010.
Allegations: STATEOF LOUISIANA HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: PAYMENT OF THE FINE TO THE STATE OF LOUISIANA - OFFICE OF FINANCIAL INSTITUTIONS - COMMISSIONER OF SECURITIES IS DUE WITHIN TEN DAYS - ON JUNE 28, 2010.
Allegations: STATE OF HAWAII ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: PAYMENT OF THE FINE TO THE STATE OF HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS IS DUE BY 07/24/2010.
Allegations: THE STATE OF ALASKA HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS Status: Final Sanction Detail: THE FINE IS DUE TO THE STATE OF ALASKA ON OCTOBER 29, 2009.
Allegations: THE STATE OF OHIO HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE IS DUE TO THE STATE OF OHIO DIVISION OF SECURITIES - SECURITIES INVESTOR EDUCATION AND ENFORCEMENT EXPENSE FUND ON APRIL 2, 2011.
Allegations: THE STATE OF NEW HAMPSHIRE-DEPARTMENT OF STATE-BUREAU OF SECURITIES REGULATIONS HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE WAS SENT TO THE STATE OF NEW HAMPSHIRE-DEPARTMENT OF STATE-BUREAU OF SECURITIES REGULATIONS ON MAY 9, 2011.
Allegations: THE STATE OF NEW JERSEY HAS ALLEGED THAT WACHOVIA SECURITIES MISREPRESENTED THE SALE OF AUCTION RATE SECURITIES TO CUSTOMERS. Status: Final Sanction Detail: THE FINE IS DUE TO THE STATE OF NEW JERSEY ON OCTOBER 7, 2011.
Allegations: THE OOC ALLEGED THAT, FROM AT LEAST 1997 THROUGH AT LEAST 2006, WACHOVIA BANK, N.A. AND FIRST UNION NATIONAL BANK ("WACHOVIA BANK"), PREDECESSORS TO WELLS FARGO BANK, N.A., ENGAGED IN ILLEGAL CONDUCT AND/OR UNSAFE OR UNSOUND BANKING PRACTICES IN CONNECTION WITH THE MARKETING AND SALE OF CERTAIN DERIVATIVE FINANCIAL PRODUCTS TO CERTAIN MUNICIPALITIES AND OTHER NON-PROFIT ORGANIZATIONS ("COUNTERPARTIES") IN CERTAIN COMPETITIVELY BID TRANSACTIONS. Status: Final Sanction Detail: THE CONSENT ORDER FOR A CIVIL MONEY PENALTY ENTERED ON DECEMBER 8, 2011 PROVIDED FOR THE CONTEMPORANEOUS PAYMENT OF A CIVIL MONEY PENALTY IN THE AMOUNT OF $20,000,000.00, WHICH AMOUNT HAS BEEN PAID. PURSUANT TO A FURTHER AGREEMENT BY AND BETWEEN THE OCC AND WELLS FARGO BANK,N.A. ALSO ENTERED INTO ON DECEMBER 8, 2011 ("AGREEMENT"), WELLS FARGO BANK, N.A. AGREED TO DEPOSIT WITHIN 10 DAYS THE AMOUNT OF $14,518,013.00 INTO AN ACCOUNT FOR DISTRIBUTION TO CERTAIN ENTITIES IDENTIFIED IN EXHIBIT A OF THE AGREEMENT. Summary: THE OCC ALLEGED THAT WACHOVIA BANK WON BIDS FOR THE TEMPORARY INVESTMENT OF PROCEEDS FROM THE SALE OF TAX-EXEMPT MUNICIPAL SECURITIES BY, AMONG OTHER THINGS, PARTICIPATING IN SCHEMES WITH OUTSIDE INDIVIDUALS TO AGREE ON BIDS AND TO ARTIFICIALLY SET PRICES IN CONNECTION WITH THE SALE OF CERTAIN DERIVATIVE FINANCIAL PRODUCTS TO CERTAIN MUNICIPALITIES AND NON-PROFIT ORGANIZATIONS, SUBMITTING FALSE OR SHAM COURTESY BIDS, COMMUNICATING WITH DIRECT COMPETITORS AND./OR COORDINATING WITH THIRD PARTY BROKERS TO FIX BID PRICES, AND/OR COORDINATING WITH DIRECT COMPETITORS AND/OR THIRD PARTY BROKERS TO DETERMINE WHICH BIDDER WOULD WIN A PARTICULAR TRANSACTION. WELLS FARGO BANK, N.A. RESOLVED THIS MATTER BY AGREEING TO THE SANCTIONS AND RESTITUTION OUTLINED ABOVE AND FURTHER UNDERTAKINGS WITH RESPECT TO: ITS COMPLIANCE, TRAINING AND AUDIT PROGRAMS; ASSESSING AND EVALUATING ITS COMPETITIVE BIDDING ACTIVITIES; AND PREPARING AND SUBMITTING ANNUAL REPORTS CONCERNING THE EFFECTIVENESS OF ITS SUPERVISORY CONTROL POLICIES AND PROCEDURES.
Allegations: WELLS FARGO BANK, N.A. ENGAGED IN UNSAFE OR UNSOUND BANKING PRACTICES IN CONNECTION WITH RESIDENTIAL MORTGAGE FORECLOSURES. Status: Final Sanction Detail: THE $83,000000.00 CIVIL MONEY PENALTY WILL BE REDUCED BY THE AMOUNT OF BORROWER ASSISTANCE PROVIDED BY THE BANK OVER THE NEXT 3 YEARS AND WAIVED IN ITS ENTIRETY IF THAT ASSISTANCE IS $83,000000.00 OR GREATER.
Allegations: THE OCC ALLEGED WELLS FARGO BANK, N.A. ENGAGED IN UNFAIR BILLING AND DECEPTIVE MARKETING PRACTICES WITH REGARD TO IDENTITY PROTECTION AND DEBT CANCELLATION PRODUCTS THAT RESULTED IN VIOLATIONS OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE OCC FINDINGS, WELLS FARGO BANK, N.A. ENTERED INTO A STIPULATION AND CONSENT TO THE ISSUANCE OF A CONSENT ORDER AND A CONSENT ORDER PURSUANT TO WHICH WELLS FARGO BANK, N.A. WAS REQUIRED TO CEASE AND DESIST FROM VIOLATION OF SECTION 5 OF THE FTC ACT, PAY A CIVIL MONEY PENALTY OF $4,000,000 (PAID), MAKE REIMBURSEMENTS TO CONSUMERS AFTER A PLAN WAS DEVELOPED, AND ADDRESS MANAGEMENT OF THIRD-PARTIES PROVIDING SERVICES TO CONSUMERS.
Allegations: THE CFPB ALLEGED THAT CERTAIN OF THE BANK'S AUTO LOAN SERVICING, MORTGAGE LOAN SERVICING, AND CONSUMER DEPOSIT ACCOUNT PRACTICES WERE UNFAIR, AND THAT ONE CONSUMER DEPOSIT ACCOUNT PRACTICE WAS DECEPTIVE, AS FURTHER DESCRIBED IN THE CONSENT ORDER. Status: Final Sanction Detail: PENALTY PAID 12/27/2022. REMEDIATION TO CUSTOMERS AND CERTAIN PROCESS CHANGES ARE IN PROCESS, AS FURTHER DESCRIBED IN THE ORDER. Summary: THE ORDER IS FINAL AND THE PENALTY HAS BEEN PAID.
