Rockefeller Financial Llc
SEC-registered
Broker-Dealer (Dually Registered) · Large ($10B–$100B)
CRD 291361
· SEC file 801-114033
· New York, NY
· www.rockco.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $99.6B
- Discretionary
- $93.5B
- Clients
- 50,292
- Avg AUM / client
- $2.0M
- Accounts
- 95,368
- Employees
- 1,005
AUM over time
$0
$99.6B
Aug 2018
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Asset allocation (SMA assets by investment type)
as of Mar 31, 2026
Exchange-traded equities
$42.8B
43%
Registered investment companies (funds/ETFs)
$35.9B
36%
State & local bonds
$7.0B
7%
Pooled investment vehicles
$4.0B
4%
Cash & equivalents
$4.0B
4%
US government & agency bonds
$3.0B
3%
Investment-grade corporate bonds
$2.0B
2%
Derivatives
$996M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 32,546 | $12.8B | 12.8% |
| High net worth individuals | 15,255 | $69.4B | 69.6% |
| Pension and profit sharing plans | 911 | $4.4B | 4.42% |
| Charitable organizations | 275 | $2.4B | 2.41% |
| State or municipal government entities | 7 | $275M | 0.28% |
| Insurance companies | 3 | $471M | 0.47% |
| Corporations and other businesses | 1,295 | $9.9B | 9.95% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (1,003)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Dupuy, Christopher Trevor | President & Ceo | Nov 2021 (5y) | Less than 5% | |
| Alexander, Mark David | Principal Operations Officer | May 2022 (4y) | Less than 5% | |
| Kowalski, Deirdre Patten | Principal Financial Officer | Jan 2023 (4y) | Less than 5% | |
| Mirza, Rizwan Mohammad | Cco | Jul 2024 (2y) | Less than 5% | |
| Yannotta, William Michael | Chief Financial Officer | Nov 2024 (2y) | Less than 5% | |
| Michael Wayne Outlaw | Registered representative | Nov 2018 (8y) | ||
| Thomas Lane Epperson | Registered representative | Dec 2018 (8y) | ||
| Travis Joel Tidwell | Registered representative | Dec 2018 (8y) | ||
| Justin Pace Ryan | Registered representative | Jan 2019 (8y) | ||
| Thomas Casey Stamps | Registered representative | Jan 2019 (8y) | ||
| David Patrick Higgins | Registered representative | Jan 2019 (8y) | ||
| Evan Bradley Georgiou | Registered representative | Jan 2019 (8y) | ||
| John Frederick Embleton | Registered representative | Jan 2019 (8y) | ||
| Michael Patrick Hall | Registered representative | Jan 2019 (8y) | ||
| Peter Schuyler Quackenbush | Registered representative | Jan 2019 (8y) | ||
| Kevin Mark Valentino | Registered representative | CFP | Jan 2019 (8y) | |
| Taylor Logan Patrone | Registered representative | Feb 2019 (7y) | ||
| Laura English Dawson | Registered representative | Feb 2019 (7y) | ||
| Blake Franklin Bruce | Registered representative | Feb 2019 (7y) | ||
| Ty Teifer Dickey | Registered representative | Feb 2019 (7y) | ||
| William Hunter Unrue | Registered representative | Feb 2019 (7y) | ||
| Sally Lee Kreisler | Registered representative | Mar 2019 (7y) | ||
| Brett Winston Mendenhall | Registered representative | Mar 2019 (7y) | ||
| Cheryl Louise Rowan | Registered representative | Mar 2019 (7y) | ||
| Ray P Tucholski | Registered representative | Mar 2019 (7y) | ||
| John D Hanna | Registered representative | CFP | Mar 2019 (7y) | |
| Cory Alan Bryson | Registered representative | CFP | Apr 2019 (7y) | |
| Andy Lam | Registered representative | CFA | May 2019 (7y) | |
| Michael Richard Armondo | Registered representative | CFP Chartered Financial Consultant | May 2019 (7y) | |
| Joseph Nicholas Paul | Registered representative | May 2019 (7y) | ||
| Nick M Bapis | Registered representative | Jun 2019 (7y) | ||
| Leila Taylor | Registered representative | Jun 2019 (7y) | ||
| Anna Kelly | Registered representative | CFP | Jun 2019 (7y) | |
| Michael Kevin Buss | Registered representative | Jun 2019 (7y) | ||
| Neil David Rubinstein | Registered representative | Jun 2019 (7y) | ||
| Robyn R Petty Greer | Registered representative | Jun 2019 (7y) | ||
| Ryan Edward Barcena | Registered representative | Jun 2019 (7y) | ||
| James D. Sandfort | Registered representative | CFP CFA | Jul 2019 (7y) | |
| John Ciaramitaro | Registered representative | Jul 2019 (7y) | ||
| Neil Sims Holmes | Registered representative | Jul 2019 (7y) | ||
| Regina Rae Spano | Registered representative | Jul 2019 (7y) | ||
| Megan Taylor Miles | Registered representative | Jul 2019 (7y) | ||
| Michael Thomas Lepore | Registered representative | Jul 2019 (7y) | ||
| Abbas Khoshnevissan | Registered representative | Jul 2019 (7y) | ||
| Ulku Dogan | Registered representative | Jul 2019 (7y) | ||
| Ashley Calderon | Registered representative | Aug 2019 (7y) | ||
| Gino Louis Pace | Registered representative | Sep 2019 (7y) | ||
| Michael Lawrence Siden | Registered representative | Sep 2019 (7y) | ||
| Diana Regina Kleper Gilkes | Registered representative | Sep 2019 (7y) | ||
| Cara Chiemi Weathers | Registered representative | Sep 2019 (7y) | ||
| Gehret Davis Shemeld | Registered representative | Sep 2019 (7y) | ||
| Gunn Thongniyom | Registered representative | Sep 2019 (7y) | ||
| Kenneth Robert Crowley | Registered representative | CFP | Sep 2019 (7y) | |
| Samuel Reid Campbell | Registered representative | Sep 2019 (7y) | ||
| Loreen A Washburn | Registered representative | Sep 2019 (7y) | ||
| Pedro Jaime Marti | Registered representative | Sep 2019 (7y) | ||
| Jahan K Jewayni | Registered representative | CFP | Oct 2019 (7y) | |
| Michael P Wallace | Registered representative | Oct 2019 (7y) | ||
| Amanda Louise Sass | Registered representative | Nov 2019 (7y) | ||
| Matthew Allen Ashley | Registered representative | Nov 2019 (7y) | ||
| Arthur Goodall Alexander | Registered representative | Nov 2019 (7y) | ||
| John Butler Horton | Registered representative | Dec 2019 (7y) | ||
| Amber J Dornell | Registered representative | Jan 2020 (7y) | ||
| Michael Joseph Merlin | Registered representative | CFP | Jan 2020 (7y) | |
| Michael Paul Athanas | Registered representative | Jan 2020 (7y) | ||
| Bonnie Carrol Hamilton | Registered representative | Jan 2020 (7y) | ||
| Maureen Ann Hoover | Registered representative | Jan 2020 (7y) | ||
| Colton C Outcalt | Registered representative | Jan 2020 (7y) | ||
| Graham Charles Kennedy | Registered representative | Jan 2020 (7y) | ||
| Kathryn Stevenson Senkbeil | Registered representative | Jan 2020 (7y) | ||
| Steven A Rosenberg | Registered representative | Jan 2020 (7y) | ||
| Thomas Andrew Mcdavid | Registered representative | Jan 2020 (7y) | ||
| Adam Scott Abramson | Registered representative | CFP | Jan 2020 (7y) | |
| April Leigh Gay | Registered representative | Jan 2020 (7y) | ||
| Emery Bourne | Registered representative | Jan 2020 (7y) | ||
| Laura Nafis Pennington | Registered representative | Jan 2020 (7y) | ||
| Anthony Michael Lindner | Registered representative | Feb 2020 (6y) | ||
| Gwyndolyn Lee Stowell | Registered representative | Feb 2020 (6y) | ||
| Chad Garrett Hermanson | Registered representative | Feb 2020 (6y) | ||
| Jeffrey Hunter Harvey | Registered representative | Feb 2020 (6y) | ||
| Jillease C Hazzard | Registered representative | Feb 2020 (6y) | ||
| Richard Watkin Dodd | Registered representative | CFA | Feb 2020 (6y) | |
| Sean Cunneff Seese | Registered representative | Feb 2020 (6y) | ||
| Christopher Yunsoon Lee | Registered representative | Feb 2020 (6y) | ||
| Miles M Mason | Registered representative | CFP | Feb 2020 (6y) | |
| Wayne Robert Gelineau | Registered representative | Feb 2020 (6y) | ||
| Cassandra Ann Minervini | Registered representative | Mar 2020 (6y) | ||
| Edward A Jeter | Registered representative | Mar 2020 (6y) | ||
| Heather Jeter Reich | Registered representative | Mar 2020 (6y) | ||
| Jeffrey David Sprock | Registered representative | Mar 2020 (6y) | ||
| Richard Henry Carrier | Registered representative | Mar 2020 (6y) | ||
| Ryan Michael Mcdonald | Registered representative | Mar 2020 (6y) | ||
| Andrew David Horowitz | Registered representative | Mar 2020 (6y) | ||
| Eric B Hermanson | Registered representative | CFP | May 2020 (6y) | |
| Monica L Lyssy | Registered representative | May 2020 (6y) | ||
| Brian Mark Lusink | Registered representative | May 2020 (6y) | ||
| Amanda Rubalcava | Registered representative | May 2020 (6y) | ||
| Christopher David Wolf | Registered representative | May 2020 (6y) | ||
| Darrel Gene Preston | Registered representative | May 2020 (6y) | ||
| Gerald Ward Dahlander | Registered representative | May 2020 (6y) | ||
| Jasmit Kaur Gill | Registered representative | May 2020 (6y) | ||
| Lauren Elizabeth Turbitt | Registered representative | May 2020 (6y) | ||
| Andrew Swedlund | Registered representative | CFP | Jun 2020 (6y) | |
| Robert Edward Denton | Registered representative | Jun 2020 (6y) | ||
| Kevin Robert Wright | Registered representative | Jun 2020 (6y) | ||
| Marcus Payne Clark | Registered representative | CFP | Jun 2020 (6y) | |
| Ann R Wang | Registered representative | Jun 2020 (6y) | ||
| Jamie A Durrani | Registered representative | Jun 2020 (6y) | ||
| Summer Alexandra Macallister | Registered representative | Jun 2020 (6y) | ||
| David Philip Eder | Registered representative | Jul 2020 (6y) | ||
| Douglas Richard Linker | Registered representative | Jul 2020 (6y) | ||
| John Christopher Rapport | Registered representative | CFP | Aug 2020 (6y) | |
| Noel Hodges | Registered representative | Aug 2020 (6y) | ||
| Scott N Breckenridge | Registered representative | Aug 2020 (6y) | ||
| Tracy Lynn Broderick | Registered representative | Aug 2020 (6y) | ||
| Alexander F Barrett | Registered representative | Aug 2020 (6y) | ||
| Kenneth Eugene Milano | Registered representative | Aug 2020 (6y) | ||
| Kent Ray Weaver | Registered representative | Aug 2020 (6y) | ||
| Laura Ann Rider | Registered representative | Aug 2020 (6y) | ||
| Richard Lawrence Schmock | Registered representative | Aug 2020 (6y) | ||
| Angela Ann Bacon | Registered representative | Sep 2020 (6y) | ||
| Christopher Ryan Bowman | Registered representative | CFP | Sep 2020 (6y) | |
| Donny Chu | Registered representative | Sep 2020 (6y) | ||
| Hillary Heather Collins | Registered representative | Sep 2020 (6y) | ||
| Jason Andres Zilveti | Registered representative | Sep 2020 (6y) | ||
| John Francis Mcmahon | Registered representative | Sep 2020 (6y) | ||
| Ryan Thomas Papez | Registered representative | CFP | Sep 2020 (6y) | |
| Sue Badgley | Registered representative | Sep 2020 (6y) | ||
| Marc E. Laborde | Registered representative | Sep 2020 (6y) | ||
| Robert John Fink | Registered representative | CFP | Sep 2020 (6y) | |
| Emily Heiss Lumley | Registered representative | Sep 2020 (6y) | ||
| Shawn Davin Moore | Registered representative | CFP | Sep 2020 (6y) | |
| Francis Xavier Amsler | Registered representative | CFP CFA | Sep 2020 (6y) | |
| Samuel Edens Wilson | Registered representative | Sep 2020 (6y) | ||
| Kenneth Alfred Willetts | Registered representative | Oct 2020 (6y) | ||
| Erin Elizabeth Kasik | Registered representative | Oct 2020 (6y) | ||
| Michael C Amato | Registered representative | CFP | Oct 2020 (6y) | |
| Daniel Jonathan Mendelson | Registered representative | Oct 2020 (6y) | ||
| Michelle Anne Mccabe | Registered representative | Oct 2020 (6y) | ||
| William Gene Colwyn | Registered representative | Oct 2020 (6y) | ||
| Richard Francis Rodeschini | Registered representative | Dec 2020 (6y) | ||
| Samantha Lucille Zapoleon | Registered representative | Dec 2020 (6y) | ||
| Patrick Mcallister Touhey | Registered representative | Jan 2021 (6y) | ||
| Billie J Danicek | Registered representative | Jan 2021 (6y) | ||
| Clayton David Balko | Registered representative | Jan 2021 (6y) | ||
| Christopher Michael Bell | Registered representative | Jan 2021 (6y) | ||
| Kyle Benjamin Faro | Registered representative | Jan 2021 (6y) | ||
| Lisa Beth Tarshis | Registered representative | Jan 2021 (6y) | ||
| Mason Xian Wang Liu | Registered representative | Jan 2021 (6y) | ||
| Thomas Crete Tabor | Registered representative | Jan 2021 (6y) | ||
| Forrest Michael Faro | Registered representative | Jan 2021 (6y) | ||
| John Marshall Duane | Registered representative | Jan 2021 (6y) | ||
| Nelson Frederick Faro | Registered representative | Jan 2021 (6y) | ||
| Richard Harris Bergman | Registered representative | CFP | Jan 2021 (6y) | |
| William Churchill Curtis | Registered representative | Jan 2021 (6y) | ||
| John Wagner | Registered representative | Jan 2021 (6y) | ||
| Jennifer L Wolman | Registered representative | Jan 2021 (6y) | ||
| Tyler Wachtel | Registered representative | Jan 2021 (6y) | ||
| Carissa L. Morganstein | Registered representative | Feb 2021 (6y) | ||
| Daniel N Marchon | Registered representative | CFA | Feb 2021 (6y) | |
| Jacqueline Leigh Byrne | Registered representative | Feb 2021 (6y) | ||
| James J Lee | Registered representative | Feb 2021 (6y) | ||
| James Martin Beale | Registered representative | Feb 2021 (6y) | ||
| John Harrison Sargent | Registered representative | Feb 2021 (6y) | ||
| Mary Ambrusko Bennett | Registered representative | Feb 2021 (6y) | ||
| Michelle Lynn Matan | Registered representative | Feb 2021 (6y) | ||
| Matthew Ryan Gallup | Registered representative | Feb 2021 (6y) | ||
| Sharon Mary Magner | Registered representative | CFP | Feb 2021 (6y) | |
| Brian Conan Cuneo | Registered representative | Feb 2021 (5y) | ||
| Edward Moldaver | Registered representative | Feb 2021 (5y) | ||
| John M Lockwood | Registered representative | Feb 2021 (5y) | ||
| Michael Paul Parker | Registered representative | Feb 2021 (5y) | ||
| Nicholas Matthew Peters | Registered representative | Feb 2021 (5y) | ||
| Scott Lee Stewart | Registered representative | Feb 2021 (5y) | ||
| Trever H Sipperly | Registered representative | Feb 2021 (5y) | ||
| Casey Collins Clark | Registered representative | Feb 2021 (5y) | ||
| Christopher Robert Farr | Registered representative | Feb 2021 (5y) | ||
| Matthew Michael Richeda | Registered representative | CFP | Feb 2021 (5y) | |
| Danielle Posillico | Registered representative | Feb 2021 (5y) | ||
| Alpesh R Patel | Registered representative | Feb 2021 (5y) | ||
| Hai Uy Tran Dang | Registered representative | Feb 2021 (5y) | ||
| Matthew Birkett | Registered representative | CFP | Feb 2021 (5y) | |
| Brian James Henderson | Registered representative | Mar 2021 (5y) | ||
| Brian Richard Kamin | Registered representative | CFP | Mar 2021 (5y) | |
| Craig Steven Janus | Registered representative | CFP | Mar 2021 (5y) | |
| Mathew Trevor Klody | Registered representative | CFA | Mar 2021 (5y) | |
| Mia Lynn Cardwell | Registered representative | CFP | Mar 2021 (5y) | |
| Michael Angelo Loizzi | Registered representative | CFA | Mar 2021 (5y) | |
| Michelle L Pecyna | Registered representative | CFP | Mar 2021 (5y) | |
| Sarah Anne Madison | Registered representative | CFP | Mar 2021 (5y) | |
| Wayne Maynard Janus | Registered representative | Mar 2021 (5y) | ||
| Brett R Daniels | Registered representative | Mar 2021 (5y) | ||
| Sylvia May Hydrick | Registered representative | Mar 2021 (5y) | ||
| Benjamin Joseph Helvey | Registered representative | Mar 2021 (5y) | ||
| Bernard A Machlovitch | Registered representative | Mar 2021 (5y) | ||
| Hans S Maentz | Registered representative | Mar 2021 (5y) | ||
| Elmer Eugene Martin | Registered representative | Mar 2021 (5y) | ||
| Patricia Lynn Lawyer | Registered representative | Mar 2021 (5y) | ||
| Debra Andrea Veselitza | Registered representative | Mar 2021 (5y) | ||
| Andrew T Sullivan | Registered representative | Mar 2021 (5y) | ||
| Evangelos Tsembelis | Registered representative | Mar 2021 (5y) | ||
| Margaret Ann Hawk Kaiser | Registered representative | Mar 2021 (5y) | ||
| Matthew Hambleton | Registered representative | Mar 2021 (5y) | ||
| Ross John Hambleton | Registered representative | CFP | Mar 2021 (5y) | |
| Burt Martin Mills | Registered representative | Mar 2021 (5y) | ||
| Chloe Tianyu Duanshi | Registered representative | Mar 2021 (5y) | ||
| Jason S Rich | Registered representative | Mar 2021 (5y) | ||
| Keelye Mae St. John | Registered representative | Mar 2021 (5y) | ||
| Keith Joseph Bernard | Registered representative | Mar 2021 (5y) | ||
| Kellyann Risler | Registered representative | Mar 2021 (5y) | ||
| Michael J Fieler | Registered representative | Mar 2021 (5y) | ||
| Charles E Ellzey Hoffman Jr. | Registered representative | Apr 2021 (5y) | ||
| David George Lloyd | Registered representative | Apr 2021 (5y) | ||
| James Christopher Augustine | Registered representative | Apr 2021 (5y) | ||
| Jeffrey Scott Anderson | Registered representative | CFP | Apr 2021 (5y) | |
| Londa Gaye Willems | Registered representative | Apr 2021 (5y) | ||
| Michael Anderson | Registered representative | CFA | Apr 2021 (5y) | |
| Eli Isaac Boussi | Registered representative | Apr 2021 (5y) | ||
| Jeffrey Hurst Miller | Registered representative | Apr 2021 (5y) | ||
| Olivia Salas Roppolo | Registered representative | Apr 2021 (5y) | ||
| Jennifer Kay Byrne | Registered representative | Apr 2021 (5y) | ||
| John Edward Low | Registered representative | Apr 2021 (5y) | ||
| Kristen Palazeti | Registered representative | Apr 2021 (5y) | ||
| Marguerite Susan Robinson | Registered representative | CFP | Apr 2021 (5y) | |
| Bruce Tenenbaum | Registered representative | Apr 2021 (5y) | ||
| Stewart Staunton | Registered representative | Apr 2021 (5y) | ||
| Jannah Llewellyn Devine | Registered representative | Apr 2021 (5y) | ||
| Justin Robert Medeiros | Registered representative | Apr 2021 (5y) | ||
| Stefan Max Oglevee | Registered representative | Apr 2021 (5y) | ||
| Stefan Wilford Oglevee | Registered representative | Apr 2021 (5y) | ||
| Joseph Joakim Valasiadis | Registered representative | May 2021 (5y) | ||
| Christa Bruckner Ahrens | Registered representative | May 2021 (5y) | ||
| Jeffrey Ross Zapoleon | Registered representative | May 2021 (5y) | ||
| Michael Joseph Giacco | Registered representative | May 2021 (5y) | ||
| Griffin Young Knowlton | Registered representative | May 2021 (5y) | ||
| Jennifer Bacon Pearson | Registered representative | May 2021 (5y) | ||
| Wyatt R Larsen | Registered representative | May 2021 (5y) | ||
| Jeffrey Michael Campito | Registered representative | CFP | May 2021 (5y) | |
| Brett Douglas Thelander | Registered representative | May 2021 (5y) | ||
| Bradley Steven Holmes | Registered representative | CFA | May 2021 (5y) | |
| Brian Stephen Ferraro | Registered representative | CFP | May 2021 (5y) | |
| Eric Michael Verhulst | Registered representative | May 2021 (5y) | ||
| Joseph Michael Church | Registered representative | CFP | May 2021 (5y) | |
| Lindsay Dreyer | Registered representative | May 2021 (5y) | ||
| Stephanie B Walsh | Registered representative | CFP | May 2021 (5y) | |
| Russell Dunbar Bowman | Registered representative | CFP | Jun 2021 (5y) | |
| Timothy Daniel O'hara | Registered representative | Jun 2021 (5y) | ||
| Ashley Shea Bittar | Registered representative | Jun 2021 (5y) | ||
| Frank John Tucek | Registered representative | Jun 2021 (5y) | ||
| Genesis Alba | Registered representative | Jun 2021 (5y) | ||
| Georgina Nico | Registered representative | Jun 2021 (5y) | ||
