Lpl Financial Llc
SEC-registered
Broker-Dealer (Dually Registered) · Mega ($100B+)
CRD 6413
· SEC file 801-10970
· Fort Mill, SC
· www.instagram.com
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ADV data as of Jul 23, 2026
- Regulatory AUM
- $819B
- Discretionary
- $818B
- Clients
- 1,986,990
- Avg AUM / client
- $412K
- Accounts
- 2,850,994
- Employees
- 41,879
AUM over time
$79.3B
$819B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,291,397 | $231B | 28.3% |
| High net worth individuals | 671,511 | $553B | 67.5% |
| Pension and profit sharing plans | 10,450 | $13.3B | 1.62% |
| Charitable organizations | 5,086 | $7.6B | 0.93% |
| State or municipal government entities | 5 | $8.9M | 0.0% |
| Corporations and other businesses | 8,528 | $14.1B | 1.72% |
| Other | 13 | $5.4M | 0.0% |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Verano Learning Partners EIN 861017522 | Chandler, AZ | 06/30/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 820.
People (23,116)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Matthew Klaus Enyedi | Managing Director, National Sales | Jul 2003 (23y) | Less than 5% | |
| Audette, Matthew Jon | President And Chief Financial Officer | Sep 2015 (11y) | Less than 5% | |
| Richard C Steinmeier | Chief Executive Officer And Director | Aug 2018 (8y) | Less than 5% | |
| Ricketts, Judith Kohoskie | Executive Vice President, Operations And Principal Operations Officer | Nov 2020 (6y) | Less than 5% | |
| Gates, Gregory | Managing Director, Chief Information Officer | Jul 2021 (5y) | Less than 5% | |
| Jambusaria, Aneri | Managing Director Lpl Services Group | Jan 2022 (5y) | Less than 5% | |
| Simonich, Brent Blain | Executive Vice President, Chief Risk Officer | Apr 2022 (4y) | Less than 5% | |
| Brown, Althea Ann Marie | Managing Director, Chief Legal Officer And Director | Sep 2023 (3y) | Less than 5% | |
| Malfitano, Steven Thomas | Svp, Finance Capital Management And Principal Financial Officer | Sep 2023 (3y) | Less than 5% | |
| Mchale, James | Executive Vice President, Chief Compliance Officer | Oct 2023 (3y) | Less than 5% | |
| Dadyar, Labkhand Sara | Managing Director, Chief Human Capital Officer | Jan 2024 (3y) | Less than 5% | |
| David Allen Nyquist | Registered representative | Jul 1989 (37y) | ||
| Darryl Lee Scott | Registered representative | Feb 1990 (36y) | ||
| Mark Kipling Durham | Registered representative | Jun 1991 (35y) | ||
| Todd Porter Adams | Registered representative | CFP | Aug 1991 (35y) | |
| William Clay Larson | Registered representative | Dec 1991 (35y) | ||
| John Steven Orourke | Registered representative | Jan 1992 (35y) | ||
| Geary Martin Jerde | Registered representative | CFP | Jan 1992 (35y) | |
| John Bourne Morrow | Registered representative | CFP | Feb 1992 (34y) | |
| Lisa Anne Chirichillo | Registered representative | Jun 1992 (34y) | ||
| Stanley Dee Brown | Registered representative | Jun 1992 (34y) | ||
| Michael Ralph Lawrence | Registered representative | CFP Chartered Financial Consultant | Sep 1992 (34y) | |
| Peter Cina | Registered representