Park Avenue Securities Llc
SEC-registered
Broker-Dealer (Dually Registered) · Large ($10B–$100B)
CRD 46173
· SEC file 801-58108
· New York, NY
· www.vestwise.com
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ADV data as of Jul 01, 2026
- Regulatory AUM
- $19.6B
- Discretionary
- $17.6B
- Clients
- 82,118
- Avg AUM / client
- $238K
- Accounts
- 82,118
- Employees
- 2,073
AUM over time
$2.8B
$19.6B
Nov 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 63,006 | $9.1B | 46.5% |
| High net worth individuals | 17,261 | $9.4B | 48.0% |
| Pension and profit sharing plans | 1,139 | $344M | 1.76% |
| Charitable organizations | 235 | $92.5M | 0.47% |
| Corporations and other businesses | 397 | $486M | 2.48% |
| Other | 80 | $143M | 0.73% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| National Board For Certified Counselors, Inc 401(k) Plan National Board For Certified Counselors, Inc. | 2024 | |
| 603 Healthcare 401(k) Plan 603 Healthcare Llc | 2024 | |
| Hampton Jitney, Inc. 401(k) Retirement Savings Plan Hampton Jitney, Inc. | 2024 | |
| Kocher + Beck Usa, L.P. 401(k) Plan Kocher And Beck Usa, L.P. | 2024 | |
| Blue Stream Fiber 401(k) Plan Blue Stream Communications | 2024 | |
| Ezra Medical Center 403(b) Retirement Plan Lerfuah Medical And Rehabilitation Center Inc. Dba Ezra Medical Center | 2024 | |
| Power Drives, Inc. 401(k) Savings Plan Power Drives, Inc. | 2024 | |
| American Cruise Lines, Inc. 401(k) Profit Sharing Plan American Cruise Lines, Inc. | 2024 | |
| Townsquare Media, Inc. 401 K Plan Townsquare Media, Inc. | 2024 | |
| Spring Hills Llc 401(k) Plan Spring Hills, Llc. | 2024 | |
| Community Health Network Stephen F Austin Community Healt | 2024 | |
| Child Care Resource And Referral, Inc. Matched Savings Retirement Plan Child Care Resource & Referral, Inc. | 2024 | |
| Opentech Alliance 401(k) Profit Sharing Plan Opentech Alliance, Inc. | 2024 | |
| Stellar Health Management, Llc 401(k) Plan Stellar Health Management, Llc | 2024 | |
| Marki Microwave Retirement Plan Marki Microwave, Inc. | 2024 | |
| Roberts Oxygen Company 401(k) Plan Roberts Oxygen Company, Inc. | 2024 | |
| Principal Ease 401(k) Plan Principal Life Insurance Company | 2024 | |
| Cfs Pep Americantcs Fiduciary Services, Llc | 2024 | |
| Commentsold, Llc 401(k) Plan Commentsold, Llc | 2024 | |
| Pointe Group Care 401(k) Plan Pointe Group Care, Llc | 2024 | |
| Ground Support Services Prevailing Wage Plan Greater Shield, Llc Dba Ground Support Services | 2024 | |
| Crs, Inc. 401 K Profit Sharing Plan Crs, Inc. | 2024 | |
| Privilege Underwriters, Inc. 401(k) Plan Privilege Underwriters, Inc. | 2024 | |
| Eden Hc 401(k) Plan 239 Legris Ave Operations, Llc | 2024 |
People (1,919)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ferik, Michael, Nicholas | Elected Member | Feb 2014 (13y) | Less than 5% | |
| Boggs, Allen, Warren | Head Of Product & Supervision | Sep 2014 (12y) | Less than 5% | |
| Lesina, Leyla, Ada | Elected Member | May 2019 (7y) | Less than 5% | |
| Hergan, Joshua, Neil | General Counsel | Oct 2019 (7y) | Less than 5% | |
| Maher, Carly, Pritchard | Head Of Wealth Management Strategy And Business Operations | Sep 2020 (6y) | Less than 5% | |
| Marianne Grace Caswell | President And Elected Member | Jan 2021 (6y) | Less than 5% | |
| Ryniker, Michael, John | Principal Operations Officer | Apr 2023 (3y) | Less than 5% | |
| Desrochers, Carl | Elected Member | Aug 2023 (3y) | Less than 5% | |
| Butscher, Jeffrey, Joseph | Interim Chief Compliance Officer | Mar 2024 (2y) | Less than 5% | |
| Davarashvili, Kate | Finop/Principal Financial Officer. | Jul 2024 (2y) | Less than 5% | |
| Mark B Connely | Registered representative | CFP | May 1999 (27y) | |
| Thomas B Goldfarb | Registered representative | May 2000 (26y) | ||
| George C Klima | Registered representative | Chartered Financial Consultant | Dec 2000 (26y) | |
| Buna B Cumbie | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| Charles E Woodbury | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| Gordon B Smith | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| Robert N Worgaftik | Registered representative | CFP Chartered Financial Consultant | Jan 2001 (26y) | |
| Anthony Joseph Domino | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| Barry D Zimmerman | Registered representative | Jan 2001 (26y) | ||
| Kenneth J Schroering | Registered representative | Jan 2001 (26y) | ||
| Kevin L Bell | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| Terence G Mcglynn | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| Steven D Lichtenstein | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| David L Keller | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| Karen Ann Jessey | Registered representative | Jan 2001 (26y) | ||
| Randall T Bills | Registered representative | Jan 2001 (26y) | ||
| William C Berger | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| Brian J Leen | Registered representative | Jan 2001 (26y) | ||
| Richard A Shurmer | Registered representative | Jan 2001 (26y) | ||
| Gregory J Morris | Registered representative | Feb 2001 (25y) | ||
| Gary Joseph Peters | Registered representative | Chartered Financial Consultant | Feb 2001 (25y) | |
| Richard L Poitras | Registered representative | Chartered Financial Consultant | Feb 2001 (25y) | |
| Steven J Travaglini | Registered representative | Feb 2001 (25y) | ||
| David M Culler | Registered representative | Chartered Financial Consultant | Mar 2001 (25y) | |
| Gwendolyn D Chatham | Registered representative | CFP | Mar 2001 (25y) | |
| Henry Vernon Terrell | Registered representative | Chartered Financial Consultant | Mar 2001 (25y) | |
| Alex F Stivrins | Registered representative | CFP | Mar 2001 (25y) | |
| Michael J Weinberg | Registered representative | Mar 2001 (25y) | ||
| William Terrel Hoover | Registered representative | Apr 2001 (25y) | ||
| Richard W Jasper | Registered representative | Chartered Financial Consultant | Apr 2001 (25y) | |
| Jonathan C Zimlich | Registered representative | CFP | Apr 2001 (25y) | |
| John H Curry | Registered representative | Chartered Financial Consultant | Apr 2001 (25y) | |
| Lawrence M Rutledge | Registered representative | CFP | Apr 2001 (25y) | |
| Richard S Bonchick | Registered representative | Apr 2001 (25y) | ||
| Rogers Joseph | Registered representative | Chartered Financial Consultant | Apr 2001 (25y) | |
| William C Green | Registered representative | CFP | Apr 2001 (25y) | |
| William Jeffrey Jeffrey Traum | Registered representative | Chartered Financial Consultant | Apr 2001 (25y) | |
| Kevin S Schneider | Registered representative | May 2001 (25y) | ||
| Evan Mitchel Banks | Registered representative | CFP | Aug 2001 (25y) | |
| Robert C Votruba | Registered representative | Sep 2001 (25y) | ||
| Elmo Wilson Clary | Registered representative | Oct 2001 (25y) | ||
| William T Chatham | Registered representative | Chartered Financial Consultant | Nov 2001 (25y) | |
| John C Ross | Registered representative | CFP Chartered Financial Consultant | Jan 2002 (25y) | |
| John K Lang | Registered representative | Jan 2002 (25y) | ||
| Clinton Edward Davis | Registered representative | Chartered Financial Consultant | Jan 2002 (25y) | |
| Matthew W Roddy | Registered representative | Feb 2002 (24y) | ||
| Bruce Earl Miller | Registered representative | Feb 2002 (24y) | ||
| David M Richards | Registered representative | Feb 2002 (24y) | ||
| David Bennett Allen | Registered representative | Chartered Financial Consultant | Sep 2002 (24y) | |
| Katherine P Almerico | Registered representative | Chartered Financial Consultant | Sep 2002 (24y) | |
| Richard H Villavaso | Registered representative | Chartered Financial Consultant | Sep 2002 (24y) | |
| Douglas K Flink | Registered representative | Chartered Financial Consultant | Oct 2002 (24y) | |
| Michael E Yanchoris | Registered representative | Chartered Financial Consultant | Oct 2002 (24y) | |
| Joseph E Delisi | Registered representative | CFP Chartered Financial Consultant | Oct 2002 (24y) | |
| Brett C Kulman | Registered representative | Oct 2002 (24y) | ||
| Mark B Murphy | Registered representative | Chartered Financial Consultant | Nov 2002 (24y) | |
| Kim A Weaver | Registered representative | Chartered Financial Consultant | Nov 2002 (24y) | |
| Scott H Doyle | Registered representative | Nov 2002 (24y) | ||
| Kenneth W Bogert | Registered representative | CFP | Dec 2002 (24y) | |
| Melvyn N Feinbloom | Registered representative | Dec 2002 (24y) | ||
| Hsuan Hsu | Registered representative | Jan 2003 (24y) | ||
| Hubert Edward Cooke | Registered representative | Jan 2003 (24y) | ||
| Joshua C Cobb | Registered representative | CFP | Jan 2003 (24y) | |
| Eric L Abramson | Registered representative | Jan 2003 (24y) | ||
| Frank Congilose | Registered representative | CFP Chartered Financial Consultant | Jan 2003 (24y) | |
| James A Foti | Registered representative | CFP | Jan 2003 (24y) | |
| Jeffrey D Slevin | Registered representative | Jan 2003 (24y) | ||
| Joseph K Rivara | Registered representative | Jan 2003 (24y) | ||
| Michael A Ferrone | Registered representative | Jan 2003 (24y) | ||
| Michael J Mccaffrey | Registered representative | Jan 2003 (24y) | ||
| Onofrio R Cirianni | Registered representative | Jan 2003 (24y) | ||
| Robert J Niehoff | Registered representative | Chartered Financial Consultant | Jan 2003 (24y) | |
| Daniel B Thurm | Registered representative | CFP Chartered Financial Consultant | Jan 2003 (24y) | |
| James A Moore | Registered representative | Jan 2003 (24y) | ||
| Ronald N Ramirez | Registered representative | CFP | Jan 2003 (24y) | |
| Norman Lee Plotkin | Registered representative | Chartered Financial Consultant | Jan 2003 (24y) | |
| Samuel Jeffrey Davis | Registered representative | Chartered Financial Consultant | Jan 2003 (24y) | |
| Frank R Loscalzo | Registered representative | Chartered Financial Consultant | Jan 2003 (24y) | |
| Howard Bruce Brachfeld | Registered representative | Chartered Financial Consultant | Jan 2003 (24y) | |
| Kenneth Alan Horowitz | Registered representative | Chartered Financial Consultant | Jan 2003 (24y) | |
| Larry L Saffer | Registered representative | Jan 2003 (24y) | ||
| Ross B Feldman | Registered representative | CFP Chartered Financial Consultant | Jan 2003 (24y) | |
| Elaine D Ellis | Registered representative | Jan 2003 (24y) | ||
| Chet E Schwartz | Registered representative | Jan 2003 (24y) | ||
| David Bibicoff | Registered representative | Feb 2003 (23y) | ||
| Stephen L Derrick | Registered representative | Chartered Financial Consultant | Feb 2003 (23y) | |
| Anthony R Cucinotta | Registered representative | Feb 2003 (23y) | ||
| Donald J Faughnan | Registered representative | Feb 2003 (23y) | ||
| Howard Jay Elias | Registered representative | Feb 2003 (23y) | ||
| Jeffrey M Neeck | Registered representative | Feb 2003 (23y) | ||
| John A Limongelli | Registered representative | Feb 2003 (23y) | ||
| Kenneth J Detz | Registered representative | Feb 2003 (23y) | ||
| Paul T Vecchione | Registered representative | Feb 2003 (23y) | ||
| Gregory T Galef | Registered representative | CFP | Apr 2003 (23y) | |
| Frederick K Sharbaugh | Registered representative | Jun 2003 (23y) | ||
| Michel R Scheinmann | Registered representative | Chartered Financial Consultant | Jun 2003 (23y) | |
| Parker Bailey | Registered representative | Jun 2003 (23y) | ||
| Travis J St Pierre | Registered representative | Aug 2003 (23y) | ||
| Samuel Eugene Lee | Registered representative | Chartered Financial Consultant | Aug 2003 (23y) | |
| Elozor M Preil | Registered representative | Sep 2003 (23y) | ||
| Robert H Johnson | Registered representative | Chartered Financial Consultant | Oct 2003 (23y) | |
| Molly A Snider | Registered representative | Oct 2003 (23y) | ||
| Thomas E Sherman | Registered representative | Jan 2004 (23y) | ||
| Jonathyn Michael Dropco | Registered representative | Jan 2004 (23y) | ||
| Chip Clarence Busbey | Registered representative | Jan 2004 (23y) | ||
| Michael G Kochis | Registered representative | Feb 2004 (22y) | ||
| Craig T Slaughter | Registered representative | Feb 2004 (22y) | ||
| Lawrence J Rosenthal | Registered representative | Feb 2004 (22y) | ||
| John W Crane | Registered representative | Chartered Financial Consultant | Mar 2004 (22y) | |
| Ashok H Tapadia | Registered representative | Apr 2004 (22y) | ||
| Charles W Stegall | Registered representative | Apr 2004 (22y) | ||
| Ernest W Glass | Registered representative | Apr 2004 (22y) | ||
| Jeffrey D Howard | Registered representative | Chartered Financial Consultant | Apr 2004 (22y) | |
| John F Rosser | Registered representative | Apr 2004 (22y) | ||
| Keith E Taylor | Registered representative | Chartered Financial Consultant | Apr 2004 (22y) | |
| Orrin Rankin Magill | Registered representative | Chartered Financial Consultant | Apr 2004 (22y) | |
| Sandra C Vizner | Registered representative | Apr 2004 (22y) | ||
| Thomas B Pemberton | Registered representative | Chartered Financial Consultant | Apr 2004 (22y) | |
| Michael H Watts | Registered representative | Apr 2004 (22y) | ||
| John W Lentz | Registered representative | Apr 2004 (22y) | ||
| Chau Q Lai | Registered representative | CFP Chartered Financial Consultant | Apr 2004 (22y) | |
| Edwin F Hill | Registered representative | Apr 2004 (22y) | ||
| Gerald S Haynie | Registered representative | Chartered Financial Consultant | Apr 2004 (22y) | |
| Robert B Moore | Registered representative | Chartered Financial Consultant | Apr 2004 (22y) | |
| Myles D Thurston | Registered representative | Chartered Financial Consultant | Apr 2004 (22y) | |
| Warren Phillip Hoppe | Registered representative | Chartered Financial Consultant | Apr 2004 (22y) | |
| Jeffrey A Clark | Registered representative | Apr 2004 (22y) | ||
| Thomas D Wyatt | Registered representative | CFP | Jun 2004 (22y) | |
| Deborah M Baum | Registered representative | Jun 2004 (22y) | ||
| Martin Nachemson | Registered representative | Jun 2004 (22y) | ||
| Chester L Peach | Registered representative | Jul 2004 (22y) | ||
| John W Rachel | Registered representative | CFP | Jul 2004 (22y) | |
| Vincent M Blazewicz | Registered representative | Jul 2004 (22y) | ||
| Angela R Mally | Registered representative | CFP | Jul 2004 (22y) | |
| Jeremy R Clark | Registered representative | Jul 2004 (22y) | ||
| Pamela A Mellor | Registered representative | Jul 2004 (22y) | ||
| Richard L Ray | Registered representative | Aug 2004 (22y) | ||
| Mark W Vannatta | Registered representative | CFP | Sep 2004 (22y) | |
| Freddie Earl Spears | Registered representative | Sep 2004 (22y) | ||
| Charles Grotyohann | Registered representative | CFP Chartered Financial Consultant | Sep 2004 (22y) | |
| Adam J Rolewicz | Registered representative | Oct 2004 (22y) | ||
| Jared S Wolever | Registered representative | Nov 2004 (22y) | ||
| Erin D Knodel | Registered representative | CFP | Dec 2004 (22y) | |
| Joseph M Sciabica | Registered representative | CFP Chartered Financial Consultant | Dec 2004 (22y) | |
| Thomas J Dumas | Registered representative | CFP Chartered Financial Consultant | Jan 2005 (22y) | |
| Mark L Fansler | Registered representative | CFP Chartered Financial Consultant | Jan 2005 (22y) | |
| Michael J Weiss | Registered representative | Jan 2005 (22y) | ||
| Robert Claude Stuyverson | Registered representative | Jan 2005 (22y) | ||
| Robert Phillip Pruett | Registered representative | Feb 2005 (21y) | ||
| George H Moore | Registered representative | Chartered Financial Consultant | Feb 2005 (21y) | |
| Dennis Eugene Myers | Registered representative | Mar 2005 (21y) | ||
| Charles E Fischesser | Registered representative | CFP | Mar 2005 (21y) | |
| Donald J Sestrich | Registered representative | Mar 2005 (21y) | ||
| James P Mcgovern | Registered representative | CFP Chartered Financial Consultant | Mar 2005 (21y) | |
| Richard R Gallipoli | Registered representative | Chartered Financial Consultant | Mar 2005 (21y) | |
| Christopher B Roussel | Registered representative | Apr 2005 (21y) | ||
| Andrew G Brincefield | Registered representative | CFP Chartered Financial Consultant | Apr 2005 (21y) | |
| Thomas C Grant | Registered representative | Chartered Financial Consultant | May 2005 (21y) | |
| Ernest Victor Hammersley | Registered representative | May 2005 (21y) | ||
| Gracio A Garcia | Registered representative | May 2005 (21y) | ||
| Scott L Kaplan | Registered representative | May 2005 (21y) | ||
| John J Nastasi | Registered representative | Chartered Financial Consultant | May 2005 (21y) | |
| John Gerard Bonasso | Registered representative | Chartered Financial Consultant | Jun 2005 (21y) | |
| George E Kavalauskas | Registered representative | Jun 2005 (21y) | ||
| Joseph P Pombriant | Registered representative | Jun 2005 (21y) | ||
| Michael J Ghioto | Registered representative | CFP Chartered Financial Consultant | Jun 2005 (21y) | |
| John H Hollis | Registered representative | Jun 2005 (21y) | ||
| Jonathan F Sullivan | Registered representative | Jun 2005 (21y) | ||
| William A Harris | Registered representative | Jul 2005 (21y) | ||
| Annette Marie Hammortree | Registered representative | Jul 2005 (21y) | ||
| Anthony T Mazzei | Registered representative | Chartered Financial Consultant | Aug 2005 (21y) | |
| Scott R Kieper | Registered representative | Chartered Financial Consultant | Aug 2005 (21y) | |
| Casey L Eden | Registered representative | CFP | Aug 2005 (21y) | |
| Kenneth H Shall | Registered representative | CFP | Sep 2005 (21y) | |
| Jeffrey M Stern | Registered representative | Sep 2005 (21y) | ||
| Asghar A Kazim | Registered representative | CFP Chartered Financial Consultant | Sep 2005 (21y) | |
| Andrea L Nameche | Registered representative | Oct 2005 (21y) | ||
| James A Bricker | Registered representative | Oct 2005 (21y) | ||
| David J Umbenhaur | Registered representative | Chartered Financial Consultant | Oct 2005 (21y) | |
| Jeffrey E Newman | Registered representative | Chartered Financial Consultant | Oct 2005 (21y) | |
| Grant E Segal | Registered representative | Oct 2005 (21y) | ||
| Wayne E. S. Edgar Stebbins Arnold | Registered representative | Chartered Financial Consultant | Oct 2005 (21y) | |
| Carlos Eduardo Veytia | Registered representative | Nov 2005 (21y) | ||
| Charles M Jordan | Registered representative | Chartered Financial Consultant | Nov 2005 (21y) | |
| Charles L Derrick | Registered representative | Chartered Financial Consultant | Nov 2005 (21y) | |
| Joseph D Biegel | Registered representative | CFP | Nov 2005 (21y) | |
| Richard A Belofsky | Registered representative | CFP Chartered Financial Consultant | Nov 2005 (21y) | |
| Michael C Ringel | Registered representative | Dec 2005 (21y) | ||
| Arnold Michael Rosenbaum | Registered representative | Chartered Financial Consultant | Jan 2006 (21y) | |
| Sarah M Cato | Registered representative | CFP Chartered Financial Consultant | Jan 2006 (21y) | |
| Edward C Pryor | Registered representative | CFP | Jan 2006 (21y) | |
| Ashvin H Chheda | Registered representative | Chartered Financial Consultant | Feb 2006 (20y) | |
| Bryan K Touchet | Registered representative | Feb 2006 (20y) | ||
| David A Warner | Registered representative | Feb 2006 (20y) | ||
| David M Ciccarelli | Registered representative | Feb 2006 (20y) | ||
| Donn J Waite | Registered representative | Mar 2006 (20y) | ||
| Andrew S Leven | Registered representative | CFP | Mar 2006 (20y) | |
| Kenneth E Davis | Registered representative | Chartered Financial Consultant | Mar 2006 (20y) | |
| Sarah A Mullane Becker | Registered representative | Mar 2006 (20y) | ||
| Richard B Sedway | Registered representative | Chartered Financial Consultant | Mar 2006 (20y) | |
| Bradley T Cunningham | Registered representative | Mar 2006 (20y) | ||
| Thomas J Cunningham | Registered representative | Mar 2006 (20y) | ||
| William D Murphy | Registered representative | CFP | Mar 2006 (20y) | |
| Richard Calvin Mccool | Registered representative | CFP Chartered Financial Consultant | Mar 2006 (20y) | |
| Mark Andrew Smith | Registered representative | CFP | Apr 2006 (20y) | |
| Laura L Davis | Registered representative | Chartered Financial Consultant | Apr 2006 (20y) | |
| Brett T Keener | Registered representative | CFP | May 2006 (20y) | |
| Gary D Sirak | Registered representative | Chartered Financial Consultant | May 2006 (20y) | |
| Joseph H Guyton | Registered representative | May 2006 (20y) | ||
| Brian S Simon | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| Brian N Slabaugh | Registered representative | Jun 2006 (20y) | ||
| Mary K Reilly Will | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| Richard M Rubenstein | Registered representative | Jun 2006 (20y) | ||
| Thomas E Keener | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| John Wales Reeder | Registered representative | Jun 2006 (20y) | ||
| Alfred P Robertson | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| Jerry Andrew Hemmer | Registered representative | Jun 2006 (20y) | ||
| John T Shevlin | Registered representative | Jun 2006 (20y) | ||
| Brooks Macpherson Gregory | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| Charles Marion Buffington | Registered representative | CFP Chartered Financial Consultant | Jun 2006 (20y) | |
| Donald B Stonecipher | Registered representative | Jun 2006 (20y) | ||