| Janelle M Cromwell | Registered representative | CFP | Jun 2021 (5y) | |
| Lance Alexander Williams | Registered representative | CFP | Jun 2021 (5y) | |
| Shirley Heller Quackenbush | Registered representative | Jun 2021 (5y) | ||
| Dennis Paul Bloom | Registered representative | Jun 2021 (5y) | ||
| John Lahoud | Registered representative | Jun 2021 (5y) | ||
| Brian Tuhy Nelson | Registered representative | CFA | Jun 2021 (5y) | |
| Clifton Tyler Fink | Registered representative | Jun 2021 (5y) | ||
| Elizabeth Ann Tremaglio | Registered representative | Jun 2021 (5y) | ||
| Brianna Widrick Ritz | Registered representative | Jun 2021 (5y) | ||
| Bruce William Lombardi | Registered representative | Jun 2021 (5y) | ||
| Elaine Marie Powell | Registered representative | Jul 2021 (5y) | ||
| Martin G Byrne | Registered representative | Jul 2021 (5y) | ||
| Steven Michael Cohen | Registered representative | Jul 2021 (5y) | ||
| Thomas Joseph Granaghan | Registered representative | Aug 2021 (5y) | ||
| Xiaotian Wang | Registered representative | Aug 2021 (5y) | ||
| Michael E Gamber | Registered representative | Aug 2021 (5y) | ||
| Andrew A Levin | Registered representative | Aug 2021 (5y) | ||
| John Robert Montgomery | Registered representative | Aug 2021 (5y) | ||
| Anthony John Shilcoski | Registered representative | Aug 2021 (5y) | ||
| Ashley Neil Moore | Registered representative | CFP | Aug 2021 (5y) | |
| Deborah Lynn Barber | Registered representative | Aug 2021 (5y) | ||
| Thomas Garic Moran | Registered representative | Aug 2021 (5y) | ||
| Joseph Mark Holcomb | Registered representative | Sep 2021 (5y) | ||
| Michael Austin Frey | Registered representative | CFP | Sep 2021 (5y) | |
| Robert Lincoln Panetti | Registered representative | CFA | Sep 2021 (5y) | |
| Thomas Marshall Unger | Registered representative | Sep 2021 (5y) | ||
| Trisha Lynn Fountain | Registered representative | Sep 2021 (5y) | ||
| Kristen Keenan Cahill | Registered representative | Sep 2021 (5y) | ||
| Mark Joseph Panarese | Registered representative | Sep 2021 (5y) | ||
| Michael Nicholas Bapis | Registered representative | Sep 2021 (5y) | ||
| Kevin Ronald Kramer | Registered representative | Oct 2021 (5y) | ||
| Stephen Edward White | Registered representative | Oct 2021 (5y) | ||
| Steven John Celeste | Registered representative | Oct 2021 (5y) | ||
| Joshua Eli Goldberg | Registered representative | Oct 2021 (5y) | ||
| Stephen Arthur Randolph | Registered representative | Oct 2021 (5y) | ||
| Courtney Nicole Connolly | Registered representative | Oct 2021 (5y) | ||
| Michael Anthony Tramontano | Registered representative | Oct 2021 (5y) | ||
| Quinton Michael Tramontano | Registered representative | Oct 2021 (5y) | ||
| Robert Echavarria | Registered representative | Oct 2021 (5y) | ||
| Roxiane Kerns | Registered representative | Oct 2021 (5y) | ||
| Ryan Matthew Holcomb | Registered representative | Oct 2021 (5y) | ||
| Jennifer Michi Hashimoto | Registered representative | Oct 2021 (5y) | ||
| Victoria Gardiner Trotsky | Registered representative | Oct 2021 (5y) | ||
| Tracy Ann Gravius | Registered representative | CFP | Oct 2021 (5y) | |
| Cale Leonard Van Buren | Registered representative | Nov 2021 (5y) | ||
| Christopher Dale Jacobs | Registered representative | Nov 2021 (5y) | ||
| Margot M Dwyer | Registered representative | CFP | Nov 2021 (5y) | |
| Andrew Michael Karr | Registered representative | Nov 2021 (5y) | ||
| Jack Steven Mutchnik | Registered representative | Nov 2021 (5y) | ||
| Jackson Keith Traxler | Registered representative | Nov 2021 (5y) | ||
| Laurence Heimburg Knowlton | Registered representative | Nov 2021 (5y) | ||
| Neva Elyse Hagopian | Registered representative | Nov 2021 (5y) | ||
| Peter John Clarke | Registered representative | Nov 2021 (5y) | ||
| Victor Ernesto Pagano | Registered representative | Nov 2021 (5y) | ||
| Elizabeth Lee Wilson | Registered representative | CFP | Dec 2021 (5y) | |
| Krista Tuell Bowen | Registered representative | Dec 2021 (5y) | ||
| Robert Craig Obrien | Registered representative | Dec 2021 (5y) | ||
| Tony Hao Yi Chang | Registered representative | Dec 2021 (5y) | ||
| Caroline Elizabeth Conway | Registered representative | Jan 2022 (5y) | ||
| Kelly Sandefer Dennis | Registered representative | Jan 2022 (5y) | ||
| Matthew Blake Herzwurm | Registered representative | CFP | Jan 2022 (5y) | |
| Sean Ellsworth Houston | Registered representative | Jan 2022 (5y) | ||
| Hunter Steven Hamm | Registered representative | Jan 2022 (5y) | ||
| Victor Clinton Calvert | Registered representative | Jan 2022 (5y) | ||
| Adam Wade Deal | Registered representative | Jan 2022 (5y) | ||
| Katherine Ann Barnhart | Registered representative | Jan 2022 (5y) | ||
| Mehgan E Zuniga | Registered representative | Jan 2022 (5y) | ||
| Terri B Ucci | Registered representative | Jan 2022 (5y) | ||
| Berkley Kelleher Bryan | Registered representative | Feb 2022 (4y) | ||
| Amy Lynn Labarge | Registered representative | Feb 2022 (4y) | ||
| Zachary J Bond Stefo | Registered representative | Feb 2022 (4y) | ||
| Charles Wesley Hartford | Registered representative | Feb 2022 (4y) | ||
| Veronica Marie Campanella | Registered representative | CFP | Feb 2022 (4y) | |
| Tracy L Moscatello | Registered representative | Mar 2022 (4y) | ||
| Abigail Williams Gentry | Registered representative | Mar 2022 (4y) | ||
| Jennifer Scarbrough Marsh | Registered representative | CFP | Mar 2022 (4y) | |
| R M Scarbrough | Registered representative | CFP | Mar 2022 (4y) | |
| Robert Adam New | Registered representative | CFP | Mar 2022 (4y) | |
| Travis Michael Scarbrough | Registered representative | CFA | Mar 2022 (4y) | |
| Steven Cangialosi | Registered representative | Apr 2022 (4y) | ||
| Tammi A Lauder | Registered representative | Apr 2022 (4y) | ||
| William Eric Christian | Registered representative | Apr 2022 (4y) | ||
| Heather Ada Philip | Registered representative | Apr 2022 (4y) | ||
| Lance Owen Burks | Registered representative | Apr 2022 (4y) | ||
| Sean Kennedy | Registered representative | Apr 2022 (4y) | ||
| Coley Patrick Cassidy | Registered representative | CFA | Apr 2022 (4y) | |
| Brett Monsein | Registered representative | CFP | Apr 2022 (4y) | |
| David Michael Sotsky | Registered representative | Apr 2022 (4y) | ||
| David A Ruben | Registered representative | Apr 2022 (4y) | ||
| Elizabeth Dora Snyder | Registered representative | CFP | Apr 2022 (4y) | |
| Frederick Donald Farnsworth | Registered representative | Apr 2022 (4y) | ||
| Angela Kolb Cagwin | Registered representative | May 2022 (4y) | ||
| Brandon Michael Rose | Registered representative | May 2022 (4y) | ||
| Kristen Jo Sario | Registered representative | May 2022 (4y) | ||
| Vincent Selip | Registered representative | CFP | May 2022 (4y) | |
| Boaz Chan | Registered representative | May 2022 (4y) | ||
| Cheryl Lynn Young | Registered representative | CFP | May 2022 (4y) | |
| Hooi Ling Lim | Registered representative | May 2022 (4y) | ||
| Jennifer Anne Seacrist | Registered representative | May 2022 (4y) | ||
| Jenny Young Fernandez | Registered representative | May 2022 (4y) | ||
| Nicholas Joseph Peterson | Registered representative | May 2022 (4y) | ||
| Xichan Liu | Registered representative | May 2022 (4y) | ||
| Cristina Tacettin | Registered representative | May 2022 (4y) | ||
| Forrest St John Kim | Registered representative | CFP | May 2022 (4y) | |
| Karen Yvonne Henderson | Registered representative | May 2022 (4y) | ||
| Nicholas John Paget | Registered representative | CFP | May 2022 (4y) | |
| Nicole Annette Palmiter Schafer | Registered representative | CFP | May 2022 (4y) | |
| Matthew T Langhorst | Registered representative | May 2022 (4y) | ||
| Rebecca Danielle Hallman | Registered representative | May 2022 (4y) | ||
| Thura Kyaw Aung | Registered representative | May 2022 (4y) | ||
| Elizabeth B Mckown | Registered representative | May 2022 (4y) | ||
| Matthew D Mendoza | Registered representative | May 2022 (4y) | ||
| Sandy Tran | Registered representative | May 2022 (4y) | ||
| David Anthony Mendoza | Registered representative | May 2022 (4y) | ||
| Max Charles Norton Podlone | Registered representative | May 2022 (4y) | ||
| Jarrett Todd Bostwick | Registered representative | Jun 2022 (4y) | ||
| Todd Matthew Walters | Registered representative | Jun 2022 (4y) | ||
| Thomas Venable Patton | Registered representative | Jun 2022 (4y) | ||
| Joshua G Parker | Registered representative | Jul 2022 (4y) | ||
| Neil John Kvasnak | Registered representative | Jul 2022 (4y) | ||
| Whitney Coates Struble | Registered representative | Jul 2022 (4y) | ||
| John Winthrop Claghorn | Registered representative | Jul 2022 (4y) | ||
| John Winthrop Claghorn | Registered representative | Jul 2022 (4y) | ||
| Jack Browne | Registered representative | Jul 2022 (4y) | ||
| William Mckay Jump Claghorn | Registered representative | Jul 2022 (4y) | ||
| Corey Tiller | Registered representative | CFA | Jul 2022 (4y) | |
| Carlos Jacob Cruz | Registered representative | Jul 2022 (4y) | ||
| Hao Vinh Dong | Registered representative | Aug 2022 (4y) | ||
| Al Palkovich | Registered representative | Aug 2022 (4y) | ||
| Paul Marques Fernandes | Registered representative | Aug 2022 (4y) | ||
| Lydia Capcarova Lescht | Registered representative | Aug 2022 (4y) | ||
| David Joseph Sassen | Registered representative | Aug 2022 (4y) | ||
| Regina Rochelle Monroe | Registered representative | Aug 2022 (4y) | ||
| Rod Yoshio Nakamoto | Registered representative | CFP | Aug 2022 (4y) | |
| John George Uriostegui | Registered representative | Aug 2022 (4y) | ||