Allegations: WELLS FARGO & COMPANY ("WFC") VIOLATED SECTION 10(B) OF THE EXCHANGE ACT OF 1934 (THE "EXCHANGE ACT") AND RULE 10B-5 THEREUNDER WITH RESPECT TO ITS HISTORICAL COMMUNITY BANK SALES PRACTICES AND RELATED DISCLOSURES Status: Final Sanction Detail: PURSUANT TO A CEASE AND DESIST ORDER (THE "SEC ORDER"), THE SECURITIES AND EXCHANGE COMMISSION ("SEC") REQUIRED WFC TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000,000 Summary: WFC CONSENTED TO THE ENTRY OF THE SEC ORDER AND AGREED TO PAY A CIVIL PENALTY OF $500 MILLION AND TO BE ENJOINED FROM FUTURE VIOLATIONS OF SECTION 10(B) OF THE EXCHANGE ACT AND RULE 10B-5 THEREUNDER. WFC ALSO AGREED TO ENGAGE OUTSIDE EXPERIENCED SECURITIES COUNSEL TO CONDUCT AN ASSESSMENT OF THE REGULATION D POLICIES AND PROCEDURES OF WFC AND CERTAIN OF ITS SUBSIDIARIES AND TO PRESENT TO THE SEC ON THE IMPLEMENTATION OF RECOMMENDATIONS MADE BY OUTSIDE COUNSEL
Allegations: VIOLATIONS OF CFR PART 404 PROMULGATED PURSUANT TO SECTION 15C WITH THE PRIMARY DISTRIBUTION OF CERTAIN UNSECURED DEBT SECURITIES ISSUED BY GOVERNMENTAL SPONSORED ENTERPRISES. Status: Final Sanction Detail: CEASE AND DESIST, $100,000 FINE.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION (SEC) CHARGED WELLS FARGO CLEARING SERVICES, LLC AND WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC WITH WILLFULLY VIOLATING SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 (ADVISERS ACT) AND RULE 206(4)-7 THEREUNDER, FAILING REASONABLY TO FULFILL THEIR SUPERVISORY RESPONSIBILITIES WITHIN THE MEANING OF SECTION 203(E)(6) OF THE ADVISERS ACT AND FAILING REASONABLY TO FULFILL THEIR SUPERVISORY RESPONSIBILITIES WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT). Status: Final Sanction Detail: THE CIVIL PENALTY WILL BE PAID OUT WITHIN THE TIMELINE SPECIFIED BY THE ORDER Summary: THE COMMISSION FOUND THAT, FROM APRIL 2012 THROUGH SEPTEMBER 2019, THE FIRMS RECOMMENDED THAT MANY RETAIL INVESTMENT ADVISORY CLIENTS AND BROKERAGE CUSTOMERS BUY AND HOLD SINGLE-INVERSE EXCHANGE-TRADED FUNDS (ETFS) WITHOUT HAVING ADEQUATE COMPLIANCE POLICIES AND PROCEDURES AND WITHOUT PROVIDING FINANCIAL ADVISORS PROPER TRAINING AND SUPERVISION OF SINGLE-INVERSE ETFS. THE COMMISSION FOUND THAT, AS A RESULT, CERTAIN INVESTMENT ADVISER REPRESENTATIVES AND REGISTERED REPRESENTATIVES MADE UNSUITABLE RECOMMENDATIONS TO CERTAIN CLIENTS. THE COMMISSION FOUND THAT THE FIRMS WILLFULLY VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER, FAILED REASONABLY TO FULFILL THEIR SUPERVISORY RESPONSIBILITIES WITHIN THE MEANING OF SECTION 203(E)(6) OF THE ADVISERS ACT AND FAILED REASONABLY TO FULFILL THEIR SUPERVISORY RESPONSIBILITIES WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT. THE FIRMS CONSENTED, WITHOUT ADMITTING OR DENYING THE FINDINGS CONTAINED IN THE ORDER, TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER, (B) BE CENSURED, AND (C) JOINTLY AND SEVERALLY PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $35,000,000.
Allegations: THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ENTERED INTO A SETTLEMENT ORDER ("ORDER") WITH WELLS FARGO SECURITIES, LLC ("WFS") AND WELLS FARGO BANK NA ("WFB" AND COLLECTIVELY WITH WFS, THE "RESPONDENTS") TO SETTLE AN ADMINISTRATIVE ACTION CONCERNING (A) WFB'S FAILURE TO MAINTAIN REQUIRED RECORDS IN VIOLATION OF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE COMMODITY EXCHANGE ACT ("ACT") AND REGULATIONS 23.201(A) AND 23.202(A)(1) AND (B)(1); (B) WFS'S FAILURE TO KEEP REQUIRED RECORDS IN VIOLATION OF SECTION 4G OF THE ACT AND REGULATION 