| William H Martin | Registered representative | Jun 2006 (20y) | ||
| David M Justice | Registered representative | Jun 2006 (20y) | ||
| John Thomas Mccollum | Registered representative | CFP | Jun 2006 (20y) | |
| Keith R Dykes | Registered representative | Jun 2006 (20y) | ||
| Paul C Ellington | Registered representative | CFP Chartered Financial Consultant | Jun 2006 (20y) | |
| Paul E Demersseman | Registered representative | Jun 2006 (20y) | ||
| Robert J Jaffe | Registered representative | Jun 2006 (20y) | ||
| Robert L Harbison | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| Thomas M Rosser | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| Therese Frances Frances Cutter | Registered representative | Jun 2006 (20y) | ||
| Charles A Villano | Registered representative | CFP | Jul 2006 (20y) | |
| Warren G Woodham | Registered representative | Jul 2006 (20y) | ||
| William P Coffey | Registered representative | Jul 2006 (20y) | ||
| Michael Steven Klotz | Registered representative | CFP | Jul 2006 (20y) | |
| Darrell L Dawes | Registered representative | Chartered Financial Consultant | Jul 2006 (20y) | |
| Richard J Bell | Registered representative | CFP | Jul 2006 (20y) | |
| Thomas F Bauman | Registered representative | CFP Chartered Financial Consultant | Jul 2006 (20y) | |
| Elaine Maria Bennett | Registered representative | Aug 2006 (20y) | ||
| William P Whelan | Registered representative | Aug 2006 (20y) | ||
| Chris Neil Whitman | Registered representative | Chartered Financial Consultant | Aug 2006 (20y) | |
| John J Langford | Registered representative | CFP Chartered Financial Consultant | Aug 2006 (20y) | |
| Geoffrey L Gardner | Registered representative | Sep 2006 (20y) | ||
| Adam D Cline | Registered representative | CFP Chartered Financial Consultant | Sep 2006 (20y) | |
| David J Gillard | Registered representative | Sep 2006 (20y) | ||
| Alfonso Reda | Registered representative | Sep 2006 (20y) | ||
| Robert L Koscik | Registered representative | Oct 2006 (20y) | ||
| Andrew James Peterson | Registered representative | Oct 2006 (20y) | ||
| Gregory J Current | Registered representative | Oct 2006 (20y) | ||
| Samuel W Robinson | Registered representative | CFP | Oct 2006 (20y) | |
| Kelly Glen Kidwell | Registered representative | Oct 2006 (20y) | ||
| Donald F Taylor | Registered representative | Dec 2006 (20y) | ||
| Roy L Rasera | Registered representative | Chartered Financial Consultant | Dec 2006 (20y) | |
| William M Gorman | Registered representative | Dec 2006 (20y) | ||
| Michael Evan Mederrick | Registered representative | Jan 2007 (20y) | ||
| Mark Leslie Poitras | Registered representative | Chartered Financial Consultant | Jan 2007 (20y) | |
| Genie B Theimer | Registered representative | Chartered Financial Consultant | Jan 2007 (20y) | |
| Zvi Shtifter | Registered representative | Jan 2007 (20y) | ||
| Peter Albert Foster | Registered representative | Jan 2007 (20y) | ||
| Jeffrey W Kirshner | Registered representative | Personal Financial Specialist | Jan 2007 (20y) | |
| David Gibson | Registered representative | Jan 2007 (20y) | ||
| Ryan M Coulter | Registered representative | CFP | Jan 2007 (20y) | |
| Neal C Brincefield | Registered representative | Jan 2007 (20y) | ||
| Christopher J Lema | Registered representative | Feb 2007 (19y) | ||
| Vincent James Saccone | Registered representative | Feb 2007 (19y) | ||
| Richard Wayne Woody | Registered representative | Feb 2007 (19y) | ||
| James W Dargusch | Registered representative | Mar 2007 (19y) | ||
| Marguerite Carlos Rangel | Registered representative | Chartered Financial Consultant | Mar 2007 (19y) | |
| Michael K Donofrio | Registered representative | CFP | Apr 2007 (19y) | |
| David V Orsolino | Registered representative | CFP | Apr 2007 (19y) | |
| Keith A Snyder | Registered representative | May 2007 (19y) | ||
| Jason G Giorgio | Registered representative | CFP | May 2007 (19y) | |
| William S Marbit | Registered representative | May 2007 (19y) | ||
| Kurt Mathew Schaffer | Registered representative | Personal Financial Specialist | May 2007 (19y) | |
| Christopher A Milligan | Registered representative | Chartered Financial Consultant | Jun 2007 (19y) | |
| Dale A Pieper | Registered representative | Jun 2007 (19y) | ||
| Jeffrey A Sirak | Registered representative | Chartered Financial Consultant | Jul 2007 (19y) | |
| Jason M Stam | Registered representative | Jul 2007 (19y) | ||
| Richard K Beckley | Registered representative | CFP | Jul 2007 (19y) | |
| Darren M Violette | Registered representative | Chartered Financial Consultant | Jul 2007 (19y) | |
| Douglas M Brauer | Registered representative | Jul 2007 (19y) | ||
| Charles M Williams | Registered representative | Jul 2007 (19y) | ||
| David B Moskovitz | Registered representative | Aug 2007 (19y) | ||
| Scot Earl Karr | Registered representative | CFP | Aug 2007 (19y) | |
| Jason Lee Doviak | Registered representative | Aug 2007 (19y) | ||
| Gregory K Balogh | Registered representative | Aug 2007 (19y) | ||
| Matthew John Vanmaanen | Registered representative | CFP Chartered Financial Consultant | Sep 2007 (19y) | |
| Nathan M Perlmutter | Registered representative | Chartered Financial Consultant | Oct 2007 (19y) | |
| Craig R Wenger | Registered representative | CFP | Oct 2007 (19y) | |
| Peter P Congilose | Registered representative | Oct 2007 (19y) | ||
| Adolphe P Cyr | Registered representative | Chartered Financial Consultant | Oct 2007 (19y) | |
| Carl A Lutz | Registered representative | Chartered Financial Consultant | Nov 2007 (19y) | |
| Amy Sheril Sonstein | Registered representative | Personal Financial Specialist | Nov 2007 (19y) | |
| Richard R Pasick | Registered representative | Chartered Financial Consultant | Nov 2007 (19y) | |
| Robert M Bell | Registered representative | Dec 2007 (19y) | ||
| Nebojsa Subotic | Registered representative | Jan 2008 (19y) | ||
| Richard Paul Gribinas | Registered representative | CFP Chartered Financial Consultant | Jan 2008 (19y) | |
| Michael R Pandolpho | Registered representative | Jan 2008 (19y) | ||
| Leonard Eugene Hornung | Registered representative | Chartered Financial Consultant | Jan 2008 (19y) | |
| James P Dematteo | Registered representative | CFP | Jan 2008 (19y) | |
| Paul B Ellis | Registered representative | Jan 2008 (19y) | ||
| James A Violette | Registered representative | Chartered Financial Consultant | Jan 2008 (19y) | |
| Scott A Kehoe | Registered representative | Chartered Financial Consultant | Jan 2008 (19y) | |
| Aaron M Puttroff | Registered representative | CFP | Feb 2008 (19y) | |
| Ari Stonehill | Registered representative | Feb 2008 (18y) | ||
| Lawrence B Keller | Registered representative | CFP Chartered Financial Consultant | Feb 2008 (18y) | |
| Brian Sykes | Registered representative | CFP Chartered Financial Consultant | Feb 2008 (18y) | |
| Garrett Palmer Smith | Registered representative | Mar 2008 (18y) | ||
| Austin C England | Registered representative | Mar 2008 (18y) | ||
| Michael Stuart Cohen | Registered representative | Mar 2008 (18y) | ||
| Robert D Markwalter | Registered representative | Mar 2008 (18y) | ||
| Christine Fresco | Registered representative | Mar 2008 (18y) | ||
| Jay M Pollack | Registered representative | Chartered Financial Consultant | Mar 2008 (18y) | |
| Jason Barry Greene | Registered representative | Mar 2008 (18y) | ||
| Michael J Schweitzer | Registered representative | Mar 2008 (18y) | ||
| Robert C. Craig Kievit | Registered representative | Apr 2008 (18y) | ||
| Michael H Olivia | Registered representative | CFP | Apr 2008 (18y) | |
| Theodore Franz Stiller | Registered representative | May 2008 (18y) | ||
| John G Balzer | Registered representative | May 2008 (18y) | ||
| Nicholas Panagiotakis | Registered representative | CFP | May 2008 (18y) | |
| Robert F Loscalzo | Registered representative | Chartered Financial Consultant | Jun 2008 (18y) | |
| Timothy L Schafer | Registered representative | Jun 2008 (18y) | ||
| Ali Abdul Rahman | Registered representative | Chartered Financial Consultant | Jul 2008 (18y) | |
| Daniel R Price | Registered representative | Jul 2008 (18y) | ||
| Luisa M Bravo | Registered representative | Chartered Financial Consultant | Jul 2008 (18y) | |
| Christopher Charles Ciani | Registered representative | Aug 2008 (18y) | ||
| Joseph Francis Knittel | Registered representative | Aug 2008 (18y) | ||
| Joseph Daniel Salem | Registered representative | Aug 2008 (18y) | ||
| James G Fegan | Registered representative | Sep 2008 (18y) | ||
| Daniel W Pace | Registered representative | Sep 2008 (18y) | ||
| Dean M Rothman | Registered representative | Oct 2008 (18y) | ||
| Gregory P Hubbard | Registered representative | CFP | Oct 2008 (18y) | |
| John P Rutkowski | Registered representative | Nov 2008 (18y) | ||
| Donald H Gottfried | Registered representative | CFP | Nov 2008 (18y) | |
| Mark D Lowe | Registered representative | CFP Chartered Financial Consultant | Dec 2008 (18y) | |
| Sangita Joshi Rousseau | Registered representative | Jan 2009 (18y) | ||
| Thomas J Breckenridge | Registered representative | Chartered Financial Consultant | Jan 2009 (18y) | |
| Eliot D Sokalsky | Registered representative | Jan 2009 (18y) | ||
| Sondra Joyce Goldstein | Registered representative | Jan 2009 (18y) | ||
| Michael Erchick | Registered representative | Chartered Financial Consultant | Jan 2009 (18y) | |
| Ryan D Schulte | Registered representative | CFP | Feb 2009 (17y) | |
| Michael G Vonebers | Registered representative | Feb 2009 (17y) | ||
| William C Miller | Registered representative | Chartered Financial Consultant | Feb 2009 (17y) | |
| Aleksandar S Jakovljevic | Registered representative | Mar 2009 (17y) | ||
| Billy J Gaskins | Registered representative | Mar 2009 (17y) | ||
| James D Hegland | Registered representative | Mar 2009 (17y) | ||
| Michael Edward Staggs | Registered representative | Mar 2009 (17y) | ||
| John E Spottke | Registered representative | Chartered Financial Consultant | Apr 2009 (17y) | |
| Randall J Whitman | Registered representative | CFP Chartered Financial Consultant | Apr 2009 (17y) | |
| Bessann H Watson | Registered representative | CFP | May 2009 (17y) | |
| Mordechai Meisels | Registered representative | May 2009 (17y) | ||
| Shane Matthew Rogers | Registered representative | May 2009 (17y) | ||
| Thomas S Taylor | Registered representative | May 2009 (17y) | ||
| Jeffrey Charles Hansen | Registered representative | May 2009 (17y) | ||
| Tracy S Shinn | Registered representative | May 2009 (17y) | ||
| Sandra L Handler | Registered representative | Chartered Financial Consultant | May 2009 (17y) | |
| David M Parkes | Registered representative | CFP | Jun 2009 (17y) | |
| Evan D Wohl | Registered representative | CFP Chartered Financial Consultant | Jul 2009 (17y) | |
| Andrew Edward Zimmerman | Registered representative | CFP | Jul 2009 (17y) | |
| Robert Michael Hardgrove | Registered representative | Chartered Financial Consultant | Jul 2009 (17y) | |
| William Margolis | Registered representative | Jul 2009 (17y) | ||
| Daniel M Paikin | Registered representative | Jul 2009 (17y) | ||
| William E Inman | Registered representative | CFP Chartered Financial Consultant | Aug 2009 (17y) | |
| Gregory H Harris | Registered representative | CFP Chartered Financial Consultant | Aug 2009 (17y) | |
| Patricia M Picardi | Registered representative | Chartered Financial Consultant | Aug 2009 (17y) | |
| Steven P Phillips | Registered representative | Sep 2009 (17y) | ||
| Anthony G Bianchi | Registered representative | Chartered Financial Consultant | Oct 2009 (17y) | |
| Steven D Earhart | Registered representative | CFP Chartered Financial Consultant | Oct 2009 (17y) | |
| Jeffrey L Pawlowski | Registered representative | Oct 2009 (17y) | ||
| Arthur W Kube | Registered representative | Nov 2009 (17y) | ||
| Steven Michael Wilson | Registered representative | Nov 2009 (17y) | ||
| Bryndon C Skelton | Registered representative | Nov 2009 (17y) | ||
| David J Suckey | Registered representative | Dec 2009 (17y) | ||
| Stewart W Davis | Registered representative | Dec 2009 (17y) | ||
| Gregory Paul Stamas | Registered representative | Jan 2010 (17y) | ||
| Damon R Gruss | Registered representative | Jan 2010 (17y) | ||
| Raymond Paul Pelanda | Registered representative | Jan 2010 (17y) | ||
| Mark W Smiley | Registered representative | Jan 2010 (17y) | ||
| David J Najim | Registered representative | Jan 2010 (17y) | ||
| Kevin D Tubbs | Registered representative | Feb 2010 (16y) | ||
| Sandra M Scolari | Registered representative | CFP | Feb 2010 (16y) | |
| Boyd F Cauble | Registered representative | Feb 2010 (16y) | ||
| Andrew E Petrone | Registered representative | Mar 2010 (16y) | ||
| John H Akoury | Registered representative | CFP | Mar 2010 (16y) | |
| Jeffrey D Plummer | Registered representative | Mar 2010 (16y) | ||
| Bryon Kibildis | Registered representative | Apr 2010 (16y) | ||
| Michael J Lahurd | Registered representative | Apr 2010 (16y) | ||
| Elie Emanuel Engler | Registered representative | CFP Chartered Financial Consultant | May 2010 (16y) | |
| Christopher Michael Weber | Registered representative | May 2010 (16y) | ||
| Alisa Le | Registered representative | May 2010 (16y) | ||
| Thomas Pallogudis | Registered representative | Jun 2010 (16y) | ||
| Geoffrey F Hoff | Registered representative | Jul 2010 (16y) | ||
| Marko Mijuskovic | Registered representative | Aug 2010 (16y) | ||
| Martin Farrell Lowenthal | Registered representative | Chartered Financial Consultant | Sep 2010 (16y) | |
| Anju Sharma | Registered representative | Sep 2010 (16y) | ||
| Devon Joel Cury | Registered representative | Sep 2010 (16y) | ||
| Lisa R Hund | Registered representative | Chartered Financial Consultant | Sep 2010 (16y) | |
| Aaron M Mcdonald | Registered representative | Sep 2010 (16y) | ||
| John Camillo Marino | Registered representative | Oct 2010 (16y) | ||
| Zachary L Allen | Registered representative | Oct 2010 (16y) | ||
| Faisal Shahed | Registered representative | Oct 2010 (16y) | ||
| Sara C Fordyce | Registered representative | Chartered Financial Consultant | Oct 2010 (16y) | |
| Brian M Holmes | Registered representative | Oct 2010 (16y) | ||
| James E Higginbotham | Registered representative | CFP | Nov 2010 (16y) | |
| Christopher H Rohan | Registered representative | CFP Chartered Financial Consultant | Nov 2010 (16y) | |
| James D Murphy | Registered representative | Chartered Financial Consultant | Feb 2011 (16y) | |
| Gordon L Willoughby | Registered representative | Feb 2011 (15y) | ||
| Sanford M Aderson | Registered representative | Feb 2011 (15y) | ||
| Aaron L Brinks | Registered representative | Chartered Financial Consultant | Feb 2011 (15y) | |
| Salvatore Petruzzellis | Registered representative | Chartered Financial Consultant | Feb 2011 (15y) | |
| Alan Douglas Lott | Registered representative | Mar 2011 (15y) | ||
| Brian D Smith | Registered representative | CFP | Apr 2011 (15y) | |
| Lisa A Valli Steliotes | Registered representative | Apr 2011 (15y) | ||
| Meyer S Grinberg | Registered representative | Apr 2011 (15y) | ||
| Ronald A Gestiehr | Registered representative | Apr 2011 (15y) | ||
| Adam P Redenshek | Registered representative | Apr 2011 (15y) | ||
| Eugene F Disanti | Registered representative | Apr 2011 (15y) | ||
| Mark C Pietsch | Registered representative | Apr 2011 (15y) | ||
| Gary C Mcgovern | Registered representative | Apr 2011 (15y) | ||
| William Gerard Franz | Registered representative | Apr 2011 (15y) | ||
| Paul J Pantano | Registered representative | Chartered Financial Consultant | Apr 2011 (15y) | |
| Bryan M Kuderna | Registered representative | CFP | Apr 2011 (15y) | |
| Amy S Lampert | Registered representative | Apr 2011 (15y) | ||
| John W Ransom | Registered representative | Chartered Financial Consultant | May 2011 (15y) | |
| Erik J Antener | Registered representative | May 2011 (15y) | ||
| Laurie Helene Goldsmith Heitner | Registered representative | Chartered Financial Consultant | May 2011 (15y) | |
| Stanley J Helm | Registered representative | Jun 2011 (15y) | ||
| Michael L Relvas | Registered representative | CFP | Jun 2011 (15y) | |
| Hui Liang Lee | Registered representative | Jun 2011 (15y) | ||
| Kevin J Linsey | Registered representative | Chartered Financial Consultant | Jul 2011 (15y) | |
| Patrick C Dickson | Registered representative | Jul 2011 (15y) | ||
| Solomon M Kafoure | Registered representative | Jul 2011 (15y) | ||
| Kamran Ellini | Registered representative | CFP Chartered Financial Consultant | Aug 2011 (15y) | |
| Spencer Garret Friedman | Registered representative | CFP | Aug 2011 (15y) | |
| David W Cerchio | Registered representative | Aug 2011 (15y) | ||
| James M Desrocher | Registered representative | Sep 2011 (15y) | ||
| David M Greenberg | Registered representative | Sep 2011 (15y) | ||
| Thomas James Ulery | Registered representative | Sep 2011 (15y) | ||
| Mitchell Coopersmith | Registered representative | Sep 2011 (15y) | ||
| Matthew J Mccleary | Registered representative | Chartered Financial Consultant | Oct 2011 (15y) | |
| Garrett M Mcmillan | Registered representative | Oct 2011 (15y) | ||
| Reino Truumees | Registered representative | Nov 2011 (15y) | ||
| Gerald J Clericuzio | Registered representative | Nov 2011 (15y) | ||
| Patrick D Callahan | Registered representative | Nov 2011 (15y) | ||
| Louis R Mohn | Registered representative | Nov 2011 (15y) | ||
| Frances E Aguilera | Registered representative | Nov 2011 (15y) | ||
| Matthew Steven Binstock | Registered representative | Nov 2011 (15y) | ||
| David R Alter | Registered representative | Nov 2011 (15y) | ||
| Evan Samuel Harnik | Registered representative | Nov 2011 (15y) | ||
| Jay Theodore Bauer | Registered representative | Nov 2011 (15y) | ||
| Jason S Oshins | Registered representative | Jan 2012 (15y) | ||
| Nochum C Wilner | Registered representative | Jan 2012 (15y) | ||
| Brandon T Capps | Registered representative | Jan 2012 (15y) | ||
| Gagandeep K Sahni | Registered representative | Jan 2012 (15y) | ||
| Michael John Palios | Registered representative | Feb 2012 (14y) | ||
| Donald D Beattie | Registered representative | CFP | Feb 2012 (14y) | |
| James Allen Cox | Registered representative | Feb 2012 (14y) | ||
| Michael T Moore | Registered representative | Feb 2012 (14y) | ||
| Thomas Jefferson Sibley | Registered representative | Feb 2012 (14y) | ||
| Steven Brett Hart | Registered representative | Feb 2012 (14y) | ||
| Stephen Ellison Norris | Registered representative | CFP | Feb 2012 (14y) | |
| Michael A Thompson | Registered representative | Feb 2012 (14y) | ||
| Michael David Schwartz | Registered representative | Feb 2012 (14y) | ||
| Patricia Ann Kovacic | Registered representative | Feb 2012 (14y) | ||
| Tony A Montini | Registered representative | Feb 2012 (14y) | ||
| Marc A Smith | Registered representative | Mar 2012 (14y) | ||
| Andrew G Romano | Registered representative | Mar 2012 (14y) | ||
| Gerard J Tavella | Registered representative | Mar 2012 (14y) | ||
| Jonathan H Drewes | Registered representative | CFP | Mar 2012 (14y) | |
| Michael B Klarfeld | Registered representative | Chartered Financial Consultant | Apr 2012 (14y) | |
| Justin A Makris | Registered representative | Apr 2012 (14y) | ||
| Andrea Lauren Chases | Registered representative | Apr 2012 (14y) | ||
| John A Ware | Registered representative | Chartered Financial Consultant | May 2012 (14y) | |
| Christopher Ross Pierce | Registered representative | CFP Chartered Financial Consultant | May 2012 (14y) | |
| Vernon T Purcell | Registered representative | Chartered Financial Consultant | May 2012 (14y) | |
| Robert F Soler | Registered representative | CFA | May 2012 (14y) | |
| Eileen M Rice | Registered representative | Jun 2012 (14y) | ||
| Pierre E Bourg | Registered representative | Jun 2012 (14y) | ||
| Jeffrey A Bingham | Registered representative | CFP | Jun 2012 (14y) | |
| Nicole K Pilo | Registered representative | Jun 2012 (14y) | ||
| Ben J Sartin | Registered representative | Jul 2012 (14y) | ||
| Raul A Gutierrez | Registered representative | Jul 2012 (14y) | ||
| George D Lehmann | Registered representative | Jul 2012 (14y) | ||
| Alan Martin Bacharach | Registered representative | Chartered Financial Consultant | Jul 2012 (14y) | |
| Christopher T Long | Registered representative | CFP Chartered Financial Consultant | Sep 2012 (14y) | |
| Gregg K Helman | Registered representative | CFP | Sep 2012 (14y) | |
| Howard A Cohen | Registered representative | Sep 2012 (14y) | ||
| Hiram Miguel Arnaud | Registered representative | Sep 2012 (14y) | ||
| Benjamin M Teichman | Registered representative | Oct 2012 (14y) | ||
| Misty M Weltzien | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Thomas J Bellaro | Registered representative | Nov 2012 (14y) | ||
| Brent T Conway | Registered representative | Jan 2013 (14y) | ||
| Christopher J Burnett | Registered representative | Jan 2013 (14y) | ||
| Marvin Chad Stockett | Registered representative | CFP | Jan 2013 (14y) | |
| Patrick Curtis Thomas | Registered representative | Jan 2013 (14y) | ||
| Noal Craig Goldfarb | Registered representative | CFA | Jan 2013 (14y) | |
| Jeffrey I Ward | Registered representative | Feb 2013 (13y) | ||
| Bart C Singleton | Registered representative | Feb 2013 (13y) | ||