| Vivian Capano | Registered representative | Aug 2022 (4y) | ||
| Richard Owen Hassan | Registered representative | Aug 2022 (4y) | ||
| Christopher Adam Shepherd | Registered representative | Aug 2022 (4y) | ||
| Keven John Donohue | Registered representative | Aug 2022 (4y) | ||
| Parth Patel | Registered representative | Aug 2022 (4y) | ||
| Sonya Alee Brampton | Registered representative | Aug 2022 (4y) | ||
| Nolan R Feeney | Registered representative | Sep 2022 (4y) | ||
| Bernard Nicholas Mc Call | Registered representative | Sep 2022 (4y) | ||
| Elaine Marie Sillery | Registered representative | Sep 2022 (4y) | ||
| Eric Heaton | Registered representative | Sep 2022 (4y) | ||
| Grace E Pelino | Registered representative | Sep 2022 (4y) | ||
| Michael Edwin Shelley | Registered representative | Sep 2022 (4y) | ||
| Paige Hatcher | Registered representative | Sep 2022 (4y) | ||
| Brian Thomas Wischerath | Registered representative | Sep 2022 (4y) | ||
| Gina Valle | Registered representative | Sep 2022 (4y) | ||
| Teresa Catherine Beltran | Registered representative | Sep 2022 (4y) | ||
| Elizabeth Anne Singleton | Registered representative | Oct 2022 (4y) | ||
| John Vianney Mooney | Registered representative | Oct 2022 (4y) | ||
| Zachary James Stanley | Registered representative | CFP | Oct 2022 (4y) | |
| Tracy Belinda Rinaldi | Registered representative | Oct 2022 (4y) | ||
| Thomas H Risher | Registered representative | Oct 2022 (4y) | ||
| Tae I Kim | Registered representative | Oct 2022 (4y) | ||
| Yajaira Serrano | Registered representative | Oct 2022 (4y) | ||
| Adam J Loveless | Registered representative | Nov 2022 (4y) | ||
| Barry M Johnson | Registered representative | Nov 2022 (4y) | ||
| Kevin Ray Hermis | Registered representative | CFP | Nov 2022 (4y) | |
| Kyle Benjamin Maxwell | Registered representative | Nov 2022 (4y) | ||
| Shawna D Alexander | Registered representative | Chartered Financial Consultant | Nov 2022 (4y) | |
| Sean Foust | Registered representative | Nov 2022 (4y) | ||
| Stacie Leigh Harris Boyle | Registered representative | Nov 2022 (4y) | ||
| Lawrence Larose | Registered representative | Nov 2022 (4y) | ||
| Brian J Mulligan | Registered representative | Nov 2022 (4y) | ||
| Joy Anne Marie Gonzales | Registered representative | Nov 2022 (4y) | ||
| Colby Vincent Brothers | Registered representative | Nov 2022 (4y) | ||
| Jordan Alexander | Registered representative | Nov 2022 (4y) | ||
| Casey Boyan | Registered representative | Dec 2022 (4y) | ||
| Jackson Timothy Mahorney | Registered representative | Dec 2022 (4y) | ||
| Brian M Sullivan | Registered representative | Dec 2022 (4y) | ||
| Ross Allen Hambleton | Registered representative | Dec 2022 (4y) | ||
| Emily Faith Whooley | Registered representative | CFP | Jan 2023 (4y) | |
| David Landon Smith | Registered representative | Jan 2023 (4y) | ||
| Jorge Andres Garcia | Registered representative | Jan 2023 (4y) | ||
| Monica Yvette Vallejo | Registered representative | Jan 2023 (4y) | ||
| Alexander Charles Ladage | Registered representative | Jan 2023 (4y) | ||
| Peter Eric Willis | Registered representative | Jan 2023 (4y) | ||
| Matthew E Martinez | Registered representative | Feb 2023 (3y) | ||
| Charles Evan Moffitt | Registered representative | Feb 2023 (3y) | ||
| Erin Walters | Registered representative | Feb 2023 (3y) | ||
| Garrett M Jones | Registered representative | Feb 2023 (3y) | ||
| James S Pollock | Registered representative | Feb 2023 (3y) | ||
| Jennifer Elise Anderson | Registered representative | Feb 2023 (3y) | ||
| Jennifer Ruble | Registered representative | Feb 2023 (3y) | ||
| Jacklyn Denise Celano | Registered representative | Feb 2023 (3y) | ||
| Paul Joseph Leach | Registered representative | CFP | Feb 2023 (3y) | |
| Phillip T Dobbs | Registered representative | CFP | Feb 2023 (3y) | |
| Sean Patrick Connolly | Registered representative | Feb 2023 (3y) | ||
| Timothy Strates Magid | Registered representative | CFP | Feb 2023 (3y) | |
| Vincent J Fiori | Registered representative | Feb 2023 (3y) | ||
| Joseph Hosi | Registered representative | Feb 2023 (3y) | ||
| J. T Cowles | Registered representative | Feb 2023 (3y) | ||
| Clement Sprout | Registered representative | Feb 2023 (3y) | ||
| Gregory Hough Pollock | Registered representative | Feb 2023 (3y) | ||
| Linda Caridad Paul | Registered representative | Feb 2023 (3y) | ||
| Brent Jacobellis | Registered representative | Feb 2023 (3y) | ||
| Georgios Poulakis | Registered representative | Feb 2023 (3y) | ||
| Christian John Borodiak | Registered representative | Mar 2023 (3y) | ||
| Kevin Rone Reed | Registered representative | Mar 2023 (3y) | ||
| Cetera J Wright | Registered representative | Mar 2023 (3y) | ||
| Connor Smith | Registered representative | Mar 2023 (3y) | ||
| John Belin | Registered representative | Mar 2023 (3y) | ||
| Matthew Cole Cerfolio | Registered representative | Mar 2023 (3y) | ||
| Alicia Romania Powell | Registered representative | Mar 2023 (3y) | ||
| Caleb Porter | Registered representative | Mar 2023 (3y) | ||
| James Lawrence Marchetti | Registered representative | Mar 2023 (3y) | ||
| John Jack Patrick Ohara | Registered representative | Mar 2023 (3y) | ||
| Stacy Lee Swain | Registered representative | Mar 2023 (3y) | ||
| James Barry Marchetti | Registered representative | Mar 2023 (3y) | ||
| Mitchell William Fanning | Registered representative | Mar 2023 (3y) | ||
| Cynthia Guerrero | Registered representative | Mar 2023 (3y) | ||
| John William Sheehan | Registered representative | Apr 2023 (3y) | ||
| Joel Thomas Amador | Registered representative | Apr 2023 (3y) | ||
| Diane Ching Tycangco | Registered representative | Apr 2023 (3y) | ||
| David Evan Farber | Registered representative | CFP | Apr 2023 (3y) | |
| Esma Bajraktarevic | Registered representative | Apr 2023 (3y) | ||
| Gavin Samuel Abrams | Registered representative | Apr 2023 (3y) | ||
| Gregory Maxwell Goldstein | Registered representative | Apr 2023 (3y) | ||
| Harrison Bennett Dale | Registered representative | Apr 2023 (3y) | ||
| Jordan Alexander Hawks | Registered representative | Apr 2023 (3y) | ||
| Joseph Richard Kissinger | Registered representative | Apr 2023 (3y) | ||
| Kevin C Finley | Registered representative | Apr 2023 (3y) | ||
| Katarzyna Anemodouras | Registered representative | Apr 2023 (3y) | ||
| Larry Lee Rothenberg | Registered representative | Apr 2023 (3y) | ||
| Neev Hitesh Mittal | Registered representative | Apr 2023 (3y) | ||
| Samuel Haggis Hodgson | Registered representative | CFP | Apr 2023 (3y) | |
| Schuyler Hallett Perry | Registered representative | CFP | Apr 2023 (3y) | |
| Shaun Michael Van Vliet | Registered representative | CFP | Apr 2023 (3y) | |
| Timothy Deygoo | Registered representative | CFP | Apr 2023 (3y) | |
| Kristin M Justavino | Registered representative | Apr 2023 (3y) | ||
| Alexander Maclean Lynch | Registered representative | Apr 2023 (3y) | ||
| Daniel Bennett Selcow | Registered representative | May 2023 (3y) | ||
| John E Miller | Registered representative | May 2023 (3y) | ||
| Anne Blohm Golden | Registered representative | May 2023 (3y) | ||
| Daniel David Langon | Registered representative | CFP | May 2023 (3y) | |
| Kyle Philip Laughlin | Registered representative | May 2023 (3y) | ||
| Margaret Ann Pierattini | Registered representative | CFP | May 2023 (3y) | |
| Melissa M Seibert | Registered representative | May 2023 (3y) | ||
| Matthew Douglas Jorgensen | Registered representative | May 2023 (3y) | ||
| Ryan James White | Registered representative | May 2023 (3y) | ||
| Theresa M Gorin | Registered representative | CFP | May 2023 (3y) | |
| Tyler Ressel | Registered representative | May 2023 (3y) | ||
| Vonda K Warren | Registered representative | May 2023 (3y) | ||
| Vicki Sue Strine | Registered representative | Jun 2023 (3y) | ||
| Eric Vanderpool | Registered representative | Jun 2023 (3y) | ||
| Ryan Quinn | Registered representative | Jun 2023 (3y) | ||
| Matthew Philip Giorgetti | Registered representative | Jun 2023 (3y) | ||
| Allison Leigh Booher | Registered representative | Jun 2023 (3y) | ||
| Christopher Michael Degrace | Registered representative | Jun 2023 (3y) | ||
| Duncan Mcclave Wheeler | Registered representative | CFP | Jun 2023 (3y) | |
| Ekaterina Olegovna Slepkova | Registered representative | Jun 2023 (3y) | ||
| Elizabeth Anne Palomeque | Registered representative | CFP | Jun 2023 (3y) | |
| Jonathan Michael Mazzeo | Registered representative | Jun 2023 (3y) | ||
| Kristin Kaye Nicholson | Registered representative | CFP CFA | Jun 2023 (3y) | |
| Leah Marie D'agostino | Registered representative | CFP | Jun 2023 (3y) | |
| Lisa Marie Kitchin | Registered representative | CFP | Jun 2023 (3y) | |
| Mary Watson Hayes | Registered representative | Jun 2023 (3y) | ||
| Sabina Hoinkiss Lien | Registered representative | CFP | Jun 2023 (3y) | |
| Sierra Isabel Zora Macken | Registered representative | Jun 2023 (3y) | ||
| Glenn E Mealey | Registered representative | Jun 2023 (3y) | ||
| Shane Timothy Twomey | Registered representative | Jun 2023 (3y) | ||
| Joseph M Thrailkill | Registered representative | Jun 2023 (3y) | ||
| Michael Delli Paoli | Registered representative | Jul 2023 (3y) | ||
| Nicole Kianka | Registered representative | CFP | Jul 2023 (3y) | |
| Antonio Quezada | Registered representative | Aug 2023 (3y) | ||
| Jennifer Dawn Stauffer | Registered representative | Aug 2023 (3y) | ||
| Angela Kaya Mwanza | Registered representative | Aug 2023 (3y) | ||
| Jordan James Powell | Registered representative | CFA | Aug 2023 (3y) | |