1.35; (C) RESPONDENTS' FAILURE TO KEEP RECORDS IN THE REQUIRED MANNER IN VIOLATION OF REGULATION 1.31; (D) WFB'S FAILURE TO SUPERVISE DILIGENTLY IN VIOLATION OF SECTIONS 4S(H)(1)(B) OF THE ACT AND REGULATION 23.602(A); AND (E) WFS'S FAILURE TO DILIGENTLY SUPERVISE IN VIOLATION OF REGULATION 166.3. Status: Final Sanction Detail: THE RESPONDENTS ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED THEIR CONDUCT VIOLATED THE ACT AND REGULATIONS AND CONSENTED TO: (A) THE ENTRY OF THE CFTC'S FINDINGS; (B) HAVE WFB CEASE AND DESIST FROM VIOLATING SECTIONS 4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE ACT, AND REGULATIONS 1.31, 23.201(A), 23.202(A)(1) AND (B)(1) AND 23.602(A) AND TO HAVE WFS CEASE AND DESIST FROM VIOLATING SECTION 4G OF THE ACT AND REGULATIONS 1.31, 1.35 AND 166.3, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $75,000,000, AND (D) COMPLY WITH CERTAIN CONDITIONS AND UNDERTAKINGS. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER. Summary: ON AUGUST 8, 2023, THE CFTC ENTERED INTO AN ORDER WITH THE RESPONDENTS TO SETTLE AN ADMINISTRATIVE ACTION CONCERNING (A) WFB'S FAILURE TO MAINTAIN REQUIRED RECORDS IN VIOLATION OF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE ACT AND REGULATIONS 23.201(A) AND 23.202(A)(1) AND (B)(1); (B) WFS'S FAILURE TO KEEP REQUIRED RECORDS IN VIOLATION OF SECTION 4G OF THE ACT AND REGULATION 1.35; (C) RESPONDENTS' FAILURE TO KEEP RECORDS IN THE REQUIRED MANNER IN VIOLATION OF REGULATION 1.31; (D) WFB'S FAILURE TO SUPERVISE DILIGENTLY IN VIOLATION OF SECTIONS 4S(H)(1)(B) OF THE ACT AND REGULATION 23.602(A); AND (E) WFS'S FAILURE TO DILIGENTLY SUPERVISE IN VIOLATION OF REGULATION 166.3. THE RESPONDENTS ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED THEIR CONDUCT VIOLATED THE ACT AND REGULATIONS AND CONSENTED TO: (A) THE ENTRY OF THE CFTC'S FINDINGS; (B) HAVE WFB CEASE AND DESIST FROM VIOLATING SECTIONS 4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE ACT, AND REGULATIONS 1.31, 23.201(A), 23.202(A)(1) AND (B)(1) AND 23.602(A) AND TO HAVE WFS CEASE AND DESIST FROM VIOLATING SECTION 4G OF THE ACT AND REGULATIONS 1.31, 1.35 AND 166.3, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $75,000,000, AND (D) COMPLY WITH CERTAIN CONDITIONS AND UNDERTAKINGS. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED, IN CONNECTION WITH THE BROKER-DEALER OFF-CHANNEL COMMUNICATIONS INITIATIVE, THAT WELLS FARGO SECURITIES, LLC, WELLS FARGO CLEARING SERVICES, LLC, AND WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (COLLECTIVELY, "WELLS FARGO") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE BROKER-DEALERS OPERATED BY WELLS FARGO, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-4(B)(4) THEREUNDER; AND (2) REASONABLY SUPERVISE THEIR EMPLOYEES WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF THEIR EMPLOYEES' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT. Status: Final Sanction Detail: WELLS FARGO ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED THEIR CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS AND AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER, (B) BE CENSURED, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $125,000,000, AND (D) COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO RETENTION OF ELECTRONIC COMMUNICATIONS. Summary: ON AUGUST 8, 2023, THE SEC ENTERED INTO A SETTLEMENT ORDER WITH WELLS FARGO TO SETTLE AN ADMINISTRATIVE ACTION, IN CONNECTION WITH THE BROKER-DEALER OFF-CHANNEL COMMUNICATIONS INITIATIVE, WHICH ALLEGED THAT WELLS FARGO FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE BROKER-DEALERS OPERATED BY WELLS FARGO, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-4(B)(4) THEREUNDER; AND (2) REASONABLY SUPERVISE THEIR EMPLOYEES WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF THEIR EMPLOYEES' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT. WELLS FARGO ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED THEIR CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS AND AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER, (B) BE CENSURED, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $125,000,000, AND (D) COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO RETENTION OF ELECTRONIC COMMUNICATIONS. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED THAT WELLS FARGO CLEARING SERVICES, LLC, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC, AND THEIR PREDECESSOR FIRMS (COLLECTIVELY, "WELLS FARGO" OR THE "FIRM") OVERCHARGED APPROXIMATELY 10,945 ADVISORY ACCOUNTS OF ADVISORY CLIENTS OPENED THROUGH 2014 MORE THAN $26.8 MILLION IN ADVISORY FEES FROM AT LEAST 2002 THROUGH DECEMBER 2022 AND FAILED TO ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE OVERBILLING IN WILLFUL VIOLATION OF SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND RULE 206(4)-7 THEREUNDER. SPECIFICALLY, FROM AT LEAST 2002 THROUGH 2014, CERTAIN INVESTMENT ADVISER REPRESENTATIVES FROM WELLS FARGO AND ITS PREDECESSOR FIRMS AGREED TO REDUCE THE FIRMS' STANDARD, PRE-SET ADVISORY FEE RATE FOR CERTAIN CLIENTS AT THE TIME THESE CLIENTS AGREED TO OPEN ACCOUNTS. THE REPRESENTATIVES MADE HANDWRITTEN OR TYPED CHANGES ON THE CLIENTS' STANDARD INVESTMENT ADVISORY AGREEMENTS THAT REFLECTED THE REDUCED FEE RATE. HOWEVER, IN CERTAIN INSTANCES, THE ACCOUNT PROCESSING EMPLOYEES AT WELLS FARGO AND ITS PREDECESSOR FIRMS FAILED TO ENTER THE AGREED-UPON REDUCED ADVISORY FEE RATE INTO THE FIRMS' BILLING SYSTEMS WHEN SETTING UP THE CLIENTS' ACCOUNTS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $35,000,000. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER. Summary: ON AUGUST 25, 2023, THE SEC ENTERED INTO A SETTLEMENT ORDER WITH WELLS FARGO TO SETTLE AN ADMINISTRATIVE ACTION WHICH ALLEGED THAT WELLS FARGO OVERCHARGED APPROXIMATELY 10,945 ADVISORY ACCOUNTS OF ADVISORY CLIENTS OPENED THROUGH 2014 MORE THAN $26.8 MILLION IN ADVISORY FEES FROM AT LEAST 2002 THROUGH DECEMBER 2022 AND FAILED TO ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE OVERBILLING IN WILLFUL VIOLATION OF SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND RULE 206(4)-7 THEREUNDER. SPECIFICALLY, FROM AT LEAST 2002 THROUGH 2014, CERTAIN INVESTMENT ADVISER REPRESENTATIVES FROM WELLS FARGO AND ITS PREDECESSOR FIRMS AGREED TO REDUCE THE FIRMS' STANDARD, PRE-SET ADVISORY FEE RATE FOR CERTAIN CLIENTS AT THE TIME THESE CLIENTS AGREED TO OPEN ACCOUNTS. THE REPRESENTATIVES MADE HANDWRITTEN OR TYPED CHANGES ON THE CLIENTS' STANDARD INVESTMENT ADVISORY AGREEMENTS THAT REFLECTED THE REDUCED FEE RATE. HOWEVER, IN CERTAIN INSTANCES, THE ACCOUNT PROCESSING EMPLOYEES AT WELLS FARGO AND ITS PREDECESSOR FIRMS FAILED TO ENTER THE AGREED-UPON REDUCED ADVISORY FEE RATE INTO THE FIRMS' BILLING SYSTEMS WHEN SETTING UP THE CLIENTS' ACCOUNTS. IN 2022 AND 2023, THE FIRM CORRECTED THE ADVISORY FEES TO BE CHARGED TO THE ACCOUNTS AND ISSUED PAYMENTS FOR THE OVERCHARGED ADVISORY FEES, PLUS INTEREST, TO THE AFFECTED ACCOUNTHOLDERS. WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $35,000,000. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER.