| Matthew D Purzycki | Registered representative | CFP | Feb 2013 (13y) | |
| Michael Christopher Maresca | Registered representative | Chartered Financial Consultant | Feb 2013 (13y) | |
| Stephen A Shealy | Registered representative | Feb 2013 (13y) | ||
| Justin Holley | Registered representative | Feb 2013 (13y) | ||
| William C Shelton | Registered representative | Chartered Financial Consultant | Mar 2013 (13y) | |
| Matthew Wade Shipman | Registered representative | Mar 2013 (13y) | ||
| Anthony J Corio | Registered representative | Mar 2013 (13y) | ||
| Patrick Shawn Thebus | Registered representative | Mar 2013 (13y) | ||
| Patrick K Collins | Registered representative | CFP | Mar 2013 (13y) | |
| Ilona Brandt Tom | Registered representative | Apr 2013 (13y) | ||
| James Roche | Registered representative | CFP Chartered Financial Consultant | Apr 2013 (13y) | |
| Jason A Frederico | Registered representative | CFP Chartered Financial Consultant | Apr 2013 (13y) | |
| Steven E Romanowski | Registered representative | Apr 2013 (13y) | ||
| Amanda M Salo | Registered representative | CFP | Apr 2013 (13y) | |
| Sean R Stuyverson | Registered representative | Apr 2013 (13y) | ||
| Donna H Katz | Registered representative | Chartered Financial Consultant | May 2013 (13y) | |
| Reagan H Wolfe | Registered representative | Chartered Financial Consultant | May 2013 (13y) | |
| Richard Parmele Paine | Registered representative | Jun 2013 (13y) | ||
| Ryan Christopher Brace | Registered representative | Jun 2013 (13y) | ||
| David P Walker | Registered representative | Jun 2013 (13y) | ||
| Michele Lee Fine | Registered representative | Jun 2013 (13y) | ||
| Adam W Whicker | Registered representative | Jun 2013 (13y) | ||
| Rafael Ekstein | Registered representative | Jun 2013 (13y) | ||
| Rebecca L Novin Cannon | Registered representative | Jul 2013 (13y) | ||
| Christina Ah Reum Oh | Registered representative | CFP Chartered Financial Consultant | Jul 2013 (13y) | |
| Jason S Lurie | Registered representative | Jul 2013 (13y) | ||
| Andrew Morgan White | Registered representative | Jul 2013 (13y) | ||
| Morris Eugene Mete | Registered representative | CFP | Jul 2013 (13y) | |
| Vladimir Sasic | Registered representative | CFP Chartered Financial Consultant | Aug 2013 (13y) | |
| Brian J Cunniff | Registered representative | Aug 2013 (13y) | ||
| Melanie Ann Werling | Registered representative | Aug 2013 (13y) | ||
| Adam B Schlossberg | Registered representative | CFP | Sep 2013 (13y) | |
| Charles S Howard | Registered representative | Sep 2013 (13y) | ||
| Jonathan S Douglas | Registered representative | CFP Chartered Financial Consultant | Sep 2013 (13y) | |
| Eric M Bloom | Registered representative | CFP | Sep 2013 (13y) | |
| Patrick J Kenny | Registered representative | CFP | Sep 2013 (13y) | |
| Michael G Petrone | Registered representative | CFP | Sep 2013 (13y) | |
| David J Parsels | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| Jeanne Ann Moir | Registered representative | Oct 2013 (13y) | ||
| Ernest A Draper | Registered representative | CFP | Nov 2013 (13y) | |
| Robert D Bukacek | Registered representative | Nov 2013 (13y) | ||
| Mark Robert Robert Lange | Registered representative | Nov 2013 (13y) | ||
| William B Waterbury | Registered representative | Nov 2013 (13y) | ||
| Matthew Charles Brady | Registered representative | Nov 2013 (13y) | ||
| Robert A Holmes | Registered representative | Chartered Financial Consultant | Nov 2013 (13y) | |
| Christopher E Wenger | Registered representative | Chartered Financial Consultant | Nov 2013 (13y) | |
| Barton S Pearce | Registered representative | Jan 2014 (13y) | ||
| Gordon L Brookhart | Registered representative | Jan 2014 (13y) | ||
| Taylor K Wong | Registered representative | Jan 2014 (13y) | ||
| David B Foster | Registered representative | Jan 2014 (13y) | ||
| David J Seidelmann | Registered representative | CFP | Jan 2014 (13y) | |
| Dustin J Peltier | Registered representative | CFP | Jan 2014 (13y) | |
| Heather Christine Bantle | Registered representative | Jan 2014 (13y) | ||
| Jeffrey A Foster | Registered representative | Jan 2014 (13y) | ||
| Joseph A Barwick | Registered representative | Jan 2014 (13y) | ||
| Matthew James Hermann | Registered representative | Jan 2014 (13y) | ||
| Nancy Wurman Schwartz | Registered representative | Jan 2014 (13y) | ||
| Shawn Leigh Leigh Lemp | Registered representative | Jan 2014 (13y) | ||
| Steven J Hegarty | Registered representative | Jan 2014 (13y) | ||
| Timothy D Foster | Registered representative | Jan 2014 (13y) | ||
| Patrick G Manning | Registered representative | Jan 2014 (13y) | ||
| Jean M Hegarty | Registered representative | Jan 2014 (13y) | ||
| Dustin A Dawes | Registered representative | Chartered Financial Consultant | Jan 2014 (13y) | |
| Richard A Pope | Registered representative | Jan 2014 (13y) | ||
| John Roger Mills | Registered representative | Feb 2014 (12y) | ||
| Thomas Donald Seeko | Registered representative | Feb 2014 (12y) | ||
| Andrew Joseph Guyton | Registered representative | Feb 2014 (12y) | ||
| Angela M Foxx | Registered representative | Feb 2014 (12y) | ||
| Anthony L Pooler | Registered representative | Mar 2014 (12y) | ||
| Timothy J Faughnan | Registered representative | CFP | Mar 2014 (12y) | |
| Peter M Maino | Registered representative | Mar 2014 (12y) | ||
| Phillip G Henry | Registered representative | Mar 2014 (12y) | ||
| Gregory A Ahrens | Registered representative | CFP Chartered Financial Consultant | Apr 2014 (12y) | |
| James D Earhart | Registered representative | Apr 2014 (12y) | ||
| John S Geretz | Registered representative | Apr 2014 (12y) | ||
| Laurence A Bransgrove | Registered representative | CFP Chartered Financial Consultant | May 2014 (12y) | |
| John Harold Spoleti | Registered representative | May 2014 (12y) | ||
| Travis E Scribner | Registered representative | May 2014 (12y) | ||
| Marylou Rodgers | Registered representative | May 2014 (12y) | ||
| Michael P O Sullivan | Registered representative | Jun 2014 (12y) | ||
| Alexander Bradley Collins | Registered representative | Jun 2014 (12y) | ||
| Patrick B Hauge | Registered representative | Jun 2014 (12y) | ||
| Brad R Champion | Registered representative | Chartered Financial Consultant | Jun 2014 (12y) | |
| Leigh Alan Mccloskey | Registered representative | Jun 2014 (12y) | ||
| Diane L Yee | Registered representative | Jun 2014 (12y) | ||
| Gregory T George | Registered representative | Jun 2014 (12y) | ||
| Jeffery James Oconnell | Registered representative | Jun 2014 (12y) | ||
| Michael Christopher Schulte | Registered representative | Jul 2014 (12y) | ||
| Jon D Marker | Registered representative | Jul 2014 (12y) | ||
| Seth M Arndt | Registered representative | Jul 2014 (12y) | ||
| Christopher M Deyoung | Registered representative | CFP | Jul 2014 (12y) | |
| Brennan G Drew | Registered representative | Aug 2014 (12y) | ||
| Michael Allen Waterhouse | Registered representative | Sep 2014 (12y) | ||
| Phyllis Ann Williams | Registered representative | Sep 2014 (12y) | ||
| Nathan A Pierce | Registered representative | Sep 2014 (12y) | ||
| Christine Lapidus | Registered representative | Sep 2014 (12y) | ||
| Cheryl P Donnelly | Registered representative | Oct 2014 (12y) | ||
| Scott L Grotelueschen | Registered representative | Oct 2014 (12y) | ||
| Brian P Daly | Registered representative | Oct 2014 (12y) | ||
| Larry E Mott | Registered representative | Oct 2014 (12y) | ||
| Andrew C Matthieson | Registered representative | Oct 2014 (12y) | ||
| Alisa Chatham | Registered representative | Oct 2014 (12y) | ||
| Robert H Furlong | Registered representative | Oct 2014 (12y) | ||
| Corey T Clark | Registered representative | Nov 2014 (12y) | ||
| Kenneth L Alter | Registered representative | Nov 2014 (12y) | ||
| Timothy J Urban | Registered representative | Nov 2014 (12y) | ||
| Benjamin L Nichols | Registered representative | Nov 2014 (12y) | ||
| Jose O Segura | Registered representative | Nov 2014 (12y) | ||
| Matthew James Flannery | Registered representative | Dec 2014 (12y) | ||
| Matthew C Pararo | Registered representative | Dec 2014 (12y) | ||
| Joseph Long | Registered representative | Dec 2014 (12y) | ||
| Matthew Shane Buggey | Registered representative | CFP | Dec 2014 (12y) | |
| Benjamin J Bush | Registered representative | Dec 2014 (12y) | ||
| Eric A Rothman | Registered representative | Dec 2014 (12y) | ||
| Eric David Luallen | Registered representative | Jan 2015 (12y) | ||
| Alexander James Nosal | Registered representative | Jan 2015 (12y) | ||
| Anthony J Trimboli | Registered representative | Jan 2015 (12y) | ||
| Brian C Grande | Registered representative | Jan 2015 (12y) | ||
| Michael A Campbell | Registered representative | Jan 2015 (12y) | ||
| Nancy P Garrison | Registered representative | CFP Chartered Financial Consultant | Feb 2015 (11y) | |
| Travis J Winder | Registered representative | Feb 2015 (11y) | ||
| Eli Retek | Registered representative | Feb 2015 (11y) | ||
| Robert Charles Angel | Registered representative | Feb 2015 (11y) | ||
| Cory L Morrison | Registered representative | Chartered Financial Consultant | Feb 2015 (11y) | |
| Ryan Parker Burklo | Registered representative | Feb 2015 (11y) | ||
| Douglas Beebe | Registered representative | Mar 2015 (11y) | ||
| James David Leatherman | Registered representative | Mar 2015 (11y) | ||
| Allison K Henek | Registered representative | Mar 2015 (11y) | ||
| Gregory R Breitman | Registered representative | Mar 2015 (11y) | ||
| Jonathan Ross Rosenbaum | Registered representative | Mar 2015 (11y) | ||
| Michael Dean Harris | Registered representative | Mar 2015 (11y) | ||
| Paul James Rennie | Registered representative | Apr 2015 (11y) | ||
| Van A Ewing | Registered representative | Apr 2015 (11y) | ||
| Nichole Marie Mayer | Registered representative | CFP | Apr 2015 (11y) | |
| Eric Matthew Mcdermott | Registered representative | Chartered Financial Consultant | Apr 2015 (11y) | |
| Neill Byron Turner | Registered representative | Apr 2015 (11y) | ||
| David P Reardon | Registered representative | May 2015 (11y) | ||
| Evaristo Gonzalez | Registered representative | May 2015 (11y) | ||
| Joseph B Fitzgerald | Registered representative | CFP | May 2015 (11y) | |
| Charles M Palma | Registered representative | Chartered Financial Consultant | May 2015 (11y) | |
| Jonathan P Codispoti | Registered representative | May 2015 (11y) | ||
| Rick Allen Burger | Registered representative | Jun 2015 (11y) | ||
| Michael A Oliver | Registered representative | Chartered Financial Consultant | Jun 2015 (11y) | |
| Daniel P Mullane | Registered representative | Jun 2015 (11y) | ||
| Ivan W Mercer | Registered representative | Jul 2015 (11y) | ||
| Dianne C Ramos | Registered representative | Jul 2015 (11y) | ||
| Michael A Hartwig | Registered representative | Jul 2015 (11y) | ||
| Kenneth Michael Bogert | Registered representative | Jul 2015 (11y) | ||
| Brian David Strickland | Registered representative | Aug 2015 (11y) | ||
| Matthew Douglas Diteresa | Registered representative | Aug 2015 (11y) | ||
| Leonard C Cohen | Registered representative | Sep 2015 (11y) | ||
| Daniel R Mullaney | Registered representative | Sep 2015 (11y) | ||
| Kenneth E Cusick | Registered representative | Oct 2015 (11y) | ||
| Melina A Degelsmith | Registered representative | Chartered Financial Consultant | Oct 2015 (11y) | |
| Rod A Crews | Registered representative | Oct 2015 (11y) | ||
| Timothy Andrew Heath | Registered representative | Nov 2015 (11y) | ||
| Antonio Demerio Jenkins | Registered representative | Nov 2015 (11y) | ||
| Gary K Blum | Registered representative | Nov 2015 (11y) | ||
| Sherri B London | Registered representative | Nov 2015 (11y) | ||
| Christopher William Martinez | Registered representative | Dec 2015 (11y) | ||
| Jay M Bartley | Registered representative | Dec 2015 (11y) | ||
| Austin Kendall Lentz | Registered representative | Dec 2015 (11y) | ||
| Michael I Mcsweeney | Registered representative | Dec 2015 (11y) | ||
| Paul Joseph Fochler | Registered representative | Dec 2015 (11y) | ||
| Bradley C Roach | Registered representative | Jan 2016 (11y) | ||
| Bradly A Stevens | Registered representative | Chartered Financial Consultant | Jan 2016 (11y) | |
| David R Richards | Registered representative | Jan 2016 (11y) | ||
| David H Watson | Registered representative | CFP Chartered Financial Consultant | Jan 2016 (11y) | |
| David L Fisher | Registered representative | Jan 2016 (11y) | ||
| Anne X Ding | Registered representative | CFP | Jan 2016 (11y) | |
| Tammie Sue Myers Sharp | Registered representative | Jan 2016 (11y) | ||
| Aaron James Domingo | Registered representative | Jan 2016 (11y) | ||
| Jeffrey B Wertheim | Registered representative | CFA | Feb 2016 (10y) | |
| Alexandre Morgan Quantin | Registered representative | Feb 2016 (10y) | ||
| Robert S Frost | Registered representative | Feb 2016 (10y) | ||
| Ryan Erin Brody | Registered representative | CFP | Feb 2016 (10y) | |
| Thomas James Harmon | Registered representative | Chartered Financial Consultant | Feb 2016 (10y) | |
| Francis M Evans | Registered representative | Feb 2016 (10y) | ||
| Kyle A Richert | Registered representative | Feb 2016 (10y) | ||
| Nikola Novakovic | Registered representative | Feb 2016 (10y) | ||
| Michael J Blackwell | Registered representative | Feb 2016 (10y) | ||
| Steven Misdea | Registered representative | Feb 2016 (10y) | ||
| Jennifer F Shepley | Registered representative | CFP | Mar 2016 (10y) | |
| Jeffery A Smith | Registered representative | CFP | Mar 2016 (10y) | |
| Andrew Michael Harman | Registered representative | Mar 2016 (10y) | ||
| Nicholas J Alfino | Registered representative | CFP | Mar 2016 (10y) | |
| Travis L Ames | Registered representative | Mar 2016 (10y) | ||
| Brandon Russell Wilson | Registered representative | Mar 2016 (10y) | ||
| Manuel Esparza | Registered representative | Chartered Financial Consultant | Mar 2016 (10y) | |
| Donald R Marsee | Registered representative | Mar 2016 (10y) | ||
| David Jeremy Pugliese | Registered representative | Mar 2016 (10y) | ||
| Donald Lee Connors | Registered representative | Mar 2016 (10y) | ||
| Shawn M Arrington | Registered representative | Apr 2016 (10y) | ||
| Charles F Russ | Registered representative | Apr 2016 (10y) | ||
| Christopher Edward Gill | Registered representative | Apr 2016 (10y) | ||
| Kenneth J Kovalik | Registered representative | Apr 2016 (10y) | ||
| Umang C Patel | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Alec Rober Colin Williams | Registered representative | Apr 2016 (10y) | ||
| Stephen Paul Kelly | Registered representative | CFP | Apr 2016 (10y) | |
| Matthew James Diruzza | Registered representative | Apr 2016 (10y) | ||
| Danny Max Recht | Registered representative | May 2016 (10y) | ||
| Chris Elhardt | Registered representative | May 2016 (10y) | ||
| Bartosz Peter Warzycha | Registered representative | May 2016 (10y) | ||
| John Arthur Spann | Registered representative | CFP | May 2016 (10y) | |
| Robert Edward Farrell | Registered representative | May 2016 (10y) | ||
| Gregory Alan Campanile | Registered representative | Jun 2016 (10y) | ||
| Ian Scott Kansky | Registered representative | CFP | Jun 2016 (10y) | |
| John J Marcel | Registered representative | CFP | Jul 2016 (10y) | |
| Matthew E Vahue | Registered representative | Jul 2016 (10y) | ||
| John C Kauzlarich | Registered representative | Jul 2016 (10y) | ||
| Mark L Bucklaw | Registered representative | Jul 2016 (10y) | ||
| Evan Todd Heller | Registered representative | Jul 2016 (10y) | ||
| Benjamin M Decker | Registered representative | Jul 2016 (10y) | ||
| Robert R Sweeney | Registered representative | Jul 2016 (10y) | ||
| Chad A Gibbons | Registered representative | Aug 2016 (10y) | ||
| Ester C Viti | Registered representative | Aug 2016 (10y) | ||
| Brian M Boehm | Registered representative | Aug 2016 (10y) | ||
| David Madison Satterwhite | Registered representative | Aug 2016 (10y) | ||
| Peter D Nelson | Registered representative | Sep 2016 (10y) | ||
| Jared Stephen Etkins | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| David Michael Duquette | Registered representative | Sep 2016 (10y) | ||
| Richard Alan Howell | Registered representative | Sep 2016 (10y) | ||
| Marko Zivic | Registered representative | Oct 2016 (10y) | ||
| Eric Rios | Registered representative | Oct 2016 (10y) | ||
| Barry Richard Carron | Registered representative | Chartered Financial Consultant | Oct 2016 (10y) | |
| Michael Troy Strothers | Registered representative | Chartered Financial Consultant | Oct 2016 (10y) | |
| Alexander Tragnitz | Registered representative | Oct 2016 (10y) | ||
| Bruce P Fogwell | Registered representative | Oct 2016 (10y) | ||
| Virginia Elizabeth Brown | Registered representative | CFP Chartered Financial Consultant | Oct 2016 (10y) | |
| Kevin M Gotwalt | Registered representative | Oct 2016 (10y) | ||
| Suzan Renee Hunter | Registered representative | Oct 2016 (10y) | ||
| Paul David Sonnier | Registered representative | Oct 2016 (10y) | ||
| Joyce Kwanwa Chan | Registered representative | CFP | Oct 2016 (10y) | |
| Michael Fanto | Registered representative | Oct 2016 (10y) | ||
| Phillip Dambrisi | Registered representative | Nov 2016 (10y) | ||
| Jordan Lee Ceraso | Registered representative | Nov 2016 (10y) | ||
| Matthew Lee Willig | Registered representative | Jan 2017 (10y) | ||
| Glen M Van Derzee | Registered representative | Chartered Financial Consultant | Jan 2017 (10y) | |
| Barry C Nash | Registered representative | Jan 2017 (10y) | ||
| Robert Benjamin Newman | Registered representative | Chartered Financial Consultant | Jan 2017 (10y) | |
| Craig Lowell Katz | Registered representative | Jan 2017 (10y) | ||
| Ryan J Kriener | Registered representative | Jan 2017 (10y) | ||
| Hector Manuel Rivera | Registered representative | CFP | Jan 2017 (10y) | |
| Nemanja Selezan | Registered representative | Feb 2017 (9y) | ||
| Brenda Joy Karczag | Registered representative | Chartered Financial Consultant | Feb 2017 (9y) | |
| Ryan Hans Beck | Registered representative | CFP Chartered Financial Consultant | Feb 2017 (9y) | |
| Xiuhong Du | Registered representative | CFP | Feb 2017 (9y) | |
| David Paul Mercadante | Registered representative | Feb 2017 (9y) | ||
| Michael Blake Miller | Registered representative | Feb 2017 (9y) | ||
| Jacob S Safrin | Registered representative | CFP Chartered Financial Consultant | Feb 2017 (9y) | |
| Fred Rick Kettler | Registered representative | Feb 2017 (9y) | ||
| James Michael Matthews | Registered representative | CFP | Feb 2017 (9y) | |
| M Jonathan Jonathan Adler | Registered representative | Feb 2017 (9y) | ||
| Lance M Stamper | Registered representative | Mar 2017 (9y) | ||
| Paul E Bestehorn | Registered representative | Mar 2017 (9y) | ||
| Jared Evan Rothbard | Registered representative | Mar 2017 (9y) | ||
| Marc Alexander Bregman | Registered representative | Mar 2017 (9y) | ||
| Brian Patrick Mcgrath | Registered representative | Mar 2017 (9y) | ||
| Stephen David Wroblewski | Registered representative | Mar 2017 (9y) | ||
| Joseph Daniel Silla | Registered representative | Apr 2017 (9y) | ||
| Jason A Waugh | Registered representative | CFP | Apr 2017 (9y) | |
| Stephany Fiadjoe | Registered representative | CFP | Apr 2017 (9y) | |
| Robert Philip Depalo | Registered representative | May 2017 (9y) | ||
| Zachary Mason Martin | Registered representative | May 2017 (9y) | ||
| Michael D Korn | Registered representative | May 2017 (9y) | ||
| Michael J Wenger | Registered representative | May 2017 (9y) | ||
| Aaron Robert Kohl | Registered representative | May 2017 (9y) | ||
| Asher Flint | Registered representative | May 2017 (9y) | ||
| Derek James Scheetz | Registered representative | Jun 2017 (9y) | ||
| Michael A D Apice | Registered representative | Jun 2017 (9y) | ||
| Michael L Elcock | Registered representative | Jun 2017 (9y) | ||
| Samuel J Grooms | Registered representative | Jun 2017 (9y) | ||
| Craig L Feinberg | Registered representative | Jun 2017 (9y) | ||
| Bryan Robert Briand | Registered representative | Jun 2017 (9y) | ||
| Emily Kathryn Zeigler | Registered representative | CFP | Jul 2017 (9y) | |
| Matthew William Meurer | Registered representative | Jul 2017 (9y) | ||
| Brett Stephen Peroni | Registered representative | Jul 2017 (9y) | ||
| Brian Anthony Dragotto | Registered representative | Jul 2017 (9y) | ||
| Robert Edward Kinney | Registered representative | Jul 2017 (9y) | ||
| Marc A Mirabella | Registered representative | Aug 2017 (9y) | ||
| Lawrence A Barth | Registered representative | Chartered Financial Consultant | Sep 2017 (9y) | |
| Kevin Daniel Leon | Registered representative | Sep 2017 (9y) | ||
| Boris Lokshin | Registered representative | Chartered Financial Consultant | Sep 2017 (9y) | |
| Erik Scherr | Registered representative | Sep 2017 (9y) | ||
| Jacob Austin Campbell | Registered representative | Sep 2017 (9y) | ||
| Lynne Marie Boyle | Registered representative | Sep 2017 (9y) | ||
| Robert J Powalski | Registered representative | CFP | Oct 2017 (9y) | |
| Alejandro Jesus Azuaje | Registered representative | Oct 2017 (9y) | ||
| Misty Leighton Petrosino | Registered representative | Oct 2017 (9y) | ||
| Jp Caswell | Registered representative | Nov 2017 (9y) | ||