| Przemyslaw Eugeniusz Filipek | Registered representative | Aug 2023 (3y) | ||
| Kai Heller Spencer | Registered representative | Aug 2023 (3y) | ||
| Richard Angus West | Registered representative | Aug 2023 (3y) | ||
| Latisha Dawn Hagler Bickel | Registered representative | Aug 2023 (3y) | ||
| Tamila Renee Miceli | Registered representative | Aug 2023 (3y) | ||
| Matthew William Gruseke | Registered representative | Aug 2023 (3y) | ||
| Avery Devon Rowe | Registered representative | Aug 2023 (3y) | ||
| Heather Gelchion | Registered representative | Aug 2023 (3y) | ||
| David Anthony North | Registered representative | Sep 2023 (3y) | ||
| Dylan Gregory Isaacs | Registered representative | Sep 2023 (3y) | ||
| Donis Noe Smith | Registered representative | CFP | Sep 2023 (3y) | |
| Jillian Marie Propst | Registered representative | CFP | Sep 2023 (3y) | |
| Michael Charles Pearson | Registered representative | CFP | Sep 2023 (3y) | |
| Riley Alexander Stephenson | Registered representative | CFP | Sep 2023 (3y) | |
| William P. Patterson | Registered representative | Sep 2023 (3y) | ||
| Christian Jude Guma | Registered representative | Sep 2023 (3y) | ||
| Colin Quinn | Registered representative | CFP | Sep 2023 (3y) | |
| Debra Jones Mcconnell | Registered representative | Oct 2023 (3y) | ||
| Daniel Wade Spainhour | Registered representative | Oct 2023 (3y) | ||
| Eric Park Walker | Registered representative | CFP | Oct 2023 (3y) | |
| Frank Willis | Registered representative | Oct 2023 (3y) | ||
| Matthew William Willis | Registered representative | Oct 2023 (3y) | ||
| Neil Martin | Registered representative | Oct 2023 (3y) | ||
| Jason T Douglas | Registered representative | CFP | Oct 2023 (3y) | |
| Ryan Patrick Brady | Registered representative | Oct 2023 (3y) | ||
| Jaimie Lynn Crook | Registered representative | Oct 2023 (3y) | ||
| Travis Matthew Propst | Registered representative | Oct 2023 (3y) | ||
| Michael Joseph Pintar | Registered representative | CFA | Oct 2023 (3y) | |
| Alexander A Villacampa | Registered representative | Oct 2023 (3y) | ||
| David Michael Harvan | Registered representative | CFP | Oct 2023 (3y) | |
| James Allen Mckenzie | Registered representative | Oct 2023 (3y) | ||
| Sandra L Stiger | Registered representative | Oct 2023 (3y) | ||
| Logan Jon Didier | Registered representative | Oct 2023 (3y) | ||
| Mallory Findley | Registered representative | Oct 2023 (3y) | ||
| Haley Brehm | Registered representative | Oct 2023 (3y) | ||
| Robert Lewis Moon | Registered representative | Nov 2023 (3y) | ||
| Sheila Spainhour Shaffer | Registered representative | CFP | Nov 2023 (3y) | |
| Katherine Berry Williamson | Registered representative | Nov 2023 (3y) | ||
| Paul Jude Criscione | Registered representative | Nov 2023 (3y) | ||
| Liam Mc Carthy | Registered representative | Nov 2023 (3y) | ||
| Robert Donald Lindell | Registered representative | Nov 2023 (3y) | ||
| Jessica Ann Ems | Registered representative | Nov 2023 (3y) | ||
| Kayla Michelle Foster | Registered representative | Dec 2023 (3y) | ||
| Megan Fidler Payton | Registered representative | Dec 2023 (3y) | ||
| Hope Adams Oliver | Registered representative | Dec 2023 (3y) | ||
| Nathan Bartholomew Peters | Registered representative | Dec 2023 (3y) | ||
| Kaitlyn Fanaroff | Registered representative | Dec 2023 (3y) | ||
| Kevin Langan Finin | Registered representative | CFA | Jan 2024 (3y) | |
| Andrew Wimberly Tate | Registered representative | Jan 2024 (3y) | ||
| Iziar Moure | Registered representative | Jan 2024 (3y) | ||
| Madison Rose Lynch | Registered representative | Jan 2024 (3y) | ||
| Daria Stan | Registered representative | Jan 2024 (3y) | ||
| Brett Allen Howell | Registered representative | CFP | Jan 2024 (3y) | |
| Christine N Steinmetz | Registered representative | CFP | Jan 2024 (3y) | |
| Craig Jeffrey Sharp | Registered representative | CFP | Jan 2024 (3y) | |
| David Allen Lund | Registered representative | CFP | Jan 2024 (3y) | |
| Heather M Jensen | Registered representative | Jan 2024 (3y) | ||
| James Alan Harding | Registered representative | Jan 2024 (3y) | ||
| Jeffrey Jeffrey Towner | Registered representative | Jan 2024 (3y) | ||
| Jeffrey L Dykstra | Registered representative | CFP | Jan 2024 (3y) | |
| Joel Andrew Barrett | Registered representative | CFP | Jan 2024 (3y) | |
| Jonathan Scott Lund | Registered representative | CFP | Jan 2024 (3y) | |
| John Thomas Ludington | Registered representative | Jan 2024 (3y) | ||
| Justin Matthew Katz | Registered representative | Jan 2024 (3y) | ||
| Morgan E Badersnider | Registered representative | Jan 2024 (3y) | ||
| Maureen Johanna Dodd | Registered representative | Jan 2024 (3y) | ||
| Sammy Roy Salas Salinas | Registered representative | Jan 2024 (3y) | ||
| Taylor Louise Dewey | Registered representative | Jan 2024 (3y) | ||
| Tyler Glen Smyth | Registered representative | Jan 2024 (3y) | ||
| Zachary Todd Gebben | Registered representative | CFP | Jan 2024 (3y) | |
| Donald E Bruemmer | Registered representative | Jan 2024 (3y) | ||
| Rebecca Michele Mineo | Registered representative | Jan 2024 (3y) | ||
| Cole Jameson Wells | Registered representative | Jan 2024 (3y) | ||
| Hayden Maxwell Burns | Registered representative | Jan 2024 (3y) | ||
| Catherine Mcmichael Elrod | Registered representative | Feb 2024 (3y) | ||
| John Bellinger Lewis | Registered representative | Feb 2024 (3y) | ||
| Joseph Whiteman Bartholomew | Registered representative | Feb 2024 (3y) | ||
| Kylie Anne Roman | Registered representative | CFP | Feb 2024 (3y) | |
| Lindsay Elizabeth Payne | Registered representative | CFP | Feb 2024 (3y) | |
| Lauren Hershey | Registered representative | Feb 2024 (3y) | ||
| Michael Gerard Hofmeister | Registered representative | CFP | Feb 2024 (3y) | |
| Richard Totman Blackwell | Registered representative | Feb 2024 (3y) | ||
| Trevor Carey Adams | Registered representative | Feb 2024 (3y) | ||
| Ashley Mary Haisch | Registered representative | Feb 2024 (2y) | ||
| Claude Lee Ives | Registered representative | CFP | Feb 2024 (2y) | |
| Harper J Hicks | Registered representative | CFP | Feb 2024 (2y) | |
| James Wyatt Freeman | Registered representative | Feb 2024 (2y) | ||
| James Patrick Waters | Registered representative | CFA | Feb 2024 (2y) | |
| Kristen A Richards | Registered representative | CFP | Feb 2024 (2y) | |
| Samuel Taylor Barden | Registered representative | Feb 2024 (2y) | ||
| Tory Jay Raether | Registered representative | Feb 2024 (2y) | ||
| Christopher George Mitchell | Registered representative | Feb 2024 (2y) | ||
| Patrick J Trucco | Registered representative | Feb 2024 (2y) | ||
| Latoya Bagwell | Registered representative | Mar 2024 (2y) | ||
| James P Holland | Registered representative | Mar 2024 (2y) | ||
| Tracy R. Baker | Registered representative | Mar 2024 (2y) | ||
| Anis Salah | Registered representative | Mar 2024 (2y) | ||
| Annette Molina Smith | Registered representative | Mar 2024 (2y) | ||
| Craig D Pollock | Registered representative | Mar 2024 (2y) | ||
| Gary G Pollock | Registered representative | CFP | Mar 2024 (2y) | |
| Susan Appleby Krimigis | Registered representative | Mar 2024 (2y) | ||
| Xinyi Huang | Registered representative | Mar 2024 (2y) | ||
| Jose Enrique Ruiz | Registered representative | CFP | Apr 2024 (2y) | |
| Justin Richland Walker | Registered representative | Apr 2024 (2y) | ||
| Harry Alsfine | Registered representative | Apr 2024 (2y) | ||
| Adam Baker Landau | Registered representative | May 2024 (2y) | ||
| Garland E Neal | Registered representative | May 2024 (2y) | ||
| Karla Hall Lavin | Registered representative | May 2024 (2y) | ||
| Ramy Georgy | Registered representative | May 2024 (2y) | ||
| John Patrick Perry | Registered representative | May 2024 (2y) | ||
| Thomas Patrick O'rourke | Registered representative | May 2024 (2y) | ||
| Douglas Angelo Moglia | Registered representative | CFA | May 2024 (2y) | |
| Debra Lynn Willson | Registered representative | May 2024 (2y) | ||
| Edward Jelliff Wahlberg | Registered representative | May 2024 (2y) | ||
| Elias V Stambolis | Registered representative | May 2024 (2y) | ||
| Ronald Samuel Ventura | Registered representative | May 2024 (2y) | ||
| Steven M Szeligowski | Registered representative | May 2024 (2y) | ||
| Ashlee Marie Fox | Registered representative | May 2024 (2y) | ||
| John H Mcmanus | Registered representative | May 2024 (2y) | ||
| Jonathan Ray Maldonado | Registered representative | CFP | May 2024 (2y) | |
| Nora I. Rocha | Registered representative | May 2024 (2y) | ||
| Rusty Tally | Registered representative | May 2024 (2y) | ||
| James Richard Mc Grath | Registered representative | May 2024 (2y) | ||
| Surajit Kumar Ghosh | Registered representative | Jun 2024 (2y) | ||
| Zachary Michael Ammirato | Registered representative | Jun 2024 (2y) | ||
| Alison Ann Devries | Registered representative | Jun 2024 (2y) | ||
| Alexa Justine Oliver | Registered representative | Jul 2024 (2y) | ||
| Kristin Dianne Fletcher | Registered representative | Jul 2024 (2y) | ||
| Daniel J O'neill | Registered representative | Jul 2024 (2y) | ||
| Haley Pink | Registered representative | Jul 2024 (2y) | ||
| Jeffrey Titus | Registered representative | Jul 2024 (2y) | ||
| Jason Park | Registered representative | CFA | Jul 2024 (2y) | |
| Tyler Kenneth Yuksel Crowley | Registered representative | Jul 2024 (2y) | ||
| Jennifer Hiss | Registered representative | Jul 2024 (2y) | ||
| Crystal G Miner | Registered representative | Aug 2024 (2y) | ||
| Jing Wang | Registered representative | Aug 2024 (2y) | ||