Allegations: SEC ADMIN RELEASE 33-10511; 34-83508; IA RELEASE 4947, JUNE 25, 2018: THE SECURITIES AND EXCHANGE COMMISSION (COMMISSION) DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 (SECURITIES ACT), SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT), AND SECTION 203(E) OF THE INVESTMENT ADVISERS ACT OF 1940 (ADVISERS ACT) AGAINST WELLS FARGO ADVISORS, LLC. FROM AT LEAST JANUARY 2009 THROUGH JUNE 2013, CERTAIN REGISTERED REPRESENTATIVES AT WELLS FARGO ADVISORS, LLC (WFA) AND ITS PREDECESSOR WELLS FARGO INVESTMENTS, LLC (WFI) IMPROPERLY SOLICITED CUSTOMERS TO REDEEM THEIR MARKET-LINKED INVESTMENTS (MLI) EARLY AND PURCHASE NEW MLIS WITHOUT ADEQUATE ANALYSIS OR CONSIDERATION OF THE SUBSTANTIAL COSTS ASSOCIATED WITH SUCH TRANSACTIONS. AN MLI IS A FIXED MATURITY FINANCIAL PRODUCT WHOSE INTEREST IS DETERMINED BY THE PERFORMANCE OF A REFERENCE ASSET OR MARKET MEASURE SUCH AS AN EQUITY OR COMMODITY INDEX OVER THE TERM OF THE PRODUCT. MLIS HAVE LIMITED LIQUIDITY AND SIGNIFICANT UPFRONT FEES, AND ACCORDINGLY WFA CONSIDERED THEM TO BE PRODUCTS INTENDED TO BE HELD TO MATURITY AND IN 2011 IMPLEMENTED A POLICY PROHIBITING REPRESENTATIVES FROM ENGAGING IN "SHORT-TERM TRADING" OR "FLIPPING" OF MLIS. NOTWITHSTANDING WFA'S INTERNAL GUIDANCE AND POLICY, AND DESPITE THE ADVERSE ECONOMIC CONSEQUENCES TO WFA CUSTOMERS, CERTAIN WFA REPRESENTATIVES DID NOT REASONABLY INVESTIGATE OR UNDERSTAND THE SIGNIFICANT COSTS OF MLI EXCHANGES. NEVERTHELESS, THEY RECOMMENDED TO THEIR CUSTOMERS THAT THEY REDEEM THEIR MLIS EARLY, TYPICALLY TO REALIZE PROFITS, AND TO USE THE PROCEEDS FROM THOSE REDEMPTIONS TO PURCHASE NEW MLIS. SUPERVISORS ROUTINELY APPROVED THE RECOMMENDATIONS OR THE EXCHANGES. THIS PRACTICE CAUSED CERTAIN WFA CUSTOMERS TO INCUR SIGNIFICANT COSTS AND IMPAIRED THE CUSTOMERS' ABILITY TO ACHIEVE THEIR INVESTMENT OBJECTIVES. AS A CONSEQUENCE, WFA OBTAINED COMMISSIONS BY MEANS OF RECOMMENDATIONS THAT CONTAINED IMPLIED REPRESENTATIONS THAT WFA PERSONNEL HAD FORMED A REASONABLE BASIS FOR THE RECOMMENDATIONS WHEN THEY HAD NOT, IN FACT, DONE SO. AS A RESULT OF THE CONDUCT DESCRIBED ABOVE, WFA WILLFULLY VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. Status: Final Sanction Detail: WFA IS CENSURED, ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT, AND SHALL PAY DISGORGEMENT, PREJUDGMENT INTEREST, AND A CIVIL MONETARY PENALTY TOTALING $5,108,441.27. Summary: IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, THE FIRM HAS SUBMITTED AN OFFER OF SETTLEMENT (THE OFFER) WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. SOLELY FOR THE PURPOSE OF THESE PROCEEDINGS AND ANY OTHER PROCEEDINGS BROUGHT BY OR ON BEHALF OF THE COMMISSION, OR TO WHICH THE COMMISSION IS A PARTY, AND WITHOUT ADMITTING OR DENYING THE FINDINGS HEREIN, EXCEPT AS TO THE COMMISSION'S JURISDICTION OVER IT AND THE SUBJECT MATTER OF THESE PROCEEDINGS, WHICH ARE ADMITTED, THE FIRM CONSENTS TO THE ENTRY OF THIS ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934, AND SECTION 203(E) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER (ORDER). AS A RESULT OF THE CONDUCT DESCRIBED, WFA WILLFULLY VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. IN VIEW OF THE FOREGOING, THE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST TO IMPOSE THE SANCTIONS AGREED TO IN WFA'S OFFER. ACCORDINGLY, PURSUANT TO SECTION 8A OF THE SECURITIES ACT, SECTION 15(B) OF THE EXCHANGE ACT, AND SECTION 203(E) OF THE ADVISERS ACT IT IS HEREBY ORDERED THAT WFA IS CENSURED, ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT, AND SHALL PAY DISGORGEMENT, PREJUDGMENT INTEREST, AND A CIVIL MONETARY PENALTY TOTALING $5,108,441.27 AS FOLLOWS: WFA SHALL PAY DISGORGEMENT OF $930,377, WHICH REPRESENTS THE COMMISSIONS WFA EARNED ON REPRESENTATIVES RECURRENT MLI EXCHANGES BETWEEN JANUARY 1, 2009 AND AUGUST 31, 2012, PREJUDGMENT INTEREST THEREON OF $178,064.27, AND A CIVIL MONEY PENALTY IN THE AMOUNT OF $4,000,000, CONSISTENT WITH THE PROVISIONS OF THE ORDER.