| Jason Taehoon Koo | Registered representative | Nov 2017 (9y) | ||
| Adam M Katzman | Registered representative | CFP | Nov 2017 (9y) | |
| Jarod Didley Von Behren | Registered representative | CFP | Dec 2017 (9y) | |
| Finley Bryce Woodward | Registered representative | Dec 2017 (9y) | ||
| Gerard Brice Frawley | Registered representative | Dec 2017 (9y) | ||
| Anne Maleva Chamberlain | Registered representative | Jan 2018 (9y) | ||
| Jonathon Alan Chalk | Registered representative | Jan 2018 (9y) | ||
| Michael Ryan Acosta | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| Yan Joseph Katz | Registered representative | Jan 2018 (9y) | ||
| Paul Martin Glowienke | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| Kristen Ann Borst | Registered representative | Jan 2018 (9y) | ||
| Seth David Holzwarth | Registered representative | CFP | Jan 2018 (9y) | |
| Michael Alexander Hess | Registered representative | Jan 2018 (9y) | ||
| David Rogers | Registered representative | Jan 2018 (9y) | ||
| David A Bolton | Registered representative | Jan 2018 (9y) | ||
| Robert Littleton Hudson | Registered representative | Jan 2018 (9y) | ||
| Zachary Aaron Nielson | Registered representative | Jan 2018 (9y) | ||
| Timothy Michael Sachs | Registered representative | Feb 2018 (8y) | ||
| Christopher Lee Strommen | Registered representative | CFP | Feb 2018 (8y) | |
| Peter John Heckman | Registered representative | Feb 2018 (8y) | ||
| Joel Samuel Lerner | Registered representative | Mar 2018 (8y) | ||
| Robert Joseph Swindle | Registered representative | Mar 2018 (8y) | ||
| Blaine Christopher Dahl | Registered representative | Mar 2018 (8y) | ||
| Evaristo Javier Gonzalez | Registered representative | Mar 2018 (8y) | ||
| Kory Sean Pippin | Registered representative | CFP | Mar 2018 (8y) | |
| Diane L Venetsky | Registered representative | Mar 2018 (8y) | ||
| Kevin J Manning | Registered representative | CFA | Mar 2018 (8y) | |
| William S Hage | Registered representative | Mar 2018 (8y) | ||
| Jimmy Allan Lewis | Registered representative | Mar 2018 (8y) | ||
| Charles Raffus Duplechain | Registered representative | Apr 2018 (8y) | ||
| Matthew Evan Ringle | Registered representative | CFP | Apr 2018 (8y) | |
| Donald P Sullivan | Registered representative | Apr 2018 (8y) | ||
| Sam E Beller | Registered representative | Chartered Financial Consultant | Apr 2018 (8y) | |
| Gregory Thomas Eckl | Registered representative | Apr 2018 (8y) | ||
| Nickelle Marie Leist | Registered representative | Apr 2018 (8y) | ||
| Kyung Mee Lee | Registered representative | May 2018 (8y) | ||
| Gregg A Hews | Registered representative | May 2018 (8y) | ||
| Timothy M Meyer | Registered representative | May 2018 (8y) | ||
| Michele M Berteotti | Registered representative | May 2018 (8y) | ||
| Edward H Dennis | Registered representative | May 2018 (8y) | ||
| Matthew Eric Piro | Registered representative | May 2018 (8y) | ||
| Walker Holloway Johnson | Registered representative | May 2018 (8y) | ||
| Joel David Gardner | Registered representative | May 2018 (8y) | ||
| Yoel Felberbaum | Registered representative | May 2018 (8y) | ||
| Peter C Leddy | Registered representative | May 2018 (8y) | ||
| Darren Anthony Duhnke | Registered representative | Jun 2018 (8y) | ||
| Nicholas Ippolito | Registered representative | Jun 2018 (8y) | ||
| Brian Kenneth Grabinski | Registered representative | Jun 2018 (8y) | ||
| Michael Palmer | Registered representative | Jun 2018 (8y) | ||
| Joseph John O Donnell | Registered representative | Jun 2018 (8y) | ||
| Spencer Hong Tai Dung | Registered representative | CFP | Jun 2018 (8y) | |
| Christopher Pike | Registered representative | CFA | Jul 2018 (8y) | |
| Meggan Quick Pierce | Registered representative | Jul 2018 (8y) | ||
| Christopher G Viola | Registered representative | Jul 2018 (8y) | ||
| Joshua Crame | Registered representative | Jul 2018 (8y) | ||
| Leonard W Rappe | Registered representative | Personal Financial Specialist | Jul 2018 (8y) | |
| Tracy Jillene Haraksin | Registered representative | Jul 2018 (8y) | ||
| Rachel Fk Novak | Registered representative | Jul 2018 (8y) | ||
| William Gary Roerden | Registered representative | Jul 2018 (8y) | ||
| Paul Jason Russotto | Registered representative | Jul 2018 (8y) | ||
| Christopher E Chow | Registered representative | Jul 2018 (8y) | ||
| Angela P Vahue | Registered representative | Jul 2018 (8y) | ||
| Henry Hudson Norman | Registered representative | Aug 2018 (8y) | ||
| Randall Jacob Keller | Registered representative | Aug 2018 (8y) | ||
| Melissa Tovar Daily | Registered representative | Aug 2018 (8y) | ||
| Samuel Stenger Renken | Registered representative | Aug 2018 (8y) | ||
| Samuel D Katz | Registered representative | CFP | Aug 2018 (8y) | |
| Vidal Bernard Peoples | Registered representative | CFP | Aug 2018 (8y) | |
| Robert S Schlesinger | Registered representative | Sep 2018 (8y) | ||
| Marc Michalak | Registered representative | CFP | Sep 2018 (8y) | |
| Alexander M Miradoli | Registered representative | CFP Chartered Financial Consultant | Sep 2018 (8y) | |
| Michael Millman | Registered representative | Oct 2018 (8y) | ||
| Todd Michael Statczar | Registered representative | Oct 2018 (8y) | ||
| Dibyendu De | Registered representative | Oct 2018 (8y) | ||
| Kelly Eng | Registered representative | CFA | Oct 2018 (8y) | |
| Jordan Michael Ibsen | Registered representative | Oct 2018 (8y) | ||
| Timothy A Giarra | Registered representative | CFP | Oct 2018 (8y) | |
| Christopher Michael Jelenc | Registered representative | Oct 2018 (8y) | ||
| April R Schoen | Registered representative | Oct 2018 (8y) | ||
| David J Monk | Registered representative | Oct 2018 (8y) | ||
| Mendy Kaufman | Registered representative | Nov 2018 (8y) | ||
| Theresa A Artac | Registered representative | CFP | Nov 2018 (8y) | |
| Adam J Boyer | Registered representative | Chartered Financial Consultant | Nov 2018 (8y) | |
| Stephanie Laura Becker | Registered representative | Nov 2018 (8y) | ||
| Christopher Anthony Fontana | Registered representative | Nov 2018 (8y) | ||
| Ashkan M Ghahremani | Registered representative | Nov 2018 (8y) | ||
| James Patrick Gnefkow | Registered representative | Nov 2018 (8y) | ||
| David Alan Krouse | Registered representative | CFP | Dec 2018 (8y) | |
| Samuel August Bohmiller | Registered representative | Dec 2018 (8y) | ||
| Autumn A Taylor | Registered representative | Dec 2018 (8y) | ||
| Thomas John Dogas | Registered representative | Jan 2019 (8y) | ||
| David C Parker | Registered representative | CFP | Jan 2019 (8y) | |
| Marshall J Dodge | Registered representative | Jan 2019 (8y) | ||
| Paul Joseph Backofen | Registered representative | Jan 2019 (8y) | ||
| Kiersten Ambrose | Registered representative | Jan 2019 (8y) | ||
| Ryan Charles Hicks | Registered representative | CFP | Jan 2019 (8y) | |
| Rebecca S Albert | Registered representative | Jan 2019 (8y) | ||
| Stacey Lynn Schall | Registered representative | Feb 2019 (7y) | ||
| Alfred John Valencia | Registered representative | Feb 2019 (7y) | ||
| Kim Johnson Mahoney | Registered representative | Mar 2019 (7y) | ||
| Lee Marvin Fortenberry | Registered representative | CFP Chartered Financial Consultant | Mar 2019 (7y) | |
| Nicholas Victor Limongelli | Registered representative | Mar 2019 (7y) | ||
| Meyer H Laniado | Registered representative | Mar 2019 (7y) | ||
| Jay Tsachi Baitner | Registered representative | Apr 2019 (7y) | ||
| Zebulon A Lewis | Registered representative | Apr 2019 (7y) | ||
| Nicholas J Franco | Registered representative | Apr 2019 (7y) | ||
| Paul Andrew Finchamp | Registered representative | Apr 2019 (7y) | ||
| Rocky Douglas Martini | Registered representative | Chartered Financial Consultant | Apr 2019 (7y) | |
| Willie Edward Pousada | Registered representative | Apr 2019 (7y) | ||
| Joseph Vincent Stiles | Registered representative | Apr 2019 (7y) | ||
| Kristine Erin Wiley | Registered representative | Apr 2019 (7y) | ||
| David M Bossio | Registered representative | May 2019 (7y) | ||
| Erik N Bohn | Registered representative | May 2019 (7y) | ||
| Colin Ryan Prestesater | Registered representative | May 2019 (7y) | ||
| William M Katz | Registered representative | May 2019 (7y) | ||
| Austin Tyler Ehlinger | Registered representative | May 2019 (7y) | ||
| Cyriac Abraham | Registered representative | May 2019 (7y) | ||
| John Carswell Hooper | Registered representative | May 2019 (7y) | ||
| Gerald Thomas Campbell | Registered representative | Jun 2019 (7y) | ||
| Richard B Sherwin | Registered representative | Jun 2019 (7y) | ||
| Oracio Joseph Cappello | Registered representative | Chartered Financial Consultant | Jun 2019 (7y) | |
| Ambrose A Carr | Registered representative | Jun 2019 (7y) | ||
| Janel C Kalish | Registered representative | CFP | Jun 2019 (7y) | |
| Jill M Van Nostrand | Registered representative | Jun 2019 (7y) | ||
| Marc A Shapiro | Registered representative | Jul 2019 (7y) | ||
| John Marshall Russell | Registered representative | Jul 2019 (7y) | ||
| Shane Daniel Pipher | Registered representative | Jul 2019 (7y) | ||
| Michael P Oberholzer | Registered representative | Jul 2019 (7y) | ||
| Nicholas A Domino | Registered representative | Aug 2019 (7y) | ||
| John J Yu | Registered representative | Aug 2019 (7y) | ||
| Christopher Volberg | Registered representative | Aug 2019 (7y) | ||
| Camille J Allen Snyder | Registered representative | Sep 2019 (7y) | ||
| John Sieker Gardner | Registered representative | Sep 2019 (7y) | ||
| Nicholas L Taber | Registered representative | Sep 2019 (7y) | ||
| Anjali Singh | Registered representative | CFP | Sep 2019 (7y) | |
| Paul B. Worgaftik | Registered representative | Sep 2019 (7y) | ||
| Egon Benjamin Moldenhauer | Registered representative | Oct 2019 (7y) | ||
| Patrick E Moore | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| Charles Isaac Levinson | Registered representative | Oct 2019 (7y) | ||
| Anthony P Campanile | Registered representative | Oct 2019 (7y) | ||
| Kristen Leigh Klocko | Registered representative | Oct 2019 (7y) | ||
| Teresa M Hoffman | Registered representative | Oct 2019 (7y) | ||
| Sandra Anne Williams | Registered representative | Chartered Financial Consultant | Nov 2019 (7y) | |
| Daljit Jagtiani | Registered representative | Nov 2019 (7y) | ||
| Anita J Morin | Registered representative | Nov 2019 (7y) | ||
| Joseph D D Amico | Registered representative | Dec 2019 (7y) | ||
| Michael Steven Huskey | Registered representative | Jan 2020 (7y) | ||
| Luka Lazar Vujovich | Registered representative | Jan 2020 (7y) | ||
| Jamie A Langbein | Registered representative | CFP | Jan 2020 (7y) | |
| Jonathan J Berube | Registered representative | Jan 2020 (7y) | ||
| Steven E Cucinelli | Registered representative | Jan 2020 (7y) | ||
| Bryan K Schod | Registered representative | Jan 2020 (7y) | ||
| Russell Kent Auyeung | Registered representative | Feb 2020 (6y) | ||
| John L Palmeri | Registered representative | Feb 2020 (6y) | ||
| Peter Vitale | Registered representative | Feb 2020 (6y) | ||
| Michael Edward Mazzarella | Registered representative | Feb 2020 (6y) | ||
| Kathryn Kelley Hughes | Registered representative | Feb 2020 (6y) | ||
| Juan Lamont Thorn | Registered representative | Mar 2020 (6y) | ||
| Thomas Albert Freeman | Registered representative | Mar 2020 (6y) | ||
| Wayne L Barber | Registered representative | Mar 2020 (6y) | ||
| Richard Piazza | Registered representative | Mar 2020 (6y) | ||
| John T Melkun | Registered representative | Mar 2020 (6y) | ||
| Matthew Brian Spergel | Registered representative | Mar 2020 (6y) | ||
| Adam Benjamin Gordon | Registered representative | CFP | Apr 2020 (6y) | |
| Angela D Mansfield | Registered representative | Apr 2020 (6y) | ||
| David Brandon Cottrell | Registered representative | CFP Chartered Financial Consultant | Apr 2020 (6y) | |
| Simon Peter Tschinkel | Registered representative | Apr 2020 (6y) | ||
| John Ryan Kelley | Registered representative | May 2020 (6y) | ||
| Matthew Henry Kelly | Registered representative | May 2020 (6y) | ||
| Joseph Eliot Carter | Registered representative | Jun 2020 (6y) | ||
| Cameron Lee Oliver | Registered representative | Jul 2020 (6y) | ||
| Jennifer Lott Daley | Registered representative | Jul 2020 (6y) | ||
| Jonathan Michael Barrera | Registered representative | Jul 2020 (6y) | ||
| Philemon Hyunwok Kang | Registered representative | Jul 2020 (6y) | ||
| Josh A Wawrzonek | Registered representative | Jul 2020 (6y) | ||
| Joseph Todd Miller | Registered representative | Jul 2020 (6y) | ||
| Thomas Marco Avitabile | Registered representative | Jul 2020 (6y) | ||
| Eric Littman | Registered representative | Jul 2020 (6y) | ||
| John Taylor Coyle | Registered representative | Jul 2020 (6y) | ||
| Marc Gensler | Registered representative | CFA | Jul 2020 (6y) | |
| William E O Malley | Registered representative | Aug 2020 (6y) | ||
| Nikolas Jonathan Nugnes | Registered representative | Aug 2020 (6y) | ||
| Tai Tan Nguyen | Registered representative | Aug 2020 (6y) | ||
| Joshua David Kreshon | Registered representative | Aug 2020 (6y) | ||
| Michael B Kershaw | Registered representative | Aug 2020 (6y) | ||
| Christopher Henry Jackler | Registered representative | Aug 2020 (6y) | ||
| Jeremy S Knobel | Registered representative | CFP Chartered Financial Consultant | Aug 2020 (6y) | |
| Keith Voogd | Registered representative | Aug 2020 (6y) | ||
| Chad Ryan Wilson | Registered representative | Aug 2020 (6y) | ||
| George M Siderias | Registered representative | Aug 2020 (6y) | ||
| John Lyman Rackleff | Registered representative | Aug 2020 (6y) | ||
| Jonathan L Blinken | Registered representative | Aug 2020 (6y) | ||
| Edmond Wayne Bradberry | Registered representative | Aug 2020 (6y) | ||
| Esther Mccullagh Park | Registered representative | Aug 2020 (6y) | ||
| Daniel L Mills | Registered representative | Aug 2020 (6y) | ||
| Eric M Harvey | Registered representative | Aug 2020 (6y) | ||
| Eric Laurea Banson | Registered representative | Aug 2020 (6y) | ||
| Michael D Hertz | Registered representative | Aug 2020 (6y) | ||
| Joshua A Dutcher | Registered representative | Sep 2020 (6y) | ||
| Matthew Alan Mansfield | Registered representative | Sep 2020 (6y) | ||
| Michael Hugh Robertson | Registered representative | Sep 2020 (6y) | ||
| Lynsey Kathleen Freeman | Registered representative | Sep 2020 (6y) | ||
| Matthew Thomas O Bryan | Registered representative | Sep 2020 (6y) | ||
| Kevin Richard Filthaut | Registered representative | Sep 2020 (6y) | ||
| Daniel Alan Schlein | Registered representative | Sep 2020 (6y) | ||
| Bryan Thayne Buzzard | Registered representative | Sep 2020 (6y) | ||
| Frank James Randall | Registered representative | Sep 2020 (6y) | ||
| Andrew Rogel | Registered representative | Oct 2020 (6y) | ||
| Matthew E Murphy | Registered representative | Oct 2020 (6y) | ||
| Christopher Ryan Johnson | Registered representative | Oct 2020 (6y) | ||
| Donald Pearson | Registered representative | CFP Chartered Financial Consultant | Oct 2020 (6y) | |
| Augusto Carlos La Puente | Registered representative | Oct 2020 (6y) | ||
| Clantz David Liggett | Registered representative | Oct 2020 (6y) | ||
| Stephen F Ericksen | Registered representative | Oct 2020 (6y) | ||
| Stella L Fey | Registered representative | Oct 2020 (6y) | ||
| David Skoda | Registered representative | Oct 2020 (6y) | ||
| Maynard L Miller | Registered representative | CFP Chartered Financial Consultant | Oct 2020 (6y) | |
| Jeffrey Scott Brachfeld | Registered representative | Oct 2020 (6y) | ||
| Kimberly Corrie Harris | Registered representative | Oct 2020 (6y) | ||
| Matthew Vincent Baird | Registered representative | Oct 2020 (6y) | ||
| Garrett L Williamson | Registered representative | CFP | Oct 2020 (6y) | |
| Christopher J Tortora | Registered representative | Nov 2020 (6y) | ||
| Joshua Devitt Brown | Registered representative | CFP | Nov 2020 (6y) | |
| Joseph William Pagani | Registered representative | Nov 2020 (6y) | ||
| Matthew C Mcdowell | Registered representative | Chartered Financial Consultant | Nov 2020 (6y) | |
| John P Henson | Registered representative | Chartered Financial Consultant | Nov 2020 (6y) | |
| Jace Mckean Kyle | Registered representative | Nov 2020 (6y) | ||
| Nicholas M Peters | Registered representative | Nov 2020 (6y) | ||
| Shelley Jo Echeverria | Registered representative | Nov 2020 (6y) | ||
| Jon Paul Roy | Registered representative | Dec 2020 (6y) | ||
| Ernest J Guerriero | Registered representative | Chartered Financial Consultant | Dec 2020 (6y) | |
| Jack Lin Chou | Registered representative | Dec 2020 (6y) | ||
| Michael Levine | Registered representative | Dec 2020 (6y) | ||
| Ostomy Matthew | Registered representative | Dec 2020 (6y) | ||
| Eric Charlton Post | Registered representative | Dec 2020 (6y) | ||
| Andrew Altenbach | Registered representative | CFP | Jan 2021 (6y) | |
| William Thomas Graham | Registered representative | Jan 2021 (6y) | ||
| Ellen Steirman Alderman | Registered representative | Jan 2021 (6y) | ||
| Jeffrey Malcolm Schwartz | Registered representative | Jan 2021 (6y) | ||
| Mary E Ziegler | Registered representative | Jan 2021 (6y) | ||
| Palmer Noel Curry | Registered representative | Jan 2021 (6y) | ||
| Paul L Goldstein | Registered representative | Jan 2021 (6y) | ||
| Megan M Schneider | Registered representative | Jan 2021 (6y) | ||
| Andreane Barden Frazier | Registered representative | CFP Chartered Financial Consultant | Jan 2021 (6y) | |
| Shane Colby Witt | Registered representative | Jan 2021 (6y) | ||
| Ralph Lamar Barden | Registered representative | Jan 2021 (6y) | ||
| Trevor Mcnally | Registered representative | Feb 2021 (5y) | ||
| Anna Marie Osborn | Registered representative | Feb 2021 (5y) | ||
| Derrick Freeman | Registered representative | Feb 2021 (5y) | ||
| John Mark Fisher | Registered representative | Feb 2021 (5y) | ||
| Lydia Susan Palmer | Registered representative | Feb 2021 (5y) | ||
| Christopher Paul Real | Registered representative | Feb 2021 (5y) | ||
| Richard Anthony Lunetta | Registered representative | Feb 2021 (5y) | ||
| Daniel Robert Anerella | Registered representative | Mar 2021 (5y) | ||
| William Irvin Mcclanahan | Registered representative | CFP | Mar 2021 (5y) | |
| Alessandra Grassi | Registered representative | Mar 2021 (5y) | ||
| Peter John Nelson | Registered representative | Mar 2021 (5y) | ||
| Yoon Hi King | Registered representative | Mar 2021 (5y) | ||
| Thomas S Youngman | Registered representative | Mar 2021 (5y) | ||
| Paul A Dowd | Registered representative | Chartered Financial Consultant | Mar 2021 (5y) | |
| Charbel S Ghaby | Registered representative | Mar 2021 (5y) | ||
| Mark Joseph Schmidt | Registered representative | Mar 2021 (5y) | ||
| Josh Laurence Becker | Registered representative | Mar 2021 (5y) | ||
| Shaun P Horan | Registered representative | Apr 2021 (5y) | ||
| Marolyn Yunmeng Liang | Registered representative | Apr 2021 (5y) | ||
| Adam S Kaufman | Registered representative | Apr 2021 (5y) | ||
| Andrew P Gozinsky | Registered representative | Apr 2021 (5y) | ||
| Andrew S Miller | Registered representative | Apr 2021 (5y) | ||
| Anthony Bertrami | Registered representative | Apr 2021 (5y) | ||
| Bruce D Hyman | Registered representative | Apr 2021 (5y) | ||
| Charles Ian Bearce | Registered representative | Apr 2021 (5y) | ||
| Christopher A Koopman | Registered representative | Apr 2021 (5y) | ||
| Dana L Lind | Registered representative | Apr 2021 (5y) | ||
| David A Perlmutter | Registered representative | Apr 2021 (5y) | ||
| Davin Henry Sessa | Registered representative | Apr 2021 (5y) | ||
| Derek James Malis | Registered representative | Apr 2021 (5y) | ||
| Douglas Howard Holzer | Registered representative | Apr 2021 (5y) | ||
| Elisabeth A Hall | Registered representative | Apr 2021 (5y) | ||
| Enrico Indelicato | Registered representative | Apr 2021 (5y) | ||
| Evan Tepper | Registered representative | Apr 2021 (5y) | ||
| Frank Anthony Schursky | Registered representative | Apr 2021 (5y) | ||
| Harvey E Weiner | Registered representative | Apr 2021 (5y) | ||
| Henry Mark Schneider | Registered representative | Apr 2021 (5y) | ||
| Herbert J Oster | Registered representative | Apr 2021 (5y) | ||
| Ivan Watanabe | Registered representative | Apr 2021 (5y) | ||
| James R Fashano | Registered representative | Apr 2021 (5y) | ||
| Jeffrey Joseph Gambuzza | Registered representative | Apr 2021 (5y) | ||
| Joel Moskowitz | Registered representative | Apr 2021 (5y) | ||
| Joel P Greenberg | Registered representative | Apr 2021 (5y) | ||
| John Isaac | Registered representative | Apr 2021 (5y) | ||
| Kamerick O Rampersad | Registered representative | Apr 2021 (5y) | ||
| Kevin C Winder | Registered representative | Apr 2021 (5y) | ||
| Klara Muratova | Registered representative | Apr 2021 (5y) | ||
| Kristen Beth Hadden | Registered representative | Apr 2021 (5y) | ||
| Lawrence D Cohen | Registered representative | Apr 2021 (5y) | ||
| Lyle Domenitz | Registered representative | Apr 2021 (5y) | ||
| Marc A Merber | Registered representative | Apr 2021 (5y) | ||
| Maria T Carrara | Registered representative | Personal Financial Specialist | Apr 2021 (5y) | |
| Mark R Nelson | Registered representative | Apr 2021 (5y) | ||
| Mark Steven Zias | Registered representative | Apr 2021 (5y) | ||
| Menachem Hartman | Registered representative | Apr 2021 (5y) | ||
| Michael A Bernabeo | Registered representative | Chartered Financial Consultant | Apr 2021 (5y) | |
| Monte A Sperling | Registered representative | Apr 2021 (5y) | ||
| Naveen Joshi | Registered representative | Apr 2021 (5y) | ||
| Nicholas Liapunov | Registered representative | Apr 2021 (5y) | ||
| Nicholas R Vissichelli | Registered representative | Apr 2021 (5y) | ||
| Pambayan Meyyan | Registered representative | Apr 2021 (5y) | ||
| Pamela M Tierney | Registered representative | Apr 2021 (5y) | ||
| Peter T Godios | Registered representative | Apr 2021 (5y) | ||
| Philip W Scott | Registered representative | Apr 2021 (5y) | ||
| Ralph C Sessa | Registered representative | Apr 2021 (5y) | ||
| Randy Brickman | Registered representative | Apr 2021 (5y) | ||
| Richard A Bellofatto | Registered representative | Apr 2021 (5y) | ||
| Richard P Elliott | Registered representative | Apr 2021 (5y) | ||
| Robert A Weinstein | Registered representative | Apr 2021 (5y) | ||
| Robert Jeffrey Schrier | Registered representative | Chartered Financial Consultant | Apr 2021 (5y) | |
| Robert Paul Mcloughlin | Registered representative | Apr 2021 (5y) | ||
| Ronald Charles Stern | Registered representative | Apr 2021 (5y) | ||
| Russell J Carpentieri | Registered representative | Apr 2021 (5y) | ||
| Ryan J Bohn | Registered representative | Apr 2021 (5y) | ||
| Stephanie A Entenmann | Registered representative | Apr 2021 (5y) | ||
| Stephen Thedore Constantine | Registered representative | Apr 2021 (5y) | ||
| Steven A Fishman | Registered representative | Apr 2021 (5y) | ||
| Steven J Schacter | Registered representative | Apr 2021 (5y) | ||
| Suzanne M Novelli | Registered representative | Apr 2021 (5y) | ||
| Thomas F Palmeri | Registered representative | Apr 2021 (5y) | ||
| Tina Jacquelyn Moy | Registered representative | Apr 2021 (5y) | ||
| Veronica Y Chang | Registered representative | Apr 2021 (5y) | ||
| Virginia R Bove Grier | Registered representative | Apr 2021 (5y) | ||
| Wolf Perl | Registered representative | Apr 2021 (5y) | ||
| Ziama H Harmon | Registered representative | Apr 2021 (5y) | ||
| Zisel Rosen | Registered representative | Apr 2021 (5y) | ||
| Andrew Russell Ward | Registered representative | Apr 2021 (5y) | ||
| Thomas Michael Garner | Registered representative | Apr 2021 (5y) | ||
| Seth Michael Von Kuhn | Registered representative | May 2021 (5y) | ||
| Maggie Li Yi | Registered representative | May 2021 (5y) | ||
| Jeffrey F Bryant | Registered representative | May 2021 (5y) | ||
| Samuel Pacelli | Registered representative | May 2021 (5y) | ||
| William J Stevens | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Thomas P Wilson | Registered representative | May 2021 (5y) | ||
| Ryan Michael Hegarty | Registered representative | May 2021 (5y) | ||
| Kelsey Whelan | Registered representative | May 2021 (5y) | ||
| Michael P Caraglia | Registered representative | Jun 2021 (5y) | ||
| Tony Shek Yin Wong | Registered representative | CFP | Jun 2021 (5y) | |
| Wing Chung Yip | Registered representative | Jun 2021 (5y) | ||
| Scott A Wolf | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Joseph Fleming | Registered representative | CFP | Jun 2021 (5y) | |
| Christian Taylor Hudnall | Registered representative | Jun 2021 (5y) | ||
| Nemanja Miljkovic | Registered representative | Jun 2021 (5y) | ||
| Patrick M Ryan | Registered representative | Jun 2021 (5y) | ||
| Kevin Patrick Janus | Registered representative | CFP | Jun 2021 (5y) | |
| Dylan Bradley Grocer | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Katherine Marie Jamil | Registered representative | CFP | Jun 2021 (5y) | |
| Robert M Hudnall | Registered representative | Jul 2021 (5y) | ||
| Anthony Peter Letizia | Registered representative | CFP | Jul 2021 (5y) | |
| Roxanna Ruth Kiessling | Registered representative | Jul 2021 (5y) | ||
| Matthew Jay Rosner | Registered representative | Jul 2021 (5y) | ||
| Connor William Hawkins | Registered representative | CFP Chartered Financial Consultant | Jul 2021 (5y) | |
| Michael Edward Lynch | Registered representative | Aug 2021 (5y) | ||
| Dunavan D Hahn | Registered representative | Aug 2021 (5y) | ||
| Joseph S Ahmed | Registered representative | Aug 2021 (5y) | ||
| Shane Jordan Stelma | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Adelia C Chung | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Bryan H Nakamoto | Registered representative | CFP | Aug 2021 (5y) | |
| Jon Andrew Frederickson | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Timothy Paul Majors | Registered representative | Aug 2021 (5y) | ||
| Alexander Phillip Witt | Registered representative | CFA | Sep 2021 (5y) | |
| Ian James Mcgurran | Registered representative | Sep 2021 (5y) | ||
| Angelica Maria Bedoya Rosenstein | Registered representative | Sep 2021 (5y) | ||
| Christopher Thomas Cassutt | Registered representative | Sep 2021 (5y) | ||
| Lucas Brandon Austin | Registered representative | CFP | Sep 2021 (5y) | |
| Michael John Digirolamo | Registered representative | Sep 2021 (5y) | ||
| Madhulika Nemani | Registered representative | Sep 2021 (5y) | ||
| Tey H Kim | Registered representative | Sep 2021 (5y) | ||
| Cason Andrew Smith | Registered representative | Sep 2021 (5y) | ||
| Eric Korngold | Registered representative | Sep 2021 (5y) | ||
| John Schaefer | Registered representative | Oct 2021 (5y) | ||
| Kayla M Puchko Stephenson | Registered representative | Oct 2021 (5y) | ||
| Leslie A Janssen | Registered representative | Oct 2021 (5y) | ||
| Jonathan Barnett | Registered representative | CFP | Oct 2021 (5y) | |
| Matthew Sawicki | Registered representative | Chartered Financial Consultant | Oct 2021 (5y) | |
| Graham L Pollan | Registered representative | Chartered Financial Consultant | Oct 2021 (5y) | |
| Patricia Reilly | Registered representative | Oct 2021 (5y) | ||
| David M Lieberman | Registered representative | Oct 2021 (5y) | ||
| Daniel Mark Grubbs | Registered representative | Oct 2021 (5y) | ||
| Jared Edward Schumacker | Registered representative | Oct 2021 (5y) | ||
| Robert Lawrence Brunton | Registered representative | CFP | Oct 2021 (5y) | |
| John D Hughes | Registered representative | Oct 2021 (5y) | ||
| Morgane Eyraud | Registered representative | Oct 2021 (5y) | ||
| Scott Anthony Zedeker | Registered representative | Nov 2021 (5y) | ||
| Bradley S Wethington | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| Dustin Charles Leslie | Registered representative | Dec 2021 (5y) | ||
| Sean O Donnell | Registered representative | Dec 2021 (5y) | ||
| Justin Maurice Law | Registered representative | Jan 2022 (5y) | ||
| Stephen S Koh | Registered representative | Jan 2022 (5y) | ||
| Frank A Bove | Registered representative | Personal Financial Specialist | Jan 2022 (5y) | |
| Shlomo Schmalz | Registered representative | Jan 2022 (5y) | ||
| Aaron Robert Komarek | Registered representative | Jan 2022 (5y) | ||
| Erin Hoffman | Registered representative | Jan 2022 (5y) | ||
| Jennifer Hosch | Registered representative | Jan 2022 (5y) | ||
| Robert Clark Armstrong | Registered representative | Jan 2022 (5y) | ||
| Jeffrey P Benowitz | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Matthew Hart Burnell | Registered representative | Jan 2022 (5y) | ||
| Linda Carol Neuenburg | Registered representative | CFP | Jan 2022 (5y) | |
| Sarah Rutherford | Registered representative | Jan 2022 (5y) | ||
| Marvin Gayle | Registered representative | Feb 2022 (4y) | ||
| James Michael Carter | Registered representative | Feb 2022 (4y) | ||
| Sherif Gamal Ehdin Mesiha | Registered representative | Feb 2022 (4y) | ||
| George Papanicolaou | Registered representative | Feb 2022 (4y) | ||
| Brian Sturdivant | Registered representative | Feb 2022 (4y) | ||
| John Michael Neumann | Registered representative | Chartered Financial Consultant | Mar 2022 (4y) | |
| Tyler James Weyenberg | Registered representative | CFP | Mar 2022 (4y) | |
| Stephen Joseph Dellibovi | Registered representative | Mar 2022 (4y) | ||
| Wesley A Brinkman | Registered representative | Mar 2022 (4y) | ||
| Frank R Milito | Registered representative | Mar 2022 (4y) | ||
| Mario Melidona | Registered representative | Mar 2022 (4y) | ||
| Bridget Orr | Registered representative | Mar 2022 (4y) | ||
| Richard Dean Kintzing | Registered representative | Mar 2022 (4y) | ||
| Matthew Jon Gunter | Registered representative | Mar 2022 (4y) | ||
| Michael Anthony Radovich | Registered representative | CFP Chartered Financial Consultant | Mar 2022 (4y) | |
| Jeffrey Michael Stern | Registered representative | Mar 2022 (4y) | ||
| Michael J Tantillo | Registered representative | Apr 2022 (4y) | ||
| Abel Mark Joseph | Registered representative | Apr 2022 (4y) | ||
| Jason D Hegarty | Registered representative | Apr 2022 (4y) | ||
| Earl Schreiber | Registered representative | Apr 2022 (4y) | ||
| Michael Dennis Alder | Registered representative | May 2022 (4y) | ||
| Michael Anthony Reyes | Registered representative | May 2022 (4y) | ||
| Anthony S Ferrara | Registered representative | May 2022 (4y) | ||
| George Albert Sustarsic | Registered representative | May 2022 (4y) | ||
| Connor Marrone | Registered representative | May 2022 (4y) | ||
| Julie Ann Weyer | Registered representative | May 2022 (4y) | ||
| Lukas Noll | Registered representative | May 2022 (4y) | ||
| Austin James Guenthner | Registered representative | May 2022 (4y) | ||
| Shawna Christine Minervini | Registered representative | May 2022 (4y) | ||
| Anna M Maxon | Registered representative | Jun 2022 (4y) | ||
| Gavin Andrew Taylor | Registered representative | Jun 2022 (4y) | ||
| Jacob Adams Kennedy | Registered representative | Jun 2022 (4y) | ||
| Brook Emme Thompson | Registered representative | Jun 2022 (4y) | ||
| Brett Christian Roth | Registered representative | CFP | Jun 2022 (4y) | |
| Sebastian Diaz | Registered representative | CFP | Jun 2022 (4y) | |
| John Hersey | Registered representative | Jun 2022 (4y) | ||
| Melani Blake Faulkner | Registered representative | Jun 2022 (4y) | ||
| Colton Mendenhall | Registered representative | Jun 2022 (4y) | ||
| Daniel Joseph Anthony Laferriere | Registered representative | Jul 2022 (4y) | ||
| Natalie J Brickson | Registered representative | Jul 2022 (4y) | ||
| Stephen E Creps | Registered representative | Jul 2022 (4y) | ||
| Darby J Minnick | Registered representative | Chartered Financial Consultant | Jul 2022 (4y) | |
| Brennen Cole Forster | Registered representative | Jul 2022 (4y) | ||
| Aaron Peter Lewandowski | Registered representative | Jul 2022 (4y) | ||
| Eric J Startare | Registered representative | Jul 2022 (4y) | ||
| Ryan John Wirth | Registered representative | Jul 2022 (4y) | ||
| Catherine J Demartino | Registered representative | Jul 2022 (4y) | ||
| Kimelton Madrigal Kim | Registered representative | Aug 2022 (4y) | ||
| Deborah S Becker | Registered representative | Chartered Financial Consultant | Aug 2022 (4y) | |
| Jason A Phipps | Registered representative | Aug 2022 (4y) | ||
| Michael Shtifter | Registered representative | Aug 2022 (4y) | ||
| Scott Mckay Jones | Registered representative | Aug 2022 (4y) | ||
| Matthew Ryan Fallesen | Registered representative | Aug 2022 (4y) | ||
| Fateh Sokkar | Registered representative | Sep 2022 (4y) | ||
| Jeffrey Scott Collins | Registered representative | Sep 2022 (4y) | ||
| Adam Wade Gilford Gimbel | Registered representative | Sep 2022 (4y) | ||
| Gregory Stanley Hunko | Registered representative | Sep 2022 (4y) | ||
| James Lorenzo Gaudio | Registered representative | CFP | Sep 2022 (4y) | |
| Vlad Shafir | Registered representative | Sep 2022 (4y) | ||
| Caroline Morris | Registered representative | CFP Chartered Financial Consultant | Oct 2022 (4y) | |
| Andrew Charles Lavoie | Registered representative | Oct 2022 (4y) | ||
| Austin Bunch Ayers | Registered representative | CFP | Oct 2022 (4y) | |
| Brett A Mock | Registered representative | CFP | Oct 2022 (4y) | |
| John Crawford Wells | Registered representative | Oct 2022 (4y) | ||
| Edward Adam Feduke | Registered representative | CFP | Oct 2022 (4y) | |
| Andrea Patricia Owen Boyd | Registered representative | Oct 2022 (4y) | ||
| Michael Neil Capobianco | Registered representative | Oct 2022 (4y) | ||
| Adam Joseph Zimmerman | Registered representative | Oct 2022 (4y) | ||
| Emily Certo | Registered representative | Oct 2022 (4y) | ||
| Michaela Noelle Casey | Registered representative | Nov 2022 (4y) | ||
| William Robert Crossan | Registered representative | Nov 2022 (4y) | ||
| Jeremy T Kientz | Registered representative | Nov 2022 (4y) | ||
| Michael B Hadley | Registered representative | Nov 2022 (4y) | ||
| Shane M Bauman | Registered representative | Nov 2022 (4y) | ||
| Ryan P Cron | Registered representative | Dec 2022 (4y) | ||
| Arthur Daniel Veyna | Registered representative | Dec 2022 (4y) | ||
| Kevin Gregory Kulak | Registered representative | Dec 2022 (4y) | ||
| Raymond E Master | Registered representative | Dec 2022 (4y) | ||
| Michael Andrew Mares | Registered representative | Dec 2022 (4y) | ||
| Miles Arvidson | Registered representative | Dec 2022 (4y) | ||
| Donald Allen Zielinski | Registered representative | CFP | Jan 2023 (4y) | |
| Nisha Leanne Brushaber | Registered representative | Jan 2023 (4y) | ||
| Jules Richard Blakely | Registered representative | Jan 2023 (4y) | ||
| Joseph David Garvey | Registered representative | Jan 2023 (4y) | ||
| Raymond O Leyden | Registered representative | Jan 2023 (4y) | ||
| Michele Lipschultz | Registered representative | Jan 2023 (4y) | ||
| Andrew John Wolcott | Registered representative | Jan 2023 (4y) | ||
| Laura L Coats | Registered representative | Jan 2023 (4y) | ||
| James Milton Talley | Registered representative | Jan 2023 (4y) | ||
| Sebastian Bolic | Registered representative | Jan 2023 (4y) | ||
| Ryan P Coburn | Registered representative | Feb 2023 (4y) | ||
| Anthony Robert Ragozine | Registered representative | Feb 2023 (3y) | ||
| Megan Henretta | Registered representative | Feb 2023 (3y) | ||
| Steven Michael Mense | Registered representative | Feb 2023 (3y) | ||
| Cara Elizabeth Lindner | Registered representative | Mar 2023 (3y) | ||
| Vernon Ray Twyman | Registered representative | Mar 2023 (3y) | ||
| Douglas Robert Reiss | Registered representative | Mar 2023 (3y) | ||
| Samuel Martin Pollack | Registered representative | Mar 2023 (3y) | ||
| Nicholas Chiera | Registered representative | Mar 2023 (3y) | ||
| Dara Tressa Davis | Registered representative | Mar 2023 (3y) | ||
| Carrie Lynn Foote | Registered representative | Mar 2023 (3y) | ||
| Christian Peace Garrido | Registered representative | Mar 2023 (3y) | ||
| Benjamin David Boyd | Registered representative | Mar 2023 (3y) | ||
| Rodger F Ewy | Registered representative | Apr 2023 (3y) | ||
| Louis E Menaged | Registered representative | Apr 2023 (3y) | ||
| Nicholas James Petrucelli | Registered representative | Apr 2023 (3y) | ||
| Shane Kyle Stromei | Registered representative | Apr 2023 (3y) | ||
| Thomas Naples | Registered representative | Apr 2023 (3y) | ||
| Dennis Michael Bavin | Registered representative | Apr 2023 (3y) | ||
| Enrique Flores Enriquez | Registered representative | Apr 2023 (3y) | ||
| Bruce Barton Romberg | Registered representative | Apr 2023 (3y) | ||
| Nicholas I Clark | Registered representative | Apr 2023 (3y) | ||
| Carlos Mauricio Padilla | Registered representative | Apr 2023 (3y) | ||
| Christopher Richards | Registered representative | Apr 2023 (3y) | ||
| Daniel Patrick Anderson | Registered representative | Apr 2023 (3y) | ||
| Kieran Michael Bieneman | Registered representative | May 2023 (3y) | ||
| Abena Osaa Isijola | Registered representative | May 2023 (3y) | ||
| Christopher Bryan Ransom | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Joseph Anthony Maukonen | Registered representative | May 2023 (3y) | ||
| Michael Thomas Geczi | Registered representative | May 2023 (3y) | ||
| Ryan Myers | Registered representative | May 2023 (3y) | ||
| Milos Vranic | Registered representative | May 2023 (3y) | ||
| Percy True Blackburn | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Vincent M Mazzei | Registered representative | May 2023 (3y) | ||
| Daniel R Zufall | Registered representative | Jun 2023 (3y) | ||
| Katherine Kelly | Registered representative | Jun 2023 (3y) | ||
| David Thomas Wallace | Registered representative | Jun 2023 (3y) | ||
| Kyle Allen | Registered representative | Jun 2023 (3y) | ||
| Marcus Fitzgerald Nolan | Registered representative | Jun 2023 (3y) | ||
| John Milford Banda | Registered representative | Jun 2023 (3y) | ||
| Lester Alden Inniss | Registered representative | Jun 2023 (3y) | ||
| Kathy Hay | Registered representative | CFP | Jun 2023 (3y) | |
| Arjun Kapoor | Registered representative | CFA | Jul 2023 (3y) | |
| Jason W Davis | Registered representative | Jul 2023 (3y) | ||
| Adam Thomas Youngman | Registered representative | Jul 2023 (3y) | ||
| Austin Lewis Singer | Registered representative | Jul 2023 (3y) | ||
| Samuel Alan Fitch | Registered representative | Jul 2023 (3y) | ||
| Zachary W Timm | Registered representative | Jul 2023 (3y) | ||
| Michael Melocheck | Registered representative | Jul 2023 (3y) | ||
| Eduardo Hernandez Vela | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Lee Thomas Penland | Registered representative | Jul 2023 (3y) | ||
| Corey Leon Laprade | Registered representative | Jul 2023 (3y) | ||
| Duong Thai Ho | Registered representative | Jul 2023 (3y) | ||
| Danielle L Rouseau | Registered representative | Aug 2023 (3y) | ||
| Andrew Scott Kehoe | Registered representative | Aug 2023 (3y) | ||
| Ryan T Beattie | Registered representative | Aug 2023 (3y) | ||
| Christopher W Simmons | Registered representative | Aug 2023 (3y) | ||
| Paul L Johnson | Registered representative | CFP | Aug 2023 (3y) | |
| Jennifer Mc Grogan | Registered representative | Aug 2023 (3y) | ||
| Samantha Kate Haas | Registered representative | Aug 2023 (3y) | ||
| Peter John Mccarthy | Registered representative | Aug 2023 (3y) | ||
| Michael Robert Wasik | Registered representative | Sep 2023 (3y) | ||
| Angela Egbert | Registered representative | Sep 2023 (3y) | ||
| Jay Bharat Patel | Registered representative | CFP | Sep 2023 (3y) | |
| Jesse Scott Mistretta | Registered representative | Sep 2023 (3y) | ||
| Mordechai Lev | Registered representative | Sep 2023 (3y) | ||
| Joseph Ian Block | Registered representative | Oct 2023 (3y) | ||
| Noah Eskenazi | Registered representative | Oct 2023 (3y) | ||
| Zachary Dahmen | Registered representative | Oct 2023 (3y) | ||
| Jerry E Milam | Registered representative | Oct 2023 (3y) | ||
| James Cameron | Registered representative | Oct 2023 (3y) | ||
| Steven Swistak | Registered representative | Nov 2023 (3y) | ||
| Logan Jerel Fischer | Registered representative | Nov 2023 (3y) | ||
| Peter Perez | Registered representative | Nov 2023 (3y) | ||
| Ryan Campbell | Registered representative | Nov 2023 (3y) | ||
| Levi J Morrissey | Registered representative | Nov 2023 (3y) | ||
| Alex Burns | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Dyer | Registered representative | Nov 2023 (3y) | ||
| Christopher Johhan Lantero | Registered representative | Dec 2023 (3y) | ||
| Jack William Perry | Registered representative | Dec 2023 (3y) | ||
| Brady David Hemmerle | Registered representative | CFP | Jan 2024 (3y) | |
| Peter David Weinberg | Registered representative | Jan 2024 (3y) | ||
| Jenny Sabina Hallstrom | Registered representative | Jan 2024 (3y) | ||
| Stephen Brian Falgoust | Registered representative | Jan 2024 (3y) | ||
| Jacob Sang Wook Lee | Registered representative | Jan 2024 (3y) | ||
| Haley Nguyen | Registered representative | CFP | Jan 2024 (3y) | |
| Seth William Howard | Registered representative | Jan 2024 (3y) | ||
| Stephen Michael Cutillo | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| David Fromer | Registered representative | Jan 2024 (3y) | ||
| Stephen F Murphy | Registered representative | Jan 2024 (3y) | ||
| Enrico Indelicato | Registered representative | Jan 2024 (3y) | ||
| Justin Travis Bennett | Registered representative | Jan 2024 (3y) | ||
| Sean C Parkes | Registered representative | Jan 2024 (3y) | ||
| Alan Warren Liljegren | Registered representative | Jan 2024 (3y) | ||
| Tyler Patrick Odonnell | Registered representative | CFP | Jan 2024 (3y) | |
| Brian Michael Owen | Registered representative | Jan 2024 (3y) | ||
| Leopoldo Domenico Matarazzo | Registered representative | Jan 2024 (3y) | ||
| Barbara Monique Turner | Registered representative | Feb 2024 (2y) | ||
| Ryan Timothy Freeman | Registered representative | Feb 2024 (2y) | ||
| Jeffrey Bruce Dils | Registered representative | Feb 2024 (2y) | ||
| Michael C Librett | Registered representative | Feb 2024 (2y) | ||
| Jason Evert Berton | Registered representative | Feb 2024 (2y) | ||
| Jeffery A Clemons | Registered representative | CFP Chartered Financial Consultant | Feb 2024 (2y) | |
| William Sims Francis | Registered representative | Feb 2024 (2y) | ||
| Jason Hutchinson | Registered representative | Feb 2024 (2y) | ||
| Sean Mounce | Registered representative | Feb 2024 (2y) | ||
| Drew Alan Hebbe | Registered representative | Feb 2024 (2y) | ||
| Matthew Tabor | Registered representative | Feb 2024 (2y) | ||
| Michael William Hixson | Registered representative | Feb 2024 (2y) | ||
| Emily Michele Pool | Registered representative | Mar 2024 (2y) | ||
| Jonathan Matthew Dewitt | Registered representative | Mar 2024 (2y) | ||
| Tyler Williams | Registered representative | Mar 2024 (2y) | ||
| Yulia Santalova | Registered representative | Mar 2024 (2y) | ||
| Andrew R Kingston | Registered representative | Mar 2024 (2y) | ||
| Ryan Michael Grealy | Registered representative | Mar 2024 (2y) | ||
| Jessica Jade Jade Valentini | Registered representative | Mar 2024 (2y) | ||
| Lucas Anthony Murphy | Registered representative | Mar 2024 (2y) | ||
| Mark Lewis Kaufman | Registered representative | CFA | Mar 2024 (2y) | |
| Louis A Perino | Registered representative | Mar 2024 (2y) | ||
| Patrick Ryan O Gara | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Ronald Baumann | Registered representative | Apr 2024 (2y) | ||
| Gregory Joseph Montejo | Registered representative | Apr 2024 (2y) | ||
| Samuel Oceguera | Registered representative | Apr 2024 (2y) | ||
| Benjamin Tabar | Registered representative | Apr 2024 (2y) | ||
| Shane Michael Wolden | Registered representative | CFP | Apr 2024 (2y) | |
| John Ryan | Registered representative | Apr 2024 (2y) | ||
| Gregory Robert Kreiner | Registered representative | Apr 2024 (2y) | ||
| Diego Alberto Villicana Franco | Registered representative | Apr 2024 (2y) | ||
| James Edward Landry | Registered representative | May 2024 (2y) | ||
| Noah Joseph Domangue | Registered representative | May 2024 (2y) | ||
| Brian Michael Wobensmith | Registered representative | May 2024 (2y) | ||
| Michael A Rahbari | Registered representative | May 2024 (2y) | ||
| Leo E Choquette | Registered representative | May 2024 (2y) | ||
| Robert Emmett Hicks | Registered representative | May 2024 (2y) | ||
| Louis Patrick Richards | Registered representative | May 2024 (2y) | ||
| William Von Husen | Registered representative | May 2024 (2y) | ||
| Kylee Bowden | Registered representative | May 2024 (2y) | ||
| Nicholas James Roselli | Registered representative | May 2024 (2y) | ||
| Ronald Leo Durham | Registered representative | May 2024 (2y) | ||
| Donald H Goodwin | Registered representative | Jun 2024 (2y) | ||
| Christie Mae Russell | Registered representative | CFP Chartered Financial Consultant | Jun 2024 (2y) | |
| Courtney S Crenshaw | Registered representative | Jun 2024 (2y) | ||
| Andrew Thomas Bunkers | Registered representative | Jun 2024 (2y) | ||
| Doan Phuong Nguyen | Registered representative | Jun 2024 (2y) | ||
| Colby Blake Mckelva | Registered representative | Jun 2024 (2y) | ||
| Tyler R Lieberman | Registered representative | Chartered Financial Consultant | Jun 2024 (2y) | |
| Thomas Stewart Hunt | Registered representative | Jul 2024 (2y) | ||
| Elliott N Singer | Registered representative | Jul 2024 (2y) | ||
| Evan P Murphy | Registered representative | Jul 2024 (2y) | ||
| Makoa Hotz | Registered representative | Jul 2024 (2y) | ||
| Benjamin Connor Cheaney | Registered representative | Jul 2024 (2y) | ||
| Andrew Benjamin Ciampichini | Registered representative | Jul 2024 (2y) | ||
| Braden Clark Wise | Registered representative | Jul 2024 (2y) | ||
| Alexander Lowell Villavaso | Registered representative | Jul 2024 (2y) | ||
| Griffin Jay Nix | Registered representative | Jul 2024 (2y) | ||
| Jan Axel Tribler | Registered representative | CFP | Aug 2024 (2y) | |
| Jeff M Abodeely | Registered representative | Aug 2024 (2y) | ||
| Kathryn V Koch | Registered representative | Aug 2024 (2y) | ||
| Raymond Gerard Anello | Registered representative | CFP CFA | Aug 2024 (2y) | |
| Jalyn Dawn Lupo | Registered representative | Aug 2024 (2y) | ||
| Elena Ptchelintseva | Registered representative | Aug 2024 (2y) | ||
| Matthew T Hart | Registered representative | Aug 2024 (2y) | ||
| Chase Czachorowski | Registered representative | Aug 2024 (2y) | ||
| David Joseph Allen | Registered representative | Aug 2024 (2y) | ||
| Miranda Christina Montejo | Registered representative | Aug 2024 (2y) | ||
| Matthew Morse | Registered representative | Aug 2024 (2y) | ||
| Scott E Snyder | Registered representative | Aug 2024 (2y) | ||
| Cole Louis Gregan | Registered representative | Aug 2024 (2y) | ||
| Genevieve Sara Paeglow | Registered representative | Aug 2024 (2y) | ||
| Daniel Bradford Barry | Registered representative | Aug 2024 (2y) | ||
| Jarod Tibbetts | Registered representative | Aug 2024 (2y) | ||
| Mark A Saunders | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Garrett Wilcox Gates | Registered representative | CFP | Aug 2024 (2y) | |
| Vanessa Aulestia | Registered representative | Sep 2024 (2y) | ||
| Troy Lucas | Registered representative | Sep 2024 (2y) | ||
| Zachary Fu | Registered representative | Sep 2024 (2y) | ||
| Caleb Merrill Stephens | Registered representative | Sep 2024 (2y) | ||
| Qian Li | Registered representative | Sep 2024 (2y) | ||
| Deyanily Maria Wyckoff | Registered representative | Sep 2024 (2y) | ||
| Jason Zrada | Registered representative | CFP | Sep 2024 (2y) | |
| Sergio Jimenez Gudino | Registered representative | CFP | Sep 2024 (2y) | |
| Melissa Anne Moss | Registered representative | Sep 2024 (2y) | ||
| Brandon Meyers | Registered representative | Sep 2024 (2y) | ||
| Jesus Gerardo Sifuentes | Registered representative | Sep 2024 (2y) | ||
| Christian Dapolito | Registered representative | Sep 2024 (2y) | ||
| Carlo Ritaccio | Registered representative | Oct 2024 (2y) | ||
| Harvinder S Sahni | Registered representative | Oct 2024 (2y) | ||
| Frank Jimenez | Registered representative | Oct 2024 (2y) | ||
| Jeremy Graham Edge | Registered representative | CFP | Oct 2024 (2y) | |
| Craig L Castner | Registered representative | Oct 2024 (2y) | ||
| Jason Howard Shapiro | Registered representative | Oct 2024 (2y) | ||
| Jeffrey Michael Barrette | Registered representative | Oct 2024 (2y) | ||
| Ryan Matthew Bachman | Registered representative | Oct 2024 (2y) | ||
| Christopher Cramer | Registered representative | Oct 2024 (2y) | ||
| Whitney Ann Selvig | Registered representative | Oct 2024 (2y) | ||
| Chase D Perchal | Registered representative | Oct 2024 (2y) | ||
| Matthew David Goldstein | Registered representative | Oct 2024 (2y) | ||
| Matthew Moore | Registered representative | Oct 2024 (2y) | ||
| Brian S Falconer | Registered representative | Oct 2024 (2y) | ||
| Dominic Alexander Johnson | Registered representative | Oct 2024 (2y) | ||
| Koby Eric Gartner | Registered representative | Oct 2024 (2y) | ||
| Michael V Ronan | Registered representative | Oct 2024 (2y) | ||
| Peyton White | Registered representative | Oct 2024 (2y) | ||
| Sean Michael Mccabe | Registered representative | Oct 2024 (2y) | ||
| Zachary Joshua Pumerantz | Registered representative | Nov 2024 (2y) | ||
| David H Weinberg | Registered representative | Nov 2024 (2y) | ||
| Sean Patrick Sykes | Registered representative | Nov 2024 (2y) | ||
| Jason Benjamin Horowitz | Registered representative | Nov 2024 (2y) | ||
| Lydia Asaf | Registered representative | Nov 2024 (2y) | ||
| James E Joly | Registered representative | Nov 2024 (2y) | ||
| Joseph Gass | Registered representative | Nov 2024 (2y) | ||
| Steven D Barbesh | Registered representative | Nov 2024 (2y) | ||
| Jake Michael Rozhansky | Registered representative | Nov 2024 (2y) | ||
| Jay Eichler | Registered representative | Nov 2024 (2y) | ||
| Brandon Keith Agamennone | Registered representative | Nov 2024 (2y) | ||
| Juan Pablo Bustamante | Registered representative | Nov 2024 (2y) | ||
| Luke Patrick Belden | Registered representative | Nov 2024 (2y) | ||
| Jonathan Raymond Owens | Registered representative | Nov 2024 (2y) | ||
| Adam V Billups | Registered representative | Nov 2024 (2y) | ||
| Benjamin Thomas Mckain | Registered representative | Nov 2024 (2y) | ||
| Brad Michael Kreiner | Registered representative | CFP | Nov 2024 (2y) | |
| Ariel Murtha Lee | Registered representative | Nov 2024 (2y) | ||
| Jennie Marie Sherman | Registered representative | Dec 2024 (2y) | ||
| Maura C Hagan | Registered representative | Dec 2024 (2y) | ||
| William Francis Reifsteck | Registered representative | Dec 2024 (2y) | ||
| Allison Marie Swantkowski | Registered representative | Dec 2024 (2y) | ||
| Francisco Acevedo | Registered representative | Dec 2024 (2y) | ||
| Brian S Palkowitsh | Registered representative | CFP | Dec 2024 (2y) | |
| Erik Oleary | Registered representative | Dec 2024 (2y) | ||
| Camryn Chapman | Registered representative | Dec 2024 (2y) | ||
| Cynthia Monique Stenberg | Registered representative | Dec 2024 (2y) | ||
| Devon Thomas Beamesderfer | Registered representative | Dec 2024 (2y) | ||
| Brandon Oliver Au | Registered representative | Jan 2025 (2y) | ||
| R Jeffrey Jeffrey Morrison | Registered representative | Jan 2025 (2y) | ||
| Brian Octavian Milano | Registered representative | Jan 2025 (2y) | ||
| Bryan Thomas Carlucci | Registered representative | Jan 2025 (2y) | ||
| Matthew Brent Lesher | Registered representative | Jan 2025 (2y) | ||
| Vanja Vermezovic | Registered representative | Jan 2025 (2y) | ||
| Ashaunda Michelle Davis | Registered representative | Jan 2025 (2y) | ||
| Cierra Nicole Colgrove | Registered representative | Jan 2025 (2y) | ||
| Erin Anne Toler | Registered representative | Jan 2025 (2y) | ||
| Nicholas Alan Todd | Registered representative | Jan 2025 (2y) | ||
| Aaron Wolfe | Registered representative | Jan 2025 (2y) | ||
| Joseph Alan Maleh | Registered representative | Jan 2025 (2y) | ||
| William Roger Jones | Registered representative | Jan 2025 (2y) | ||
| Dan Milosevic | Registered representative | Jan 2025 (2y) | ||
| Charles Joseph Hodge | Registered representative | Jan 2025 (2y) | ||
| Jessica Sadacca | Registered representative | Jan 2025 (2y) | ||
| Matthew Joseph Diteresa | Registered representative | Jan 2025 (2y) | ||
| Peter John Holmes | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Thomas Van Belle | Registered representative | Jan 2025 (2y) | ||
| Jonathan Stephen Markos | Registered representative | Jan 2025 (2y) | ||
| Kallie Rosenbach | Registered representative | Jan 2025 (2y) | ||
| Ryan Steven Vorhies | Registered representative | Jan 2025 (2y) | ||
| Jason Fink | Registered representative | Jan 2025 (2y) | ||
| Kristin N Manna | Registered representative | Jan 2025 (2y) | ||
| Matthew Bernard Derby | Registered representative | Jan 2025 (2y) | ||
| Michael Daskalakis | Registered representative | Jan 2025 (2y) | ||
| Steven John Rzezuski | Registered representative | Jan 2025 (2y) | ||
| Trennon Scott Payne | Registered representative | Jan 2025 (2y) | ||
| Dylan Richard Peters | Registered representative | Jan 2025 (2y) | ||
| Joseph Lewis Cundari | Registered representative | Jan 2025 (2y) | ||
| Kwabena Jamila Leek | Registered representative | Jan 2025 (2y) | ||
| Ryan Clinton Calhoun | Registered representative | Jan 2025 (2y) | ||
| Olivier Sureau | Registered representative | Feb 2025 (1y) | ||
| Cole Gerard Vanassche | Registered representative | Feb 2025 (1y) | ||
| Sean Daniel Neal | Registered representative | Feb 2025 (1y) | ||
| Esteban Camacho | Registered representative | Feb 2025 (1y) | ||
| Jeremy Simon Martin | Registered representative | Feb 2025 (1y) | ||
| Jerrett Kandzer | Registered representative | Feb 2025 (1y) | ||
| Emma Marie Brandt | Registered representative | Feb 2025 (1y) | ||
| Slavica King | Registered representative | Feb 2025 (1y) | ||
| James Russell Bolton | Registered representative | Feb 2025 (1y) | ||
| Sara Jane Letourneau | Registered representative | Feb 2025 (1y) | ||
| Darrel Henderson | Registered representative | Feb 2025 (1y) | ||
| Timothy Murray | Registered representative | Feb 2025 (1y) | ||
| Dustin Atkins Demersseman | Registered representative | Feb 2025 (1y) | ||
| Irma Montes | Registered representative | Feb 2025 (1y) | ||
| Robert Joseph Metz | Registered representative | Feb 2025 (1y) | ||
| Timothy Michael Garcia | Registered representative | Feb 2025 (1y) | ||
| Asa Clayton Rowlett | Registered representative | Feb 2025 (1y) | ||
| Pat Phondi Chuturbhuti | Registered representative | Feb 2025 (1y) | ||
| Michael W Tisch | Registered representative | Feb 2025 (1y) | ||
| Brenna Marie Mullaney | Registered representative | Mar 2025 (1y) | ||
| John Kirk Wisnewski | Registered representative | Mar 2025 (1y) | ||
| Joshua Lontoc | Registered representative | Mar 2025 (1y) | ||
| Bryce L Shaw | Registered representative | Mar 2025 (1y) | ||
| Elisabeth Roe Goldberg | Registered representative | Mar 2025 (1y) | ||
| Kevin Patrick Wooleyhan | Registered representative | Mar 2025 (1y) | ||
| Fred Huang | Registered representative | Mar 2025 (1y) | ||
| Kelsey O Rion Robinson | Registered representative | Mar 2025 (1y) | ||
| Travis Hayon | Registered representative | Mar 2025 (1y) | ||
| Donald Isaac Robertson | Registered representative | Mar 2025 (1y) | ||
| Braezen Raymond Subick | Registered representative | CFP | Mar 2025 (1y) | |
| Jake Robert Guglielmo | Registered representative | Mar 2025 (1y) | ||
| Todd Andrew Ray | Registered representative | Mar 2025 (1y) | ||
| Stephanie Nino | Registered representative | Mar 2025 (1y) | ||
| Steven Everett Parisi | Registered representative | Mar 2025 (1y) | ||
| Brawley Adams | Registered representative | Mar 2025 (1y) | ||
| Darren Scott Wilson | Registered representative | Mar 2025 (1y) | ||
| Julio Soria | Registered representative | Mar 2025 (1y) | ||
| Victoria Louise Cooper | Registered representative | Mar 2025 (1y) | ||
| Heather Lea Williams | Registered representative | Mar 2025 (1y) | ||
| Gerardo Ramirez | Registered representative | Apr 2025 (1y) | ||
| William James Parker | Registered representative | Apr 2025 (1y) | ||
| Rishesh Singh | Registered representative | Apr 2025 (1y) | ||
| Enrique Medellin | Registered representative | Apr 2025 (1y) | ||
| Tyler P Wilmot | Registered representative | Apr 2025 (1y) | ||
| Justin Hurley | Registered representative | Apr 2025 (1y) | ||
| Aaron Reiss Gabriel | Registered representative | Apr 2025 (1y) | ||
| Chandler Harry Winchester | Registered representative | Apr 2025 (1y) | ||
| Charles Eugene Field | Registered representative | CFP | Apr 2025 (1y) | |
| Reid Dwayne White | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Jack William Sauserman | Registered representative | Apr 2025 (1y) | ||
| Drew Matthew Bukowiec | Registered representative | Apr 2025 (1y) | ||
| Spencer Thomas Plassman | Registered representative | Apr 2025 (1y) | ||
| William Patrick Barham | Registered representative | May 2025 (1y) | ||
| Jeremy Gloth | Registered representative | May 2025 (1y) | ||
| Merrick Robison | Registered representative | May 2025 (1y) | ||
| Cecelia Nelson | Registered representative | May 2025 (1y) | ||
| Joseph Falco | Registered representative | May 2025 (1y) | ||
| Christopher Thomas Layden | Registered representative | May 2025 (1y) | ||
| Chui Shan Rosetta Li | Registered representative | May 2025 (1y) | ||
| Michael Conroy | Registered representative | May 2025 (1y) | ||
| Cody Allen Wilson | Registered representative | May 2025 (1y) | ||
| Stephanie Garland Staggs | Registered representative | May 2025 (1y) | ||
| Christopher Redmond | Registered representative | May 2025 (1y) | ||
| Ilan Weinschelbaum | Registered representative | May 2025 (1y) | ||
| Nicholas Richards | Registered representative | May 2025 (1y) | ||
| Kelsey Bornstein Murphy | Registered representative | May 2025 (1y) | ||
| Bryan Wilczewski | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Chandra Lea Ritter | Registered representative | Jun 2025 (1y) | ||
| Christian James Andreoli | Registered representative | Jun 2025 (1y) | ||
| Dorrette Brown | Registered representative | Jun 2025 (1y) | ||
| Pamela Samsey | Registered representative | Jun 2025 (1y) | ||
| Stacy Dray Crawford | Registered representative | Jun 2025 (1y) | ||
| Alfred Michael Abbamonte | Registered representative | Jun 2025 (1y) | ||
| Cameron Fiorello | Registered representative | Jun 2025 (1y) | ||
| Jamal Metlaq Azzam | Registered representative | Jun 2025 (1y) | ||
| Robert Pillow | Registered representative | Jun 2025 (1y) | ||
| Sergio Andrade | Registered representative | Jun 2025 (1y) | ||
| Ulysses Arthur Barnes | Registered representative | Jun 2025 (1y) | ||
| Matthew Nonnenmacher | Registered representative | Jun 2025 (1y) | ||
| Megan Rachel Sheridan | Registered representative | Jun 2025 (1y) | ||
| Austin Reed Saffer | Registered representative | Jun 2025 (1y) | ||
| Benjamin Hartman | Registered representative | Jun 2025 (1y) | ||
| Heather Holland | Registered representative | Jun 2025 (1y) | ||
| Christopher Wilson Mackey | Registered representative | Jun 2025 (1y) | ||
| Joseph Richard Holinka | Registered representative | Jun 2025 (1y) | ||
| Michael Werthmuller | Registered representative | Jun 2025 (1y) | ||
| John P Penney | Registered representative | Jun 2025 (1y) | ||
| Luca Sudan | Registered representative | Jun 2025 (1y) | ||
| Mark Justin Di Natale | Registered representative | Jun 2025 (1y) | ||
| Hayden Jenkins | Registered representative | Jun 2025 (1y) | ||
| Emil Michael Dix | Registered representative | Jun 2025 (1y) | ||
| Michael Gillespie | Registered representative | Jun 2025 (1y) | ||
| Aaron Peck | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Ryan M Cornacchia | Registered representative | Jul 2025 (1y) | ||
| Johnny Meador | Registered representative | Jul 2025 (1y) | ||
| Matthew Jellison | Registered representative | CFP | Jul 2025 (1y) | |
| Andrew Robert Nelson | Registered representative | Jul 2025 (1y) | ||
| Conner Joseph Decker | Registered representative | Jul 2025 (1y) | ||
| Attila Kevin Boda | Registered representative | Jul 2025 (1y) | ||
| Vincent Joseph Cagnina | Registered representative | Jul 2025 (1y) | ||
| Li Li | Registered representative | Jul 2025 (1y) | ||
| Matthew Eugene Mccloskey | Registered representative | CFA | Jul 2025 (1y) | |
| Rocco Anthony Mazzei | Registered representative | Jul 2025 (1y) | ||
| Pablo A Idrovo | Registered representative | Jul 2025 (1y) | ||
| Kristen Patricia Skowronek | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Ramon Brown | Registered representative | Jul 2025 (1y) | ||
| Arthur Buisson | Registered representative | Jul 2025 (1y) | ||
| Olivia Abboud | Registered representative | Jul 2025 (1y) | ||
| Joseph Robert Roddy | Registered representative | Aug 2025 (1y) | ||
| Monica Ruth Swinney | Registered representative | Aug 2025 (1y) | ||
| Ben Myles Rosen | Registered representative | Aug 2025 (1y) | ||
| Brett Bunker | Registered representative | Aug 2025 (1y) | ||
| Xiaolan Kruk | Registered representative | Aug 2025 (1y) | ||
| Justin Miller | Registered representative | Aug 2025 (1y) | ||
| Lee James Newman | Registered representative | Aug 2025 (1y) | ||
| Samuel G Marcus | Registered representative | Aug 2025 (1y) | ||
| Destiney Deschaines | Registered representative | Aug 2025 (1y) | ||
| Tyler Cicero | Registered representative | Aug 2025 (1y) | ||
| Giovanni Antonio Pistilli | Registered representative | Aug 2025 (1y) | ||
| Taranbir S Sawhney | Registered representative | Sep 2025 (1y) | ||
| Jacob Patrick Larkey | Registered representative | Sep 2025 (1y) | ||
| Tyler Joseph Sadak | Registered representative | Sep 2025 (1y) | ||
| Michael Shane Smith | Registered representative | Sep 2025 (1y) | ||
| Freddy S Lopez | Registered representative | Sep 2025 (1y) | ||
| Duangdao Piyanontalee | Registered representative | Sep 2025 (1y) | ||
| Ivan Jordovic | Registered representative | Sep 2025 (1y) | ||
| Michael A Funaro | Registered representative | Sep 2025 (1y) | ||
| Ross Daniel Christiansen | Registered representative | Sep 2025 (1y) | ||
| Michael Berlin | Registered representative | Sep 2025 (1y) | ||
| Michael Warren Constantine | Registered representative | Sep 2025 (1y) | ||
| Yina Bae | Registered representative | Sep 2025 (1y) | ||
| William J Barnett | Registered representative | Sep 2025 (1y) | ||
| Anna Tyutyunik | Registered representative | Sep 2025 (1y) | ||
| Joe Kingsley Rajendran | Registered representative | Sep 2025 (1y) | ||
| Cally Marie Elkin | Registered representative | Sep 2025 (1y) | ||
| Jared Daniel Burgess | Registered representative | Sep 2025 (1y) | ||
| Toby Gregory Dyer | Registered representative | Sep 2025 (1y) | ||
| Matt Ross Miller | Registered representative | Oct 2025 (1y) | ||
| Tanya Melissa Gonzalez | Registered representative | Oct 2025 (1y) | ||
| Rolandus Johnson | Registered representative | Oct 2025 (1y) | ||
| Robert Anthony Filipone | Registered representative | Oct 2025 (1y) | ||
| Eric Zachary Keith | Registered representative | Oct 2025 (1y) | ||
| Jasmine Vanessa Minor | Registered representative | Oct 2025 (1y) | ||
| Joseph Fuschillo | Registered representative | Oct 2025 (1y) | ||
| Katie Bunny Strunk | Registered representative | Oct 2025 (1y) | ||
| Chelsae Dawn Carmickle | Registered representative | Oct 2025 (1y) | ||
| Sean Michael Paton | Registered representative | Oct 2025 (1y) | ||
| Alyssa Anne Zagrobski | Registered representative | Oct 2025 (1y) | ||
| David Chapin | Registered representative | Oct 2025 (1y) | ||
| Grant Warren Wilson | Registered representative | Oct 2025 (1y) | ||
| Jake Miller | Registered representative | Oct 2025 (1y) | ||