| Brian K Malloy | Registered representative | Sep 2024 (2y) | ||
| Katherine P Hudson | Registered representative | Sep 2024 (2y) | ||
| Stephen P Schwab | Registered representative | Sep 2024 (2y) | ||
| Jenny Rebecca Naylor | Registered representative | Oct 2024 (2y) | ||
| Matthew Tobin Panarese | Registered representative | Oct 2024 (2y) | ||
| Anne Frances Norwood | Registered representative | Oct 2024 (2y) | ||
| Christopher Richard Luechtefeld | Registered representative | CFP | Oct 2024 (2y) | |
| Josef Runes Najar | Registered representative | Oct 2024 (2y) | ||
| Antonio Nicolas Punales Callegari | Registered representative | Oct 2024 (2y) | ||
| Anthony Ferrandino | Registered representative | Oct 2024 (2y) | ||
| Cameron Christopher Zubey | Registered representative | Oct 2024 (2y) | ||
| Christopher G Di Medio | Registered representative | Oct 2024 (2y) | ||
| Dawn Holtermann Wyatt | Registered representative | Oct 2024 (2y) | ||
| Jonathan Richard Battillo | Registered representative | CFP | Oct 2024 (2y) | |
| Kyle David Comerford | Registered representative | CFP | Oct 2024 (2y) | |
| Michael Joshua Friedman | Registered representative | Oct 2024 (2y) | ||
| Patrick Thomas Sweet | Registered representative | CFP | Oct 2024 (2y) | |
| Patrick Unrath | Registered representative | Oct 2024 (2y) | ||
| Percy Lee Mason | Registered representative | Oct 2024 (2y) | ||
| Sean Brendan Arnold | Registered representative | CFP | Oct 2024 (2y) | |
| Sean Moreland | Registered representative | CFP | Oct 2024 (2y) | |
| Keif H Samuel | Registered representative | Oct 2024 (2y) | ||
| Heather M Fitzer | Registered representative | Oct 2024 (2y) | ||
| Constandina Carkonen Saites | Registered representative | Oct 2024 (2y) | ||
| Gus Silva Roessler | Registered representative | Nov 2024 (2y) | ||
| Leam F Cohen | Registered representative | Nov 2024 (2y) | ||
| Collin Liam Sundsted | Registered representative | Nov 2024 (2y) | ||
| Victoria Claire Collier | Registered representative | Nov 2024 (2y) | ||
| Lehman C Mc Nabb | Registered representative | Nov 2024 (2y) | ||
| Morgan G Richey | Registered representative | Nov 2024 (2y) | ||
| Nan J Ginger | Registered representative | Nov 2024 (2y) | ||
| Will Jorgensen Ginger | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Leo Andrew Harrison | Registered representative | Dec 2024 (2y) | ||
| Lisa K Barnes | Registered representative | Dec 2024 (2y) | ||
| Samuel Gray Larsen | Registered representative | Dec 2024 (2y) | ||
| Pamela M King | Registered representative | Dec 2024 (2y) | ||
| Ritter Woodruff Windom | Registered representative | Dec 2024 (2y) | ||
| Ka'jalene Kirkland | Registered representative | Jan 2025 (2y) | ||
| William Jamison Morris Wallrapp | Registered representative | Jan 2025 (2y) | ||
| Joshua Greiner | Registered representative | Jan 2025 (2y) | ||
| Charles Monroe Vetters | Registered representative | CFP | Jan 2025 (2y) | |
| James S Venetos | Registered representative | Jan 2025 (2y) | ||
| Maria D Navarro | Registered representative | Jan 2025 (2y) | ||
| Peter J. Venetos | Registered representative | CFA | Jan 2025 (2y) | |
| Mark Eric Dahl | Registered representative | Jan 2025 (2y) | ||
| Caitlin M Dahl | Registered representative | Jan 2025 (2y) | ||
| Justin De Lisi | Registered representative | Jan 2025 (2y) | ||
| Kathy S Dyer | Registered representative | Jan 2025 (2y) | ||
| Kristen Donato | Registered representative | Jan 2025 (2y) | ||
| Maninder S Lail | Registered representative | Jan 2025 (2y) | ||
| Sean Aloysius Bergin | Registered representative | Jan 2025 (2y) | ||
| William Michael Ramette | Registered representative | Jan 2025 (2y) | ||
| Vincent John Tricarico | Registered representative | Jan 2025 (2y) | ||
| Jackson Brent Wildermuth | Registered representative | Jan 2025 (2y) | ||
| Wade Howard Hartz | Registered representative | Jan 2025 (2y) | ||
| Buffy Armstrong Leonard | Registered representative | Jan 2025 (2y) | ||
| Dedra Brust | Registered representative | CFP | Jan 2025 (2y) | |
| Jacqueline Ellen Dufresne | Registered representative | Jan 2025 (2y) | ||
| Jeffrey James Pollard | Registered representative | Jan 2025 (2y) | ||
| John Edward Carl | Registered representative | Jan 2025 (2y) | ||
| Luke John Saddlemire | Registered representative | CFP | Jan 2025 (2y) | |
| Raymond Clark Hoiles Bryan | Registered representative | Jan 2025 (2y) | ||
| Dylan Miller Jones | Registered representative | Feb 2025 (1y) | ||
| Kerese Kayon Traille | Registered representative | Feb 2025 (1y) | ||
| Jason Ross Mingelgreen | Registered representative | CFA | Feb 2025 (1y) | |
| John Christopher Broderick | Registered representative | Feb 2025 (1y) | ||
| John Broderick | Registered representative | CFA | Feb 2025 (1y) | |
| Robert J Carr | Registered representative | Feb 2025 (1y) | ||
| Joseph Paul Bloom | Registered representative | Feb 2025 (1y) | ||
| Andrew J Meyer | Registered representative | Feb 2025 (1y) | ||
| Becky B Chen | Registered representative | Feb 2025 (1y) | ||
| James G De Martini | Registered representative | Feb 2025 (1y) | ||
| Keri Tan Chan | Registered representative | Feb 2025 (1y) | ||
| Lorna F Meyer | Registered representative | Feb 2025 (1y) | ||
| William M Meyer | Registered representative | Feb 2025 (1y) | ||
| Lynda Ann Tormey | Registered representative | Feb 2025 (1y) | ||
| Kayla M Benz | Registered representative | Mar 2025 (1y) | ||
| Amanda R Murphy | Registered representative | Mar 2025 (1y) | ||
| Erica Lynn Zippel | Registered representative | Mar 2025 (1y) | ||
| Johnathon Santopadre | Registered representative | CFA | Mar 2025 (1y) | |
| Julianne Janus Carey | Registered representative | Mar 2025 (1y) | ||
| Nicole Catherine Korensky | Registered representative | Mar 2025 (1y) | ||
| Amy Lin | Registered representative | Mar 2025 (1y) | ||
| Debra Lynne Young | Registered representative | Mar 2025 (1y) | ||
| Eric V Franz | Registered representative | Mar 2025 (1y) | ||
| Greg Rhodes | Registered representative | Mar 2025 (1y) | ||
| George Munro | Registered representative | Mar 2025 (1y) | ||
| Hunter Stewart Kral | Registered representative | Mar 2025 (1y) | ||
| Jason M. Ladner | Registered representative | Mar 2025 (1y) | ||
| John A Bazan | Registered representative | Mar 2025 (1y) | ||
| Mikayla Christine Brunell | Registered representative | Mar 2025 (1y) | ||
| Paulina Schwarzbeck | Registered representative | Mar 2025 (1y) | ||
| Timothy Porcher White | Registered representative | CFP | Mar 2025 (1y) | |
| Ann Michelle Mcclain | Registered representative | Mar 2025 (1y) | ||
| Jane Ellison Morris | Registered representative | Apr 2025 (1y) | ||
| Kari Judson | Registered representative | Apr 2025 (1y) | ||
| Lawrence A Jones | Registered representative | Apr 2025 (1y) | ||
| Lingpeng Xiao | Registered representative | CFP CFA | Apr 2025 (1y) | |
| Jackson Halliwell | Registered representative | Apr 2025 (1y) | ||
| Angeline Pamela Newman | Registered representative | Apr 2025 (1y) | ||
| Daniel Riordan | Registered representative | Apr 2025 (1y) | ||
| Eric William Schenk | Registered representative | CFP | Apr 2025 (1y) | |
| Jack Robert Worth | Registered representative | Apr 2025 (1y) | ||
| Julia Jane Chase | Registered representative | CFP | Apr 2025 (1y) | |
| Raymond L. Chase | Registered representative | CFP | Apr 2025 (1y) | |
| Chandra Maria Margaret Federle | Registered representative | Apr 2025 (1y) | ||
| Dean Charles Turner | Registered representative | CFP | Apr 2025 (1y) | |
| John Clayton Bowers | Registered representative | Apr 2025 (1y) | ||
| Kanwar Manjot Singh | Registered representative | Apr 2025 (1y) | ||
| Krishna Phanindra Swaroop Vege | Registered representative | Apr 2025 (1y) | ||
| Matthew David Belfanti | Registered representative | Apr 2025 (1y) | ||
| Nicola Antonio Tirino | Registered representative | Apr 2025 (1y) | ||
| Rajeev Rathi | Registered representative | Apr 2025 (1y) | ||
| Steven Coleman | Registered representative | Apr 2025 (1y) | ||
| Savannah Neal | Registered representative | Apr 2025 (1y) | ||
| Stacey L Specht | Registered representative | Apr 2025 (1y) | ||
| Mark Juelis | Registered representative | Apr 2025 (1y) | ||
| Peter I. Isaac Myers | Registered representative | Apr 2025 (1y) | ||
| David Bruce Miracle | Registered representative | May 2025 (1y) | ||
| Savannah Vessell Dunn | Registered representative | May 2025 (1y) | ||
| Margaret M Simmons | Registered representative | May 2025 (1y) | ||
| Rachel Zhang | Registered representative | May 2025 (1y) | ||
| George Dexter Allen | Registered representative | May 2025 (1y) | ||
| Nova Cosmo Lu | Registered representative | May 2025 (1y) | ||
| Joseph J Nacca | Registered representative | CFP | May 2025 (1y) | |
| Daniel Jay Hardwick | Registered representative | May 2025 (1y) | ||
| Holden Maxx Granet | Registered representative | May 2025 (1y) | ||
| Brett Howard Dulyea | Registered representative | CFA | May 2025 (1y) | |
| Jennifer Dee Mason | Registered representative | Jun 2025 (1y) | ||
| Steven Mark Lamon | Registered representative | Jun 2025 (1y) | ||
| John Charles Krebs | Registered representative | Jun 2025 (1y) | ||
| La Shaunda Idleburg | Registered representative | Jun 2025 (1y) | ||
| Mike A Vivas | Registered representative | Jun 2025 (1y) | ||
| John Lynch | Registered representative | CFP | Jun 2025 (1y) | |
| Sig Oliver Sandberg | Registered representative | Jun 2025 (1y) | ||
| Austin Alexander Hutcherson | Registered representative | Jun 2025 (1y) | ||
| Karleen Madeleine Halliwell | Registered representative | Jun 2025 (1y) | ||