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION (SEC) ALLEGED THAT WELLS FARGO CLEARING SERVICES, LLC (THE FIRM), IN CONNECTION WITH THE FIRM'S FAILURE TO TIMELY FILE CERTAIN SUSPICIOUS ACTIVITY REPORTS ("SARS"), WILLFULLY VIOLATED SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-8 THEREUNDER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS CONTAINED IN THE ORDER, WITH THE EXCEPTION OF THE SEC'S JURISDICTION OVER IT AND THE SUBJECT MATTER OF THE PROCEEDINGS, THE FIRM CONSENTED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-8 PROMULGATED THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $7,000,000. THE FIRM PAID THE CIVIL PENALTY ON OR ABOUT JUNE 2, 2022 Summary: ON MAY 20, 2022, THE SEC ANNOUNCED THAT THE FIRM AGREED TO A SETTLEMENT OF ALLEGATIONS THAT, IN CONNECTION WITH THE FIRM'S FAILURE TO TIMELY FILE CERTAIN SARS BETWEEN APRIL 2017 AND OCTOBER 2021, IT WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-8 THEREUNDER. WITHOUT ADMITTING OR DENYING THE FINDINGS CONTAINED IN THE ORDER, WITH THE EXCEPTION OF THE SEC'S JURISDICTION OVER IT AND THE SUBJECT MATTER OF THE PROCEEDINGS, THE FIRM CONSENTED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-8 PROMULGATED THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $7,000,000. THE FIRM PAID THE CIVIL PENALTY ON OR ABOUT JUNE 2, 2022
Allegations: FIRST UNION SECURITIES, WITHOUT ADMITTING OR DENYING THE COMMISSION'S FINDINGS, CONSENTED TO A COMMISSION ORDER FINDING THAT THE FIRM VIOLATED THE BROKER-DEALER RECORDKEEPING PROVISIONS OF SECTION 17A AND RULE 17A-3 THEREUNDER. Status: Final Sanction Detail: ORDERED TO PAY CIVIL PENALTIES OF $100,000, DISGORGEMENT AND PREJUDGEMENT INTEREST OF $308,931. Summary: FIRST UNION SECURITIES, WITHOUT ADMITTING OR DENYING ANY WRONGDOING, WAS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING FUTURE VIOLATIONS OF THE BROKER-DEALER RECORDKEEPING PROVISIONS OF THE FEDERAL SECUIRITIES LAWS. THE COMMISSION ORDER FINDS THAT FUSI FAILED TO PROPERLY RECORD CERTAIN TERMS OF CUSTOMER ORDERS MADE IN CONNECTION WITH THE PURCHASE AND SALE OF U.S. TREASURY SECURITIES ISSUED THROUGH THE NONCOMPETATIVE AUCTION PROCESS FROM 1995 THROUGH 1998.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION (SEC) ALLEGED WELLS FARGO BANK, N.A. MUNICIPAL PRODUCTS GROUP (WFBNA MPG) CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN OFFICIAL STATEMENTS ISSUED IN CONNECTION WITH THOSE OFFERINGS. THIS RESULTED IN WFBNA MPG OFFERING AND SELLING MUNICIPAL SECURITIES ON THE BASIS OF MATERIALLY MISLEADING DISCLOSURE DOCUMENTS. THE SEC ALLEGES WFBNA MPG VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933. Status: Final Sanction Detail: THIS ACTION RESULTED FROM A VOLUNTARY SELF-REPORT SUBMITTED TO THE SEC BY WELLS FARGO BANK, N.A. MUNICIPAL PRODUCTS GROUP PURSUANT TO THE SEC'S MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION INITIATIVE ("MCDC"; SEE HTTPS://WWW.SEC.GOV/DIVISIONS/ENFORCE/MUNICIPALITIES-CONTINUING-DISCLOSURE-COOPERATION-INITIATIVE.SHTML). STANDARD MCDC SETTLEMENT TERMS AS DESCRIBED IN THE SEC'S MCDC WEB PAGE WERE IMPOSED. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OR VIOLATIONS OF SECURITIES LAWS OR RULES, WELLS FARGO BANK, N.A. MUNICIPAL PRODUCTS GROUP AGREES TO THE OFFER OF SETTLEMENT AND THIS ORDER.