| Mark San Giacomo | Registered representative | Oct 2025 (1y) | ||
| Matthew Thomas Garot | Registered representative | Oct 2025 (1y) | ||
| Joshua David Nardi | Registered representative | Oct 2025 (1y) | ||
| Marisa Monaco | Registered representative | Oct 2025 (1y) | ||
| William Richard Bachman | Registered representative | Oct 2025 (1y) | ||
| Jessica Lin | Registered representative | Nov 2025 (1y) | ||
| Morgan Krakowski | Registered representative | Nov 2025 (1y) | ||
| Justin D Siracusa | Registered representative | Nov 2025 (1y) | ||
| Nicholas Andrew Miradoli | Registered representative | Nov 2025 (1y) | ||
| Yahtiebo Bailey | Registered representative | Nov 2025 (1y) | ||
| Austin S Wright | Registered representative | Nov 2025 (1y) | ||
| Pamela Sue Wise | Registered representative | Nov 2025 (1y) | ||
| William Woolfolk Nelson | Registered representative | Nov 2025 (1y) | ||
| Janna Climer | Registered representative | Nov 2025 (1y) | ||
| Bailie Slevin | Registered representative | Nov 2025 (1y) | ||
| Jordon Kampana | Registered representative | Nov 2025 (1y) | ||
| Jennifer Jeanne Mc Kasson | Registered representative | Nov 2025 (1y) | ||
| Jared De Candia | Registered representative | Nov 2025 (1y) | ||
| Eryk Watson | Registered representative | Nov 2025 (1y) | ||
| Matthew Grabowski | Registered representative | Nov 2025 (1y) | ||
| Francesca L Engel | Registered representative | Nov 2025 (1y) | ||
| Tory Tripp | Registered representative | Nov 2025 (1y) | ||
| Creighton Benjamin Hardy | Registered representative | CFP Chartered Financial Consultant | Nov 2025 (1y) | |
| Michael Bradley Lewis | Registered representative | Nov 2025 (1y) | ||
| Gregory Stanton Williams | Registered representative | Dec 2025 (1y) | ||
| Fatima Naqinia | Registered representative | Dec 2025 (1y) | ||
| Peter W Johnson | Registered representative | CFP | Dec 2025 (1y) | |
| Jennifer Green Harvey | Registered representative | Dec 2025 (1y) | ||
| Marko Jaric | Registered representative | Dec 2025 (1y) | ||
| Autumn Valore | Registered representative | Dec 2025 (1y) | ||
| Michael Tyler Valore | Registered representative | Dec 2025 (1y) | ||
| Daniel Jemibewon | Registered representative | Dec 2025 (1y) | ||
| John P Kendall | Registered representative | Dec 2025 (1y) | ||
| Laura N Adams | Registered representative | Jan 2026 (1y) | ||
| Michael Robert Valeri | Registered representative | Jan 2026 (1y) | ||
| Christopher Scott Seebeck | Registered representative | Jan 2026 (1y) | ||
| Caroline Alexa Michaels | Registered representative | Jan 2026 (1y) | ||
| Darrien M Slaughter | Registered representative | Jan 2026 (1y) | ||
| Jordon T Santos | Registered representative | Jan 2026 (1y) | ||
| Melissa Anne Schlow | Registered representative | Jan 2026 (1y) | ||
| Naji Karam | Registered representative | Jan 2026 (1y) | ||
| Steven Earle | Registered representative | Jan 2026 (1y) | ||
| Dalton Douglas Smith | Registered representative | Jan 2026 (1y) | ||
| Jessica Randi Simpson | Registered representative | Jan 2026 (1y) | ||
| Allyson Michelle Leon | Registered representative | Jan 2026 (1y) | ||
| Trevor Jay Newsome | Registered representative | Jan 2026 (1y) | ||
| John Graham Emison | Registered representative | Jan 2026 (1y) | ||
| Erin O'donnell | Registered representative | Jan 2026 (1y) | ||
| Howard N Suss | Registered representative | Jan 2026 (1y) | ||
| Kenneth Don Carmickle | Registered representative | Jan 2026 (1y) | ||
| Owen Marshall | Registered representative | Jan 2026 (1y) | ||
| Sebastien Jerome Ferjule | Registered representative | Jan 2026 (1y) | ||
| Curtis Sauers | Registered representative | Jan 2026 (1y) | ||
| Harrison Paul | Registered representative | Jan 2026 (1y) | ||
| Jack Anthony Barone | Registered representative | Jan 2026 (1y) | ||
| Nathan Bambino Lopes | Registered representative | Jan 2026 (1y) | ||
| James Henry Booth | Registered representative | Jan 2026 (1y) | ||
| Stephen Bennie | Registered representative | CFA | Jan 2026 (1y) | |
| Cristian Daniel Ramirez | Registered representative | Jan 2026 (1y) | ||
| George Lymberis | Registered representative | Jan 2026 (1y) | ||
| Luis G Obando | Registered representative | Jan 2026 (1y) | ||
| Douglas Scott Newton | Registered representative | Jan 2026 (1y) | ||
| Winston Roswel Stearns | Registered representative | Jan 2026 (1y) | ||
| Nicholas Harold Manago | Registered representative | Jan 2026 (1y) | ||
| Timothy George Garner | Registered representative | CFP | Jan 2026 (1y) | |
| Donald Brady Borella | Registered representative | Jan 2026 (1y) | ||
| Shane Coen | Registered representative | Jan 2026 (1y) | ||
| Damianos Mylonas | Registered representative | Jan 2026 (1y) | ||
| Christopher A Hufferdine | Registered representative | Jan 2026 (1y) | ||
| Khyle Antoine Duncan | Registered representative | Jan 2026 (1y) | ||
| Brett Godwin | Registered representative | Jan 2026 (1y) | ||
| Kenneth Sotherlund | Registered representative | Feb 2026 (0y) | ||
| Matthew Louis Keister | Registered representative | Feb 2026 (0y) | ||
| Rodney Kim Suzuki | Registered representative | Feb 2026 (0y) | ||
| Michael Anthony Di Marco | Registered representative | CFP | Feb 2026 (0y) | |
| William C Hess | Registered representative | Feb 2026 (0y) | ||
| Kyle Storey | Registered representative | Feb 2026 (0y) | ||
| Rafael Carballo | Registered representative | Feb 2026 (0y) | ||
| Diljeet Singh Masuda | Registered representative | Feb 2026 (0y) | ||
| Jackson Robert Roskow | Registered representative | Feb 2026 (0y) | ||
| Nicholas Andrew Brehmer | Registered representative | Feb 2026 (0y) | ||
| Alden Nicholas Salcedo | Registered representative | Feb 2026 (0y) | ||
| Cole Anthony De Marzo | Registered representative | Feb 2026 (0y) | ||
| Jacob Bloch | Registered representative | Feb 2026 (0y) | ||
| Emilio Juan Fernandez | Registered representative | Feb 2026 (0y) | ||
| Michael Strohl | Registered representative | Feb 2026 (0y) | ||
| Scott Andrew Martin | Registered representative | Feb 2026 (0y) | ||
| Kameron Mason Varney | Registered representative | Feb 2026 (0y) | ||
| Peter Christian Della Volpe | Registered representative | Feb 2026 (0y) | ||
| Ariyeh Solomon Waite | Registered representative | Feb 2026 (0y) | ||
| Jonathan Spahn | Registered representative | Feb 2026 (0y) | ||
| Matthew D Streeter | Registered representative | Feb 2026 (0y) | ||
| Robert Runco | Registered representative | Feb 2026 (0y) | ||
| Logan Andreyko | Registered representative | Feb 2026 (0y) | ||
| Adam Michael Lane | Registered representative | Feb 2026 (0y) | ||
| Jalen Lee | Registered representative | Feb 2026 (0y) | ||
| Benjamin Bernd Fogg | Registered representative | Feb 2026 (0y) | ||
| Michael Reed | Registered representative | Feb 2026 (0y) | ||
| Cole Stephenson | Registered representative | Mar 2026 (0y) | ||
| Isa Abdur Rahman | Registered representative | Mar 2026 (0y) | ||
| Noah Andrew Kowalewsky | Registered representative | Mar 2026 (0y) | ||
| Brandt Jeremy Jordan | Registered representative | CFP | Mar 2026 (0y) | |
| Lars Ronten | Registered representative | Mar 2026 (0y) | ||
| John T Morrow | Registered representative | Mar 2026 (0y) | ||
| Peter H Gebre | Registered representative | Mar 2026 (0y) | ||
| Christian Ross Morton | Registered representative | Mar 2026 (0y) | ||
| Joseph Preston Prendergast | Registered representative | Mar 2026 (0y) | ||
| Donald Allen Whittington | Registered representative | Mar 2026 (0y) | ||
| Nicholas Pat Bosio | Registered representative | Mar 2026 (0y) | ||
| Benjamin Lee Stevenson | Registered representative | Mar 2026 (0y) | ||
| Joseph Cardella | Registered representative | Mar 2026 (0y) | ||
| Benjamin Casner | Registered representative | Mar 2026 (0y) | ||
| Eliezer Moshe Benjamin | Registered representative | Mar 2026 (0y) | ||
| Megan C Mora | Registered representative | Mar 2026 (0y) | ||
| Alexander Fellios | Registered representative | Mar 2026 (0y) | ||
| Charles Osivwemu | Registered representative | Mar 2026 (0y) | ||
| Mitchell Edward Jenkins | Registered representative | Mar 2026 (0y) | ||
| Robert Gibson | Registered representative | CFA | Mar 2026 (0y) | |
| Marion Elizabeth Gray Kelly | Registered representative | Mar 2026 (0y) | ||
| Adam Cayden Besana | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Christopher Interrante | Registered representative | Mar 2026 (0y) | ||
| Brad Whittelsey | Registered representative | Mar 2026 (0y) | ||
| Gabriel S Rodgers | Registered representative | Mar 2026 (0y) | ||
| John A Joyce | Registered representative | Mar 2026 (0y) | ||
| Jordan Eidelkind | Registered representative | Mar 2026 (0y) | ||
| Robert Benton Penn | Registered representative | Mar 2026 (0y) | ||
| Erik J Crespo | Registered representative | Mar 2026 (0y) | ||
| Michael Patrick Cover | Registered representative | Mar 2026 (0y) | ||
| Maya Corinne Herrenbruck | Registered representative | Apr 2026 (0y) | ||
| Anand K K Nair | Registered representative | Apr 2026 (0y) | ||
| Jason Rollins | Registered representative | Apr 2026 (0y) | ||
| William Sjem | Registered representative | CFP | Apr 2026 (0y) | |
| Bronson Ramsey Mehlman | Registered representative | Apr 2026 (0y) | ||
| Brandi Shirell Rogers | Registered representative | Apr 2026 (0y) | ||
| Christopher David Herrera | Registered representative | Apr 2026 (0y) | ||
| Jared Alan Furlong | Registered representative | Apr 2026 (0y) | ||
| Joseph Davidson | Registered representative | Apr 2026 (0y) | ||
| James Walton Park | Registered representative | Apr 2026 (0y) | ||
| Michael Ryan Difiore | Registered representative | Apr 2026 (0y) | ||
| Andrea Gaetano Avitabile | Registered representative | Apr 2026 (0y) | ||
| Jay Rinehart | Registered representative | Apr 2026 (0y) | ||
| Coletta Alagia | Registered representative | Apr 2026 (0y) | ||
| Gari Therese Semon | Registered representative | Apr 2026 (0y) | ||
| Mark Brady | Registered representative | Apr 2026 (0y) | ||
| Eloy Acosta | Registered representative | Apr 2026 (0y) | ||
| Emily R Willis | Registered representative | Apr 2026 (0y) | ||
| Tommy Cho | Registered representative | Apr 2026 (0y) | ||
| Alec Dj Messino | Registered representative | Apr 2026 (0y) | ||
| Christopher Charles Fox | Registered representative | Apr 2026 (0y) | ||
| Holly Marie Curtis | Registered representative | May 2026 (0y) | ||
| Jack Harrington Island | Registered representative | May 2026 (0y) | ||
| Lisa Clark Gilland | Registered representative | May 2026 (0y) | ||
| Ronald John Judkins | Registered representative | May 2026 (0y) | ||
| James Leslie Eastman | Registered representative | May 2026 (0y) | ||
| Rachel F Lilley | Registered representative | May 2026 (0y) | ||
| Josephine Tran | Registered representative | May 2026 (0y) | ||
| Yafeng Wu | Registered representative | CFA | May 2026 (0y) | |
| Jonathan Benham | Registered representative | May 2026 (0y) | ||
| Eric Tarlo | Registered representative | May 2026 (0y) | ||
| Joseph Alexander Vaughn | Registered representative | May 2026 (0y) | ||
| Michael Tilton | Registered representative | May 2026 (0y) | ||
| Brenden Mathew Baker | Registered representative | May 2026 (0y) | ||
| Ross Matthew Beck | Registered representative | May 2026 (0y) | ||
| Daniel J Nelson | Registered representative | May 2026 (0y) | ||
| Aidan Kokodynski | Registered representative | CFA | May 2026 (0y) | |
| Gianna Marie De Mayo | Registered representative | May 2026 (0y) | ||
| John Patrick Wilder | Registered representative | May 2026 (0y) | ||
| Caleb Allen | Registered representative | May 2026 (0y) | ||
| James Rossi | Registered representative | May 2026 (0y) | ||
| Joshua A De Long | Registered representative | May 2026 (0y) | ||
| Anthony D'angelo | Registered representative | May 2026 (0y) | ||
| Adam Wlodarczyk | Registered representative | Jun 2026 (0y) | ||
| Daniel Robert Panique | Registered representative | Jun 2026 (0y) | ||
| Anthony Francis Mammano | Registered representative | Jun 2026 (0y) | ||
| Louis Albert Mayor | Registered representative | Jun 2026 (0y) | ||
| Kyria Popovitch D Avila | Registered representative | Jun 2026 (0y) | ||
| Kaitlin Rose Cengia | Registered representative | Jun 2026 (0y) | ||
| Reed Puzzitiello | Registered representative | Jun 2026 (0y) | ||
| George Benjamin Rovee | Registered representative | Jun 2026 (0y) | ||
| Rosanne M Kane | Registered representative | Jun 2026 (0y) | ||
| Briston Reese | Registered representative | Jun 2026 (0y) | ||
| Jordan Strickland | Registered representative | Jun 2026 (0y) | ||
| Sean Joseph Trottier | Registered representative | Jun 2026 (0y) | ||
| Brandon Goldberg | Registered representative | Jun 2026 (0y) | ||
| Darius White | Registered representative | CFP | Jun 2026 (0y) | |
| Steven Francione | Registered representative | Jun 2026 (0y) | ||
| Nicholas Siegfried Schwitzgebel | Registered representative | Jun 2026 (0y) | ||
| Geno B Frissora | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| John Andrew Nolle | Registered representative | Jun 2026 (0y) | ||
| Oliver Eaton | Registered representative | Jun 2026 (0y) | ||
| Nathan James Sullivan | Registered representative | Jun 2026 (0y) | ||
| Theodore Katelas | Registered representative | Jun 2026 (0y) | ||
| Clifford Kangsuk Kim | Registered representative | Jun 2026 (0y) | ||
| Aidan Joseph Shaffer | Registered representative | Jun 2026 (0y) | ||
| Dawn Aglae Spaulding | Registered representative | Jun 2026 (0y) | ||
| Roderick O Williams | Registered representative | Jun 2026 (0y) | ||
| Ava Henry | Registered representative | Jul 2026 (0y) | ||
| Cody A Hudson | Registered representative | Jul 2026 (0y) | ||
| Brayden Curtis | Registered representative | Jul 2026 (0y) | ||
| Peter Anthony Crinella | Registered representative | Jul 2026 (0y) | ||
| Amber M Amidon | Registered representative | Jul 2026 (0y) | ||
| Lars Gwartney | Registered representative | CFP Chartered Financial Consultant | Jul 2026 (0y) | |
| Dustin Chandler Holloway | Registered representative | Jul 2026 (0y) | ||
| Emily Fowler | Registered representative | Jul 2026 (0y) | ||
| Salvatore Giorgio | Registered representative | Jul 2026 (0y) | ||
| Andrew Thomas Schwandt | Registered representative | Jul 2026 (0y) | ||
| Collin Timothy Watkins | Registered representative | Jul 2026 (0y) | ||
| Rhett Andre Bergeron | Registered representative | Jul 2026 (0y) | ||
| Benjamin Robert Johnson | Registered representative | Jul 2026 (0y) | ||
| Samantha Jo Wineke | Registered representative | Jul 2026 (0y) | ||
| Malcolm Migoya | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Guardian Life Insurance Company Of America | Owner | Dec 2019 | A | 75% or more |
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 (24)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| National Board For Certified Counselors, Inc 401(k) Plan | National Board For Certified Counselors, Inc. | 156 | $7.7M | 07/01/2024 |
| 603 Healthcare 401(k) Plan | 603 Healthcare Llc | 471 | $490K | 02/28/2024 |
| Hampton Jitney, Inc. 401(k) Retirement Savings Plan | Hampton Jitney, Inc. | 157 | $10.7M | 01/01/2024 |
| Kocher + Beck Usa, L.P. 401(k) Plan | Kocher And Beck Usa, L.P. | 91 | $8.3M | 01/01/2024 |
| Blue Stream Fiber 401(k) Plan | Blue Stream Communications | 511 | $15.6M | 01/01/2024 |
| Ezra Medical Center 403(b) Retirement Plan | Lerfuah Medical And Rehabilitation Center Inc. Dba Ezra Medical Center | 247 | $5.2M | 01/01/2024 |
| Power Drives, Inc. 401(k) Savings Plan | Power Drives, Inc. | 103 | $8.3M | 01/01/2024 |
| American Cruise Lines, Inc. 401(k) Profit Sharing Plan | American Cruise Lines, Inc. | 1,358 | $14.8M | 01/01/2024 |
| Townsquare Media, Inc. 401 K Plan | Townsquare Media, Inc. | 2,034 | $111M | 01/01/2024 |
| Spring Hills Llc 401(k) Plan | Spring Hills, Llc. | 1,717 | $5.5M | 01/01/2024 |
| Community Health Network | Stephen F Austin Community Healt | 395 | $6.3M | 01/01/2024 |
| Child Care Resource And Referral, Inc. Matched Savings Retirement Plan | Child Care Resource & Referral, Inc. | 164 | $7.8M | 01/01/2024 |
| Opentech Alliance 401(k) Profit Sharing Plan | Opentech Alliance, Inc. | 163 | $4.9M | 01/01/2024 |
| Stellar Health Management, Llc 401(k) Plan | Stellar Health Management, Llc | 972 | $12.2M | 01/01/2024 |
| Marki Microwave Retirement Plan | Marki Microwave, Inc. | 157 | $18.3M | 01/01/2024 |
| Roberts Oxygen Company 401(k) Plan | Roberts Oxygen Company, Inc. | 509 | $9.6M | 01/01/2024 |
| Principal Ease 401(k) Plan | Principal Life Insurance Company | 161,040 | $651M | 01/01/2024 |
| Cfs Pep | Americantcs Fiduciary Services, Llc | 436 | $10.8M | 01/01/2024 |
| Commentsold, Llc 401(k) Plan | Commentsold, Llc | 63 | $6.1M | 01/01/2024 |
| Pointe Group Care 401(k) Plan | Pointe Group Care, Llc | 1,246 | $23.6M | 01/01/2024 |
| Ground Support Services Prevailing Wage Plan | Greater Shield, Llc Dba Ground Support Services | 153 | $2.6M | 01/01/2024 |
| Crs, Inc. 401 K Profit Sharing Plan | Crs, Inc. | 174 | $36.1M | 01/01/2024 |
| Privilege Underwriters, Inc. 401(k) Plan | Privilege Underwriters, Inc. | 1,133 | $169M | 01/01/2024 |
| Eden Hc 401(k) Plan | 239 Legris Ave Operations, Llc | 723 | $7.1M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/01/2026 | 3.69 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory
as of Oct 18, 2024
Allegations: IN AN ORDER TO SHOW CAUSE, THE COMMISSION STATED THAT PARK AVENUE SECURITIES LLC (PAS) FAILED TO REASONABLY SUPERVISE ONE OF ITS REGISTERED REPRESENTATIVES IN ALABAMA IN THAT HIS BUSINESS ACTIVITY PERFORMED UNDER HIS DBA, WHICH WAS LISTED AS A BRANCH OFFICE OF PAS, REQUIRED PROPER REGISTRATION IN ALABAMA AS AN INVESTMENT ADVISER REPRESENTATIVE AND INVESTMENT ADVISER. Status: Pending Summary: AN INFORMAL MEETING WILL BE REQUESTED WITH THE DIRECTOR OF THE ALABAMA SECURITIES COMMISSION OR THE COMMISSION STAFF TO DISCUSS ITS FINDINGS AND RESOLVE THE MATTER. THE FIRM HAS NOT RECEIVED ANY COMMUNICATION REGARDING THIS MATTER IN APPROXIMATELY FIVE YEARS. THE FIRM CONSIDERS THIS MATTER CLOSED UNTIL FURTHER COMMUNICATION IS RECEIVED.
Regulatory · Item 11.E(2)
as of Oct 18, 2024
Allegations: WITH RESPECT TO FINRA RULE 2010, NASD RULES 2110 AND 3010, FINRA ALLEGED THAT PARK AVENUE SECURITIES LLC, IN ITS CAPACITY AS A BROKER-DEALER, FAILED TO: (1) ADEQUATELY INVESTIGATE CERTAIN REGISTERED REPRESENTATIVES' INVOLVEMENT WITH A PONZI SCHEME; (2) ADEQUATELY INVESTIGATE ALLEGATIONS MADE BY TWO REGISTERED REPRESENTATIVES THAT A MEMBER OF THE FIRM'S SUPERVISORY STAFF HAD SUGGESTED THAT THE TWO REGISTERED REPRESENTATIVES DESTROY DOCUMENTS AND PROVIDE MISLEADING INFORMATION IN CONNECTION WITH PARK AVENUE SECURITIES' INTERNAL INVESTIGATION; AND (3) ESTABLISH AN ADEQUATE SUPERVISORY SYSTEM FOR REVIEWING CERTAIN EMAILS. Status: Final Sanction Detail: FINRA ISSUED A FINE OF $175,000.00 AGAINST PARK AVENUE SECURITIES LLC. ON NOVEMBER 14, 2011 PARK AVENUE SECURITES LLC ISSUED A CHECK TO FINRA IN THE AMOUNT OF $175,000.00 AS PAYMENT OF THE FINE. Summary: AS A RESULT OF ITS FINDINGS RELATIVE TO FINRA RULE 2010, NASD RULES 2110 AND 3010, ON NOVEMBER 8, 2011, THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (FINRA) CENSURED AND FINED PARK AVENUE SECURITIES LLC, IN ITS CAPACITY AS A BROKER-DEALER, $175,000.00 FOR FAILING TO: (1) ADEQUATELY INVESTIGATE CERTAIN REGISTERED REPRESENTATIVES' INVOLVEMENT WITH A PONZI SCHEME; (2) ADEQUATELY INVESTIGATE ALLEGATIONS MADE BY TWO REGISTERED REPRESENTATIVES THAT A MEMBER OF THE FIRM'S SUPERVISORY STAFF HAD SUGGESTED THAT THE TWO REGISTERED REPRESENTATIVES DESTROY DOCUMENTS AND PROVIDE MISLEADING INFORMATION IN CONNECTION WITH PARK AVENUE SECURITIES' INTERNAL INVESTIGATION; AND (3) ESTABLISH AN ADEQUATE SUPERVISORY SYSTEM FOR REVIEWING CERTAIN EMAILS.
Regulatory · Item 11.E(2)
as of Oct 18, 2024
Allegations: IN CONNECTION WITH THE MISAPPROPRIATION OF FUNDS FROM TWO CUSTOMERS BY AN UNREGISTERED SALES ASSISTANT, FINRA CENSURED AND FINED PARK AVENUE SECURITIES ("PAS") $195,000 IN ITS CAPACITY AS A BROKER-DEALER FOR FAILING TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING THE MONITORING OF CUSTOMER TRADES AND FOR FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO FOLLOW UP ON THE PERFORMANCE OF ITS SUPERVISORS WITH REGARD TO MONITORING TRADE EXECUTIONS, IN VIOLATION OF NASD RULES 3010(A), 3010(B) AND FINRA RULE 2010. PAS ALSO FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE TRANSMITTAL OF FUNDS FROM THE ACCOUNTS OF ITS CUSTOMERS TO THIRD PARTY ACCOUNTS AND OUTSIDE ENTITIES, IN VIOLATION OF NASD RULES 3010, 3012(A)(2)(B)(I) AND FINRA RULE 2010. Status: Final Sanction Detail: ON NOVEMBER 18, 2016, FINRA CENSURED AND FINED PARK AVENUE SECURITIES ("PAS") $195,000 IN ITS CAPACITY AS A BROKER-DEALER Summary: IN CONNECTION WITH THE MISAPPROPRIATION OF FUNDS FROM TWO CUSTOMERS BY AN UNREGISTERED SALES ASSISTANT, FINRA CENSURED AND FINED PARK AVENUE SECURITIES ("PAS") $195,000 IN ITS CAPACITY AS A BROKER-DEALER FOR FAILING TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING THE MONITORING OF CUSTOMER TRADES AND FOR FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO FOLLOW UP ON THE PERFORMANCE OF ITS SUPERVISORS WITH REGARD TO MONITORING TRADE EXECUTIONS, IN VIOLATION OF NASD RULES 3010(A), 3010(B) AND FINRA RULE 2010. PAS ALSO FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE TRANSMITTAL OF FUNDS FROM THE ACCOUNTS OF ITS CUSTOMERS TO THIRD PARTY ACCOUNTS AND OUTSIDE ENTITIES, IN VIOLATION OF NASD RULES 3010, 3012(A)(2)(B)(I) AND FINRA RULE 2010.