| Laura Raybin Miller | Registered representative | Jun 2025 (1y) | ||
| Leonard Jay Suskind | Registered representative | Jun 2025 (1y) | ||
| Rosary Whitlock | Registered representative | Jun 2025 (1y) | ||
| Seth Neil Ripple | Registered representative | CFP | Jun 2025 (1y) | |
| Theodore Alexander Mpatsios Pappas | Registered representative | Jun 2025 (1y) | ||
| Kristen Rose Egan | Registered representative | Jul 2025 (1y) | ||
| Pamela Jean Lamichhane | Registered representative | Jul 2025 (1y) | ||
| Adrienne Padavich | Registered representative | Jul 2025 (1y) | ||
| Zachary Thomas Senn | Registered representative | Jul 2025 (1y) | ||
| Emily Kramer Rubin | Registered representative | Jul 2025 (1y) | ||
| Kenneth J. Shapiro | Registered representative | Jul 2025 (1y) | ||
| Madeline Audrey Irvin | Registered representative | Jul 2025 (1y) | ||
| Samantha Clarke Wagner | Registered representative | Jul 2025 (1y) | ||
| Spenser Yeager | Registered representative | CFP | Jul 2025 (1y) | |
| Stacey Marie Betsch | Registered representative | Jul 2025 (1y) | ||
| Thomas Joseph Livaccari | Registered representative | CFP | Jul 2025 (1y) | |
| Todd W Ives | Registered representative | CFP | Jul 2025 (1y) | |
| Alexander Wayne Di Medio | Registered representative | Jul 2025 (1y) | ||
| Grace Nealon | Registered representative | Jul 2025 (1y) | ||
| James Banigan Casey | Registered representative | CFP | Jul 2025 (1y) | |
| Mary Kathryn Shelton Fitzpatrick | Registered representative | Jul 2025 (1y) | ||
| Nicholas Lincoln Vines | Registered representative | Aug 2025 (1y) | ||
| Dak H Spivey | Registered representative | Aug 2025 (1y) | ||
| Melinda Jane Perry | Registered representative | Aug 2025 (1y) | ||
| Thomas Christopher Weiss | Registered representative | CFA | Aug 2025 (1y) | |
| Jacob Aaron Linzmeier | Registered representative | Aug 2025 (1y) | ||
| Alessandra Sirabella | Registered representative | CFP | Aug 2025 (1y) | |
| Scott Baxter Rosenblum | Registered representative | Aug 2025 (1y) | ||
| Cathy Lynn Achter | Registered representative | Aug 2025 (1y) | ||
| Nicholas Thomas Mc Cartan | Registered representative | Sep 2025 (1y) | ||
| Cameron Robert Deere | Registered representative | Sep 2025 (1y) | ||
| Celine Joy Waxham | Registered representative | Sep 2025 (1y) | ||
| Azim Ahmed | Registered representative | CFA | Sep 2025 (1y) | |
| Christopher Helms | Registered representative | CFP | Sep 2025 (1y) | |
| Cory Todd Logan | Registered representative | Sep 2025 (1y) | ||
| Sophia E Katsafouros | Registered representative | Sep 2025 (1y) | ||
| David Max Crummy | Registered representative | Sep 2025 (1y) | ||
| Richard D Thome | Registered representative | Sep 2025 (1y) | ||
| Jennifer Graves | Registered representative | Oct 2025 (1y) | ||
| Michelle Williams | Registered representative | Oct 2025 (1y) | ||
| Colin Bradley Lessard | Registered representative | Oct 2025 (1y) | ||
| Crystal Yung | Registered representative | Oct 2025 (1y) | ||
| Caleb Joshua Ennin | Registered representative | Oct 2025 (1y) | ||
| Jessica Myra Lee | Registered representative | Oct 2025 (1y) | ||
| Emily Anne Bloom | Registered representative | Oct 2025 (1y) | ||
| Christine Diane Geoffray | Registered representative | Oct 2025 (1y) | ||
| Jacqueline Lavonne Riggs | Registered representative | CFP | Oct 2025 (1y) | |
| Max E Severo | Registered representative | Oct 2025 (1y) | ||
| Nicholas Felix Eguiazarian | Registered representative | Oct 2025 (1y) | ||
| Paul Vladimir Urbanek | Registered representative | Oct 2025 (1y) | ||
| Rocio Hernandez | Registered representative | CFP | Oct 2025 (1y) | |
| Rand F Beech | Registered representative | Oct 2025 (1y) | ||
| Scott James Picklo | Registered representative | Oct 2025 (1y) | ||
| Xiao Peng Liu | Registered representative | Oct 2025 (1y) | ||
| Brian Ross Saltzman | Registered representative | Oct 2025 (1y) | ||
| Christopher Lee Apgar | Registered representative | Oct 2025 (1y) | ||
| Devon Paige Litchfield | Registered representative | Oct 2025 (1y) | ||
| Gregory Robert Swenson | Registered representative | Oct 2025 (1y) | ||
| Sharon Cynthia Paul Jordan | Registered representative | Oct 2025 (1y) | ||
| Khamar Z Maitland | Registered representative | Oct 2025 (1y) | ||
| David Batievsky | Registered representative | Oct 2025 (1y) | ||
| Gladys Viviana Heath | Registered representative | Nov 2025 (1y) | ||
| Emanuel Anthony Zalants | Registered representative | Nov 2025 (1y) | ||
| Julie Byrnes | Registered representative | Nov 2025 (1y) | ||
| Michael Winston Meshad | Registered representative | Nov 2025 (1y) | ||
| Robert Andrew Hon | Registered representative | Nov 2025 (1y) | ||
| Mickey Howell | Registered representative | CFP | Nov 2025 (1y) | |
| Seth Alton Wheeler | Registered representative | CFP | Nov 2025 (1y) | |
| Maxwell Joseph Mims | Registered representative | Nov 2025 (1y) | ||
| Ryan R Mahlstedt | Registered representative | Nov 2025 (1y) | ||
| Maggie Tepe | Registered representative | Nov 2025 (1y) | ||
| Deborah J Wainwright | Registered representative | Nov 2025 (1y) | ||
| Mark Wayne Ulrich | Registered representative | Nov 2025 (1y) | ||
| Sora Araim | Registered representative | Dec 2025 (1y) | ||
| Timothy Jon Fiacco | Registered representative | CFP | Dec 2025 (1y) | |
| Yanni Ali Saderi | Registered representative | Dec 2025 (1y) | ||
| Mark Clifford French | Registered representative | Dec 2025 (1y) | ||
| Patrick Mc Govern | Registered representative | Dec 2025 (1y) | ||
| Connor Michael Kelly | Registered representative | Dec 2025 (1y) | ||
| Heather Lynn Brown | Registered representative | Dec 2025 (1y) | ||
| Henry David Smith | Registered representative | Dec 2025 (1y) | ||
| David Bishop Smith | Registered representative | Dec 2025 (1y) | ||
| Patrick Lee Moore | Registered representative | Dec 2025 (1y) | ||
| Kevin Scott Parrill | Registered representative | CFP | Dec 2025 (1y) | |
| Mark Clifford French | Registered representative | Dec 2025 (1y) | ||
| Jonathan Andre Bouvier | Registered representative | Dec 2025 (1y) | ||
| Steven Guan | Registered representative | Dec 2025 (1y) | ||
| William C Reed | Registered representative | Dec 2025 (1y) | ||
| Robert Gene Heisterberg | Registered representative | Dec 2025 (1y) | ||
| James Maxwell Markley | Registered representative | Dec 2025 (1y) | ||
| Kerry Ann Mcgauran | Registered representative | Dec 2025 (1y) | ||
| Kyle Lawson Stouffer | Registered representative | Dec 2025 (1y) | ||
| Bryant Perdomo | Registered representative | Dec 2025 (1y) | ||
| Florina Shutin | Registered representative | Dec 2025 (1y) | ||
| James Charles Aughenbaugh | Registered representative | Dec 2025 (1y) | ||
| Manoel Lemos Campelo | Registered representative | Dec 2025 (1y) | ||
| Mason Harry | Registered representative | Dec 2025 (1y) | ||
| Rachel Esther Costello | Registered representative | Dec 2025 (1y) | ||
| Thomas Gilbert Eastwood | Registered representative | CFP | Dec 2025 (1y) | |
| Anthony David Solfaro | Registered representative | CFP | Dec 2025 (1y) | |
| Brenda Oconnor | Registered representative | Dec 2025 (1y) | ||
| Christina Emig | Registered representative | Dec 2025 (1y) | ||
| George Alexander Kroll | Registered representative | Dec 2025 (1y) | ||
| Kelli Hansen | Registered representative | Dec 2025 (1y) | ||
| Michael Thomas Eustace | Registered representative | Dec 2025 (1y) | ||
| Jessica Leigh Whiting | Registered representative | Dec 2025 (1y) | ||
| Joshua David Bruegman | Registered representative | Jan 2026 (1y) | ||
| Molly Williams | Registered representative | Jan 2026 (1y) | ||
| Andrea Nicole Islas | Registered representative | Jan 2026 (1y) | ||
| Melyssa Bjella Moore | Registered representative | Jan 2026 (1y) | ||
| Addison Nicole Dunbar | Registered representative | Jan 2026 (1y) | ||
| Daniel Vincent Moldaver | Registered representative | Jan 2026 (1y) | ||
| Jaisen Shardul Shah | Registered representative | Jan 2026 (1y) | ||
| Tegest Asefa Brown | Registered representative | Jan 2026 (1y) | ||
| Natalie Berry | Registered representative | Jan 2026 (1y) | ||
| Clare James Comstock | Registered representative | Feb 2026 (0y) | ||
| Thomas Alexander Burns | Registered representative | Feb 2026 (0y) | ||
| Rajiv Dadlani | Registered representative | Feb 2026 (0y) | ||
| Brice Eber Morris | Registered representative | Feb 2026 (0y) | ||
| Gianluca Sumberac | Registered representative | Feb 2026 (0y) | ||
| Grace Upshaw | Registered representative | Feb 2026 (0y) | ||
| Ian White | Registered representative | Feb 2026 (0y) | ||
| Nicholas Max Moldaver | Registered representative | Feb 2026 (0y) | ||
| Evan Duncan | Registered representative | Feb 2026 (0y) | ||
| Vivian Phuong Vi Phan | Registered representative | Feb 2026 (0y) | ||
| Thomas S Dziubela | Registered representative | Feb 2026 (0y) | ||
| Alexis Brooke Faro | Registered representative | Mar 2026 (0y) | ||
| Jacob Davis Myers | Registered representative | CFP | Mar 2026 (0y) | |
| Tatum Foreman | Registered representative | Mar 2026 (0y) | ||
| Eshani Sugnay Patel | Registered representative | Mar 2026 (0y) | ||
| Alan Lo Vetere | Registered representative | Mar 2026 (0y) | ||
| Christopher Jacob Potts | Registered representative | Mar 2026 (0y) | ||
| Despina Vallianos Mann | Registered representative | Mar 2026 (0y) | ||
| Benjamin Wechsler | Registered representative | Mar 2026 (0y) | ||
| Jacob Jeremy Howell | Registered representative | Mar 2026 (0y) | ||
| Spencer G Bennett | Registered representative | Mar 2026 (0y) | ||
| Cole Travers Verhulst | Registered representative | Apr 2026 (0y) | ||