Allegations: THE CFTC FOUND THAT BETWEEN MARCH 1, 2013 AND NOVEMBER 13, 2015, EVERY LARGE TRADER REPORT ("LTR") SUBMITTED BY WELLS FARGO BANK, N.A. FAILED TO MEET THE PART 20 REQUIREMENTS. LTRS SUBMITTED BY THE BANK OMITTED REQUIRED DATA ELEMENTS AND REPORTED CERTAIN DATA IN A MANNER THAT DID NOT CONFORM TO THE SPECIFICATIONS REQUIRED BY THE CFTC. ACCORDINGLY, THE BANK VIOLATED SECTION 4S(F)(1)(A) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. SEC. 6S(F)(1)(A) (2012), AND REGULATIONS 20.4 AND 20.7, 17 C.F.R. SECS. 20.4 AND 20.7 (2015). WITHOUT ADMITTING OR DENYING THE FINDINGS, THE BANK CONSENTED TO ENTRY OF THE CFTC'S ORDER. Status: Final Sanction Detail: $400,000.00 FINE PAID Summary: N/A
Allegations: THE CFTC FOUND THAT WELLS FARGO BANK, N.A. (WFBNA) MISPRICED A FOREIGN EXCHANGE TRANSACTION EXECUTED ON BEHALF OF A COUNTERPARTY IN AUGUST 2014, BECAUSE WFBNA DID NOT HAVE A SYSTEM IN PLACE TO ACCURATELY TRACK TRADES USED TO FILL A COUNTERPARTY'S ORDERS AND DID NOT IMPLEMENT PROCEDURES DESIGNED TO ENSURE THAT ACCURATE INFORMATION WAS PROVIDED TO THE COUNTERPARTY. ACCORDINGLY, THE CFTC FOUND THAT THE BANK VIOLATED SECTION 4S(H)(1)(B) AND (3)(C) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. SEC. 6S(H)(1)(B) AND (3)(C) (2012), AND REGULATIONS 23.4.02(A)(1)(I) AND (2) AND 23.433, 17 C.F.R. SECS. 23.402(A)(1)(I) AND (2) AND 23.433 (2019). WITHOUT ADMITTING OR DENYING THE FINDINGS, WFBNA CONSENTED TO ENTRY OF THE CFTC'S ORDER. Status: Final Sanction Detail: RESTITUTION OF $4.47 MILLION ALREADY MADE TO COUNTERPARTY
Allegations: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM WAS ALLEGED TO HAVE VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT IN FAILING TO NOTIFY CUSTOMERS OF APPROPRIATE BREAKPOINT DISCOUNTS AND VIOLATED RULE 10B-10 UNDER THE EXCHANGE ACT IN FAILING TO DISCLOSE THE REMUNERATION THE FIRM RECEIVED FROM FRONT END SALES LOADS. Status: Final Sanction Detail: THE TOTAL AMOUNT OF THE FINE WAS $4,844,465. $2,422,232 PAID TO THE NASD ON 2/19/04 AND $2,422,232 PAID TO THE SEC ON 2/19/04. Summary: THE FIRM AGREED TO AN OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. IN ADDITION TO THE CENSURE, CEASE AND DESIST ORDER, MONETARY FINE, THE FIRM HAS AGREED TO CERTAIN UNDERTAKINGS SET FORTH UNDER NASD AWC#CAF040008: (1) A TRADE BY TRADE REVIEW OF ALL FRONT END LOADED FUND SALES ABOVE $2500 FROM JANUARY 1, 1999 THROUGH NOVEMBER 3, 2003 TO ENSURE THAT CUSTOMERS RECEIVE THE APPROPRIATE SALES DISCOUNTS AND PROVIDE REFUNDS WHERE APPLICABLE, AND (2) WITHIN 6 MONTHS OF THE DATE OF THE AWC, THE FIRM WILL CERTIFY TO THE REGULATORS THAT A SYSTEM IS IN PLACE REASONABLY DESIGNED TO MAKE CERTAIN CUSTOMERS GET APPROPRIATE BREAKPOINT DISCOUNTS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
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