Regulatory · Item 11.E(2)
as of Oct 18, 2024
Allegations: IN CONNECTION WITH THE MISAPPROPRIATION OF FUNDS FROM TWO CUSTOMERS BY AN UNREGISTERED SALES ASSISTANT, FINRA CENSURED AND FINED PARK AVENUE SECURITIES ("PAS") $195,000 IN ITS CAPACITY AS A BROKER-DEALER FOR FAILING TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING THE MONITORING OF CUSTOMER TRADES AND FOR FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO FOLLOW UP ON THE PERFORMANCE OF ITS SUPERVISORS WITH REGARD TO MONITORING TRADE EXECUTIONS, IN VIOLATION OF NASD RULES 3010(A), 3010(B) AND FINRA RULE 2010. PAS ALSO FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE TRANSMITTAL OF FUNDS FROM THE ACCOUNTS OF ITS CUSTOMERS TO THIRD PARTY ACCOUNTS AND OUTSIDE ENTITIES, IN VIOLATION OF NASD RULES 3010, 3012(A)(2)(B)(I) AND FINRA RULE 2010. Status: Final Sanction Detail: ON NOVEMBER 18, 2016, FINRA CENSURED AND FINED PARK AVENUE SECURITIES ("PAS") $195,000 IN ITS CAPACITY AS A BROKER-DEALER Summary: IN CONNECTION WITH THE MISAPPROPRIATION OF FUNDS FROM TWO CUSTOMERS BY AN UNREGISTERED SALES ASSISTANT, FINRA CENSURED AND FINED PARK AVENUE SECURITIES ("PAS") $195,000 IN ITS CAPACITY AS A BROKER-DEALER FOR FAILING TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING THE MONITORING OF CUSTOMER TRADES AND FOR FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO FOLLOW UP ON THE PERFORMANCE OF ITS SUPERVISORS WITH REGARD TO MONITORING TRADE EXECUTIONS, IN VIOLATION OF NASD RULES 3010(A), 3010(B) AND FINRA RULE 2010. PAS ALSO FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE TRANSMITTAL OF FUNDS FROM THE ACCOUNTS OF ITS CUSTOMERS TO THIRD PARTY ACCOUNTS AND OUTSIDE ENTITIES, IN VIOLATION OF NASD RULES 3010, 3012(A)(2)(B)(I) AND FINRA RULE 2010.
Regulatory · Item 11.E(2)
as of Oct 18, 2024
Allegations: IN CONNECTION WITH AN UNDISCLOSED OUTSIDE BUSINESS ACTIVITY OF A PAS REGISTERED REPRESENTATIVE, PAS, WITHOUT ADMITTING OR DENYING THE FINDINGS, AGREED TO A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH FINRA FOR THE PURPOSE OF SETTLING ALLEGED FINRA RULE VIOLATIONS. PAS WAS CENSURED AND FINED $30,000 BY FINRA FOR VIOLATING FINRA RULE 3110 BY FAILING TO INVESTIGATE RED FLAGS THAT THE REPRESENTATIVE WAS ENGAGED IN AN UNDISCLOSED OUTSIDE BUSINESS ACTIVITY AND UNAPPROVED PRIVATE SECURITIES TRANSACTIONS AND FINRA RULE 2010. Status: Final Sanction Detail: ON MAY 31, 2023, FINRA CENSURED AND FINED PARK AVENUE SECURITIES LLC $30,000 IN ITS CAPACITY AS A BROKER-DEALER
Regulatory · Item 11.D(2)
as of Oct 18, 2024
Allegations: THE NYS INSURANCE DEPARTMENT FOUND THAT PARK AVENUE SECURITIES VIOLATED SECTION 2110(I)OF THE INSURANCE LAW IN THAT IT FAILED TO NOTIFY THE DEPARTMENT WITHIN 30 DAYS THAT ITS INSURANCE PRODUCER'S LICENSE WAS SUSPENDED BY THE INDIANA DOI FOR THE PERIOD MAY 1, 2003 TO MAY 8, 2003 FOR FAILING TO PROVIDE TIMELY REQUESTED DOCUMENTS,THAT IT WAS FINED $30,000 BY THE UTAH DEPT OF COMMERCE DIV. OF SECURITIES IN OCTOBER 2003 AND THAT IT WAS FINED $200 BY THE ALASKA DOI IN SEPTEMBER 2003. Status: Final Sanction Detail: NO INDIVIDUAL WAS SANCTIONED.
Regulatory · Item 11.D(2)
as of Oct 18, 2024
Allegations: THE NYS INSURANCE DEPARTMENT FOUND THAT PARK AVENUE SECURITIES VIOLATED SECTION 2110(I)OF THE INSURANCE LAW IN THAT IF FAILED TO NOTIFY THE DEPARTMENT WITHIN 30 DAYS THAT ITS INSURANCE PRODUCER'S LICENSE WAS SUSPENDED BY THE INDIANA DOI FOR THE PERIOD MAY 1, 2003 TO MAY 8, 2003 FOR FAILING TO PROVIDE TIMELY REQUESTED DOCUMENTS, THAT IT WAS FINED $30,000 BY THE UTAH DEPARTMENT OF COMMERCE, DIVISION OF SECURITIES IN OCTOBER 2003 AND THAT IT WAS FINED $200 BY THE ALASKA DEPARTMENT OF INSURANCE IN SEPTEMBER 2003. Status: Final Sanction Detail: NO INDIVIDUAL WAS SANCTIONED. Summary: APPLICANT AGREES TO TAKE ALL NECESSARY STEPS TO PREVENT RECURRENCE OF SIMILAR VIOLATIONS AND THAT STIPULATION AND ANY ADMISSION MAY BE USED BY THE DEPARTMENT IF IT INSTITUES ANY OTHER DISCIPLINARY ACTION.
Regulatory · Item 11.D(2), 11.E(2)
as of Oct 18, 2024
Allegations: NASD BY-LAWS ARTICLE V, NASD RULES 2110, 3010: THE FIRM'S FORM FILINGS WITH FINRA'S CENTRAL REGISTRATION DEPOSITORY INCLUDED AMENDMENTS TO FORMS U4 AND U5 WITH DISCLOSURE REPORTING PAGE. SOME OF THE FORMS U4 AND U5 AMENDMENTS WITH DISCLOSURE REPORTING PAGE WERE FILED LATE AS MEASURED FROM 30 DAYS AFTER THE FIRM KNEW OR SHOULD HAVE KNOWN OF THE EVENT TRIGGERING A DISCLOSURE OBLIGATION. THE FIRM FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES RELATING TO ITS DIRECT MUTUAL FUND AND 529 PLAN BUSINESS IN THAT CERTAIN OF ITS REQUIRED FORMS FOR PURPOSES OF SWITCHING AND BREAKPOINTS WERE NOT UTILIZED. Status: Final Sanction Detail: FINE OF $25,000.00 ISSUED TO PAS.
Regulatory · Item 11.D(2), 11.E(2)
as of Oct 18, 2024
Summary: "OUR CONTROL AFFILIATE, GUARDIAN INVESTOR SERVICES LLC, (CRD #6635), IS A REGISTERED BROKER-DEALER AND HAS MADE DISCLOSURES FOR ITEM 11. FOR MORE INFORMATION, PLEASE SEE OUR AFFILIATE'S FORM BD
Regulatory · Item 11.D(1), 11.E(2)
as of Oct 18, 2024
Allegations: MS. BIGGS FAILED TO REPORT PRIOR SEC ADMINISTRATIVE ACTION AGAINST HER WHEN RENEWING INSURANCE LICENSE. Status: Final Sanction Detail: SEE EXPLANATION ITEM 2. Summary: SEE ABOVE.
Regulatory
as of Oct 18, 2024
Allegations: AT TIMES DURING THE PERIOD JANUARY 1, 2014 TO OCTOBER 31, 2018 (THE "RELEVANT PERIOD"), PAS PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. PAS, IN VIOLATION OF SECTIONS 206(2) AND 207 OF THE INVESTMENT ADVISERS ACT OF 1940 FAILED TO DISCLOSE IN ITS FORM ADV OR OTHERWISE THE CONFLICTS OF INTEREST RELATED TO (A) ITS RECEIPT OF 12B-1 FEES, AND/OR (B) ITS SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. Status: Final Sanction Detail: PAS SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. PAS IS CENSURED, SHALL PAY DISGORGEMENT OF $508,083 AND PREJUDGMENT INTEREST OF $56,184 AND SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER OF SETTLEMENT. Summary: PAS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE AND-DESIST PROCEEDINGS ("ORDER") BY THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC"). PURSUANT TO THE ORDER, THE SEC FOUND THAT FROM JANUARY 1, 2014 THROUGH OCTOBER 31, 2018 CERTAIN PAS CLIENTS PARTICIPATING IN PROPRIETARY ADVISORY PROGRAMS WERE INVESTED IN MUTUAL FUND SHARE CLASSES WITH HIGHER COSTS (IN THE FORM OF RULE 12B-1 FEES) WITHOUT ADEQUATELY DISCLOSING THAT LOWER-COST SHARE CLASSES (WITHOUT RULE 12B-1 FEES) OF THOSE FUNDS WERE AVAILABLE. SPECIFICALLY, PAS DID NOT ADEQUATELY DISCLOSE CONFLICTS OF INTEREST RELATED TO ITS RECEIPT OF RULE 12B-1 FEES, AND THE AVAILABILITY OF MUTUAL FUND SHARE CLASSES THAT DID NOT PAY SUCH FEES. PAS CONSENTED TO THE ENTRY OF THE ORDER THAT IT VIOLATED SECTIONS 206(2) AND 207 OF THE INVESTMENT ADVISERS ACT OF 1940 AND AGREED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207. PAS AGREED TO PAY DISGORGEMENT OF $508,083 AND PREJUDGMENT INTEREST OF $56,184 TO AFFECTED CLIENTS.
Regulatory
as of Oct 18, 2024
Allegations: AT TIMES DURING THE PERIOD JANUARY 1, 2014 TO OCTOBER 31, 2018 (THE "RELEVANT PERIOD"), PAS PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. PAS, IN VIOLATION OF SECTIONS 206(2) AND 207 OF THE INVESTMENT ADVISERS ACT OF 1940 FAILED TO DISCLOSE IN ITS FORM ADV OR OTHERWISE THE CONFLICTS OF INTEREST RELATED TO (A) ITS RECEIPT OF 12B-1 FEES, AND/OR (B) ITS SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. Status: Final Sanction Detail: PAS SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. PAS IS CENSURED, SHALL PAY DISGORGEMENT OF $508,083 AND PREJUDGMENT INTEREST OF $56,184 AND SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER OF SETTLEMENT. Summary: PAS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE AND-DESIST PROCEEDINGS ("ORDER") BY THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC"). PURSUANT TO THE ORDER, THE SEC FOUND THAT FROM JANUARY 1, 2014 THROUGH OCTOBER 31, 2018 CERTAIN PAS CLIENTS PARTICIPATING IN PROPRIETARY ADVISORY PROGRAMS WERE INVESTED IN MUTUAL FUND SHARE CLASSES WITH HIGHER COSTS (IN THE FORM OF RULE 12B-1 FEES) WITHOUT ADEQUATELY DISCLOSING THAT LOWER-COST SHARE CLASSES (WITHOUT RULE 12B-1 FEES) OF THOSE FUNDS WERE AVAILABLE. SPECIFICALLY, PAS DID NOT ADEQUATELY DISCLOSE CONFLICTS OF INTEREST RELATED TO ITS RECEIPT OF RULE 12B-1 FEES, AND THE AVAILABILITY OF MUTUAL FUND SHARE CLASSES THAT DID NOT PAY SUCH FEES. PAS CONSENTED TO THE ENTRY OF THE ORDER THAT IT VIOLATED SECTIONS 206(2) AND 207 OF THE INVESTMENT ADVISERS ACT OF 1940 AND AGREED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207. PAS AGREED TO PAY DISGORGEMENT OF $508,083 AND PREJUDGMENT INTEREST OF $56,184 TO AFFECTED CLIENTS.
Regulatory · Item 11.E(2)
as of Oct 18, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO IDENTIFY AND APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS (UITS). ON MARCH 31, 2004, FINRA ISSUED NOTICE TO MEMBERS 04-26, UNIT INVESTMENT TRUST SALES, WHICH REMINDED BROKER-DEALERS THAT THEY SHOULD DEVELOP AND IMPLEMENT PROCEDURES TO ENSURE CUSTOMERS RECEIVE AVAILABLE SALES CHARGE DISCOUNTS FOR UITS. THE NOTICE FURTHER STATED THAT UIT TRANSACTIONS MUST TAKE PLACE "ON THE MOST ADVANTAGEOUS TERMS AVAILABLE TO THE CUSTOMER" AND THAT IT IS THE FIRM'S RESPONSIBILITY TO "TAKE APPROPRIATE STEPS TO ENSURE THAT THEY AND THEIR EMPLOYEES UNDERSTAND, INFORM CUSTOMERS ABOUT, AND APPLY CORRECTLY ANY APPLICABLE PRICE BREAKS AVAILABLE TO CUSTOMERS IN CONNECTION WITH UITS." THE FINDINGS STATED THAT SPECIFICALLY, THE FIRM FAILED TO APPLY SALES CHARGE DISCOUNTS TO 2,715 ELIGIBLE UIT PURCHASES RESULTING IN CUSTOMERS PAYING EXCESSIVE SALES CHARGES OF APPROXIMATELY $443,255.07. ALMOST ALL THE MISSED SALES CHARGE DISCOUNTS INVOLVED MISSED ROLLOVER AND EXCHANGE DISCOUNTS. THE FIRM HAS PAID RESTITUTION TO ALL AFFECTED CUSTOMERS AND PROVIDED PROOF OF PAYMENT TO FINRA. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE CUSTOMERS RECEIVED SALES CHARGE DISCOUNTS ON ALL ELIGIBLE UIT PURCHASES. THE FIRM RELIED PRIMARILY ON ITS REGISTERED REPRESENTATIVES TO ENSURE THAT CUSTOMERS RECEIVED APPROPRIATE UIT SALES CHARGE DISCOUNTS (WITH THE EXCEPTION OF BREAKPOINTS, WHICH WERE AUTOMATED), DESPITE THE FACT THAT THE FIRM DID NOT EFFECTIVELY INFORM AND TRAIN REPRESENTATIVES AND THEIR SUPERVISORS TO IDENTIFY AND APPLY SUCH SALES CHARGE DISCOUNTS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $300,000, AND ORDERED TO PAY $443,255.07 IN RESTITUTION TO CUSTOMERS. Summary: ON OCTOBER 20, 2015, THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") CENSURED AND FINED PARK AVENUE SECURITIES $300,000 IN ITS CAPACITY AS A BROKER-DEALER AND ORDERED RESTITUTION TO CLIENTS IN THE AMOUNT OF $443,255, FOR FAILING TO: (1) APPLY ROLLOVER SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS ("UITS") IN VIOLATION OF FINRA RULE 2010 (2) ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES ("WSPS") REASONABLY DESIGNED TO ENSURE THAT CUSTOMERS RECEIVED ROLLOVER SALES CHARGE DISCOUNTS ON ALL ELIGIBLE UIT PURCHASES IN VIOLATION OF NASD CONDUCT RULE 3010 AND FINRA RULE 2010.
Regulatory · Item 11.E(2)
as of Oct 18, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES (WSPS) REASONABLY DESIGNED TO ENSURE THAT REPRESENTATIVES' RECOMMENDATIONS CONCERNING MULTI-SHARE CLASS VARIABLE ANNUITIES COMPLIED WITH APPLICABLE SECURITIES LAW, REGULATIONS AND RULES. THE FINDINGS STATED THAT THE FIRM'S SALES OF VARIABLE ANNUITIES INCLUDED L-SHARE CONTRACTS. NEVERTHELESS, THE FIRM'S WSPS FAILED TO ADDRESS SUITABILITY CONSIDERATIONS FOR SALES OF DIFFERENT VARIABLE ANNUITY SHARE CLASSES. THE FIRM DID NOT PROVIDE TRAINING TO REGISTERED REPRESENTATIVES ON THE FEATURES OF THE VARIOUS SHARE CLASSES AND THE ASSOCIATED FEES AND SURRENDER CHARGES, AND DID NOT PROVIDE THEM WITH ADEQUATE INFORMATION TO COMPARE SHARE CLASSES TO MAKE SUITABILITY DETERMINATIONS. IN ADDITION, THE FIRM HAD NO WSPS, AND FAILED TO PROVIDE GUIDANCE OR TRAINING TO REGISTERED REPRESENTATIVES AND PRINCIPALS, REGARDING THE SALE OF LONG-TERM INCOME RIDERS WITH MULTI-SHARE CLASS VARIABLE ANNUITIES, PARTICULARLY THE COMBINATION OF L-SHARE CONTRACTS WITH LONG-TERM INCOME RIDERS. THE FIRM HAD NO SURVEILLANCE PROCEDURES TO DETERMINE IF ANY OF ITS REPRESENTATIVES HAD POTENTIALLY INAPPROPRIATE RATES OF VARIABLE ANNUITY EXCHANGES. LATER, THE FIRM PROVIDED ADDITIONAL TRAINING TO ITS REGISTERED REPRESENTATIVES REGARDING MULTI-SHARE CLASS VARIABLE ANNUITIES, INCLUDING L-SHARE CONTRACTS. SUBSEQUENTLY, THE FIRM'S REPRESENTATIVES SOLD FEWER L-SHARE CONTRACTS AND IT CEASED SELLING L-SHARE CONTRACTS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $300,000 AND REQUIRED TO SUBMIT A WRITTEN CERTIFICATION TO FINRA THAT IT HAS COMPLETED A REVIEW OF ITS SYSTEMS AND PROCEDURES REGARDING THE SUPERVISION OF VARIABLE ANNUITIES, AND AS OF THE DATE OF THE CERTIFICATION, ITS POLICIES, SYSTEMS AND PROCEDURES (WRITTEN AND OTHERWISE) ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND FINRA RULES, INCLUDING THE FINRA RULES ADDRESSED IN THE AWC.
Regulatory · Item 11.E(2)
as of Oct 18, 2024
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 WHO WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE FINDINGS STATED THAT THESE ELIGIBLE 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. THESE SALES DISADVANTAGED ELIGIBLE CUSTOMERS BY CAUSING SUCH CUSTOMERS TO PAY HIGHER FEES THAN THEY WERE ACTUALLY REQUIRED TO PAY. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO REASONABLY SUPERVISE THE APPLICATION OF SALES-CHARGE WAIVERS TO ELIGIBLE MUTUAL FUND SALES. THE FIRM RELIED ON ITS FINANCIAL ADVISORS TO DETERMINE THE APPLICABILITY OF SALES-CHARGE WAIVERS, BUT FAILED TO MAINTAIN ADEQUATE WRITTEN SUPERVISORY PROCEDURES (WSPS) TO ASSIST FINANCIAL ADVISORS IN MAKING THIS DETERMINATION. IN ADDITION, THE FIRM FAILED TO ADEQUATELY NOTIFY AND TRAIN ITS FINANCIAL ADVISORS REGARDING THE AVAILABILITY OF MUTUAL FUND SALES-CHARGE WAIVERS FOR ELIGIBLE CUSTOMERS. THE FIRM FAILED TO ADOPT ADEQUATE CONTROLS TO DETECT INSTANCES IN WHICH THEY DID NOT PROVIDE SALES-CHARGE WAIVERS TO ELIGIBLE CUSTOMERS IN CONNECTION WITH THEIR MUTUAL FUND PURCHASES. AS A RESULT OF THE FIRM'S FAILURE TO APPLY AVAILABLE SALES CHARGE WAIVERS, IT ESTIMATES THAT ELIGIBLE CUSTOMERS WERE OVERCHARGED BY APPROXIMATELY $560,170 FOR MUTUAL FUND PURCHASES MADE SINCE JANUARY 1, 2011. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND IS REQUIRED TO PROVIDE FINRA WITH A PLAN TO REMEDIATE ELIGIBLE CUSTOMERS WHO QUALIFIED FOR, BUT DID NOT RECEIVE, THE APPLICABLE MUTUAL FUND SALES-CHARGE WAIVER. AS PART OF THIS SETTLEMENT, THE FIRM AGREES TO PAY RESTITUTION TO ELIGIBLE CUSTOMERS, WHICH IS ESTIMATED TO TOTAL $640,552 (I.E., THE AMOUNT ELIGIBLE CUSTOMERS WERE OVERCHARGED, INCLUSIVE OF INTEREST).
Regulatory · Item 11.D(4)
as of Oct 18, 2024
Allegations: VIOLATION OF 18 DEL.C SECTION 1717(A) A PRODUCER SHALL REPORT TO THE INSURANCE COMMISIONER ANY ADMINISTRATIVE ACTION TAKEN AGAINST THE PRODUCER IN ANOTHER JURISDICTION OR BY ANOTHER GOVERNMENTAL AGENCY IN THIS STATE WITHIN THIRTY DAYS OF THE FINAL DISPOSITION OF THE MATTER. Status: Final Sanction Detail: $200 FINE PAID BY PAS. Summary: VIOLATION OF 18 DEL.C SECTION 1717(A) A PRODUCER SHALL REPORT TO THE INSURANCE COMMISIONER ANY ADMINISTRATIVE ACTION TAKEN AGAINST THE PRODUCER IN ANOTHER JURISDICTION OR BY ANOTHER GOVERNMENTAL AGENCY IN THIS STATE WITHIN THIRTY DAYS OF THE FINAL DISPOSITION OF THE MATTER.
Regulatory · Item 11.D(4)
as of Oct 18, 2024
Allegations: RESPONDENT ACKNOWLEDGED THAT THE ALLEGATIONS CONTAINED IN THE THIRD AMENDED ACCUSATION BY THE CALIFORNIA DEPARTMENT OF INSURANCE, WHICH RELATE TO THE FIRM'S DISCLOSURES OF ALREADY RESOLVED MATTERS INVOLVING THE FIRM OVER A 16 YEAR PERIOD, IF PROVEN AT HEARING, WERE GROUNDS FOR THE CALIFORNIA INSURANCE COMMISSIONER TO SUSPEND OR REVOKE RESPONDENT'S NON-RESIDENT INSURANCE PRODUCER LICENSE. Status: Final Sanction Detail: RESPONDENT AGREED TO PAY SEVEN THOUSAND FIVE HUNDRED DOLLARS ($7,500) TO REIMBURSE THE COMMISSIONER FOR HIS COSTS. THIS WAS PAID ON DECEMBER 21, 2020.
Regulatory · Item 11.D(2)
as of Oct 18, 2024
Allegations: THE NYS INSURANCE DEPARTMENT FOUND THAT PARK AVENUE SECURITIES VIOLATED SECTION 2110(I)OF THE INSURANCE LAW IN THAT IF FAILED TO NOTIFY THE DEPARTMENT WITHIN 30 DAYS THAT ITS INSURANCE PRODUCER'S LICENSE WAS SUSPENDED BY THE INDIANA DOI FOR THE PERIOD MAY 1, 2003 TO MAY 8, 2003 FOR FAILING TO PROVIDE TIMELY REQUESTED DOCUMENTS, THAT IT WAS FINED $30,000 BY THE UTAH DEPARTMENT OF COMMERCE, DIVISION OF SECURITIES IN OCTOBER 2003 AND THAT IT WAS FINED $200 BY THE ALASKA DEPARTMENT OF INSURANCE IN SEPTEMBER 2003. Status: Final Sanction Detail: NO INDIVIDUAL WAS SANCTIONED.
Regulatory · Item 11.D(2)
as of Oct 18, 2024
Allegations: THE LOUISIANA COMMISSIONER OF INSURANCE REQUIRES ANY ADMINISTRATIVE ACTION TO BE REPORTED WITHIN 30 DAYS OF FINAL DISPOSITION OF THE MATTER. PAS WAS FINED BY THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ON APRIL 11, 2018 AND DID NOT NOTIFY LOUISIANA OF THIS FINE WITHIN THE REQUIRED TIME PERIOD. THE STATE OF LOUISIANA FINED PAS IN THE AMOUNT OF $250.00. Status: Final Sanction Detail: PARK AVENUE SECURITIES LLC WAS FINED $250.00.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
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