| Christopher Michael Shea | Registered representative | CFA | Apr 2026 (0y) | |
| Brian Costas | Registered representative | Apr 2026 (0y) | ||
| Grace Ann Touchette | Registered representative | Apr 2026 (0y) | ||
| Amanda Johnson Davis | Registered representative | Apr 2026 (0y) | ||
| Ehrynn Summer Shephard | Registered representative | Apr 2026 (0y) | ||
| Ian Marshall Ogilvie | Registered representative | Apr 2026 (0y) | ||
| Kevin R. Kurtz | Registered representative | CFP CFA | Apr 2026 (0y) | |
| Andrew Joseph Lowman | Registered representative | Apr 2026 (0y) | ||
| Patricia E Tyler | Registered representative | Apr 2026 (0y) | ||
| Evan Potter | Registered representative | Apr 2026 (0y) | ||
| Alethia Dixon | Registered representative | Apr 2026 (0y) | ||
| Jeremi Zabel | Registered representative | Apr 2026 (0y) | ||
| Joseph Alexander Bybee | Registered representative | CFA | Apr 2026 (0y) | |
| Malia S Morales | Registered representative | Apr 2026 (0y) | ||
| Tyler D Lane | Registered representative | CFA | Apr 2026 (0y) | |
| Theodore Richard Ellsworth | Registered representative | Apr 2026 (0y) | ||
| Charles Paul Metzger | Registered representative | Apr 2026 (0y) | ||
| Audrey N Wilcoxson | Registered representative | Apr 2026 (0y) | ||
| John Harold Tyler | Registered representative | Apr 2026 (0y) | ||
| Luca Stash | Registered representative | Apr 2026 (0y) | ||
| Jean C Gannon | Registered representative | Apr 2026 (0y) | ||
| Katherine Julia Latypov | Registered representative | Apr 2026 (0y) | ||
| Vanessa G. Anderson | Registered representative | Apr 2026 (0y) | ||
| Ian Joseph Faulkner | Registered representative | May 2026 (0y) | ||
| Michael Aaron Rosner | Registered representative | May 2026 (0y) | ||
| Robert Alric Barrett | Registered representative | May 2026 (0y) | ||
| Isabelle Kuzmich | Registered representative | May 2026 (0y) | ||
| Darios Said Powers | Registered representative | May 2026 (0y) | ||
| Andrew Edward Harper | Registered representative | CFP | May 2026 (0y) | |
| Arthur Thomas Nintzel | Registered representative | CFP | May 2026 (0y) | |
| Christopher P Matteo | Registered representative | May 2026 (0y) | ||
| Cori Ann Verdino | Registered representative | May 2026 (0y) | ||
| Ryan Patrick Monaghan | Registered representative | May 2026 (0y) | ||
| Thomas Patrick Monaghan | Registered representative | May 2026 (0y) | ||
| Daniel Guadalupe | Registered representative | May 2026 (0y) | ||
| India R. Johns | Registered representative | May 2026 (0y) | ||
| Ashley Marie Gegenwarth | Registered representative | May 2026 (0y) | ||
| Biagio Delboccio | Registered representative | May 2026 (0y) | ||
| Caroline A Coplin | Registered representative | CFP | May 2026 (0y) | |
| Lynette Janelle Susi | Registered representative | May 2026 (0y) | ||
| Melanie Kane | Registered representative | May 2026 (0y) | ||
| Ryan Michael Sherman | Registered representative | CFP | May 2026 (0y) | |
| Steven Michael Coplin | Registered representative | May 2026 (0y) | ||
| James Edward Graves | Registered representative | May 2026 (0y) | ||
| Jaslinne M Lopez | Registered representative | May 2026 (0y) | ||
| Tuan Huu Nguyen | Registered representative | Jun 2026 (0y) | ||
| Christopher Glenn Knight | Registered representative | Jun 2026 (0y) | ||
| Macallan Martin Bibeau | Registered representative | Jun 2026 (0y) | ||
| Brittany Rose Oladunjoye | Registered representative | Jun 2026 (0y) | ||
| Raveen Rathi | Registered representative | Jun 2026 (0y) | ||
| Juan Carlos Mireles | Registered representative | Jun 2026 (0y) | ||
| Kristin K Mccarthy | Registered representative | Jun 2026 (0y) | ||
| Austin Schorn | Registered representative | Jun 2026 (0y) | ||
| Dimitrie Radinovic | Registered representative | Jun 2026 (0y) | ||
| Riley Kate Cameron | Registered representative | Jun 2026 (0y) | ||
| Adam Hospodar | Registered representative | Jun 2026 (0y) | ||
| Madison Victoria Friedman | Registered representative | Jun 2026 (0y) | ||
| John Lubin | Registered representative | Jun 2026 (0y) | ||
| Lukas Olson Sonka | Registered representative | Jun 2026 (0y) | ||
| Suzanna Kingsley Tucker | Registered representative | Jun 2026 (0y) | ||
| Colton Benjamin Myers | Registered representative | CFP | Jun 2026 (0y) | |
| Nicholas Adam Chiarolanzio | Registered representative | Jul 2026 (0y) | ||
| Hayden Dae Chul Shin | Registered representative | Jul 2026 (0y) | ||
| Nancy Elizabeth Pultz | Registered representative | Jul 2026 (0y) | ||
| Blake Romero | Registered representative | Jul 2026 (0y) | ||
| Brenda J Cyprian | Registered representative | Jul 2026 (0y) | ||
| Nicholas Andrew Coppola | Registered representative | CFA | Jul 2026 (0y) | |
| Haley Marie Hawk | Registered representative | Jul 2026 (0y) | ||
| Noah R Jones | Registered representative | Jul 2026 (0y) | ||
| Noah Aaron Rubinstein | Registered representative | Jul 2026 (0y) | ||
| Rocky George Imperial Marania | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rfs Opco Llc ("Opco") | Member | Oct 2017 | A | 75% or more |
| Rockefeller Capital Management L.P. ("Rcm") | Member | Mar 2018 | B | 75% or more of Rfs Opco Llc (indirect) |
| Viking Global Investors Lp | Voting Security Shareholder | Jan 2018 | B | 75% or more of Dragsa 24 Cayman Ltd. (indirect) |
| Dragsa 24 Cayman Ltd. | Limited Partner | Mar 2018 | B | 25% – 50% of Rockefeller Capital Management L.P. (indirect) |
| Dragsa 30 Cayman Ltd. | Limited Partner | Mar 2018 | B | 25% – 50% of Rockefeller Capital Management L.P. (indirect) |
| Rockefeller Capital Management General Partner L.L.C. ("Rcmgp") | General Partner | Oct 2017 | B | GP / trustee / elected manager of Rockefeller Capital Management L.P. (indirect) |
| Viking Global Partners Llc | General Partner | Apr 1999 | B | GP / trustee / elected manager of Viking Global Investors Lp (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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 (47)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Cascade Die Casting Group Employees 401(k) Retirement Plan | Cascade Die Casting Group, Inc. | 322 | $11.1M | 07/01/2024 |
| Champion Discs, Inc. Cash Balance Pension Plan | Champion Discs, Inc | 145 | $4.8M | 05/01/2024 |
| Champion Discs, Inc. 401(k) Profit Sharing Plan | Champion Discs, Incorporated | 114 | $14.4M | 05/01/2024 |
| Etna Shared Services 401(k) & Profit Sharing Plan | Etna Shared Services, Llc | 559 | $41.6M | 01/01/2024 |
| Aci Parts Warehousing 401(k) Profit Sharing Plan | Aci Parts Warehousing 401(k) Profit Sharing Plan | 439 | $9.6M | 01/01/2024 |
| Huffines Auto Dealerships Retirement Savings Plan | Ray Huffines Chevrolet, Inc. D.B.A. Huffines Auto Dealerships | 621 | $33.4M | 01/01/2024 |
| Floracraft, Inc. Profit Sharing/401(k) Plan | Floracraft, Inc. | 246 | $15.4M | 01/01/2024 |
| Bbp Retirement Savings Plan | Brunswick Bowling Products, Llc | 236 | $41.4M | 01/01/2024 |
| Triangle Associates Profit Sharing & Retirement Savings Plan | Triangle Associates Inc A Michigan Corporation | 100 | $15.0M | 01/01/2024 |
| Ebw Electronics, Inc. 401 K Plan | Ebw Electronics, Inc. | 144 | $8.4M | 01/01/2024 |
| Concrete General, Inc. 401(k) Profit Sharing Plan | Concrete General, Inc. | 217 | $21.1M | 01/01/2024 |
| Us Radiology Specialists 401(k) Retirement Plan | Us Radiology Specialists, Inc. | 4,664 | $571M | 01/01/2024 |
| Vandyk Mortgage 401(k) Profit Sharing Plan | Vandyk Mortgage Corporation | 251 | $18.3M | 01/01/2024 |
| North America Fuel Systems Remanufacturing, Llc 401(k) Plan | North America Fuel Systems Remanufacturing, Llc | 104 | $7.7M | 01/01/2024 |
| Repay Management Services, Llc 401 K Plan | Repay Management Services Llc | 444 | $33.5M | 01/01/2024 |
| Mario Badescu Skin Care Profit Sharing 401(k) Plan | Mario Badescu Skin Care, Inc. | 154 | $27.0M | 01/01/2024 |
| M. Argueso & Co., Inc. 401(k) Plan & Trust | M. Argueso & Co., Inc. | 154 | $11.6M | 01/01/2024 |
| Fleis & Vandenbrink Engineering, Inc. 401(k) Plan | F & V Companies Inc | 296 | $24.8M | 01/01/2024 |
| Pesg, Llc 401(k) Plan | Pesg, Llc Dba, Professional Education Services Group, Llc | 1,752 | $22.5M | 01/01/2024 |
| Emergency Technology, Inc. 401(k) And Employee Stock Ownership Plan | Emergency Technology, Inc. | 444 | $79.2M | 01/01/2024 |
| Mvp Sports Clubs 401(k) Plan | Mvp Operations, Llc | 536 | $6.7M | 01/01/2024 |
| Metropolitan Enterprises 401(k) Plan | Metropolitan Enterprises | 214 | $23.3M | 01/01/2024 |
| University Of Michigan Health West 403(b) Retirement Savings Plan | Metropolitan Hospital D.B.A University Of Michigan Health West | 3,376 | $233M | 01/01/2024 |
| Ag Business Solutions, Llc 401(k) Plan | Ag Business Solutions Llc | 529 | $11.5M | 01/01/2024 |
| Ambassador Supply Affiliates 401(k) Plan | Quality Structures, Llc | 487 | $10.9M | 01/01/2024 |
Top 25 of 47 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 2.61 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2)
as of Nov 14, 2024
Allegations: ON JANUARY 19, 2024, THE FIRM ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT FOR FAILING TO DISCLOSE CERTAIN MARK-UP AND MARK-DOWN INFORMATION ON RETAIL CUSTOMER CONFIRMATIONS FOR THE TIME PERIOD JUNE 2020 TO AUGUST 2021 FOR MUNICIPAL SECURITIES TRANSACTIONS AND CORPORATE AND AGENCY DEBT SECURITIES TRANSACTIONS AND FOR FAILING TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE DISCLOSURE REQUIREMENTS IN VIOLATION OF MSRB RULE G-27 AND FINRA RULES 3110 AND 2010. Status: Final Sanction Detail: THE APPLICANT PAID THE FINE OF $100,000 ON FEBRUARY 1, 2024.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $96.0B (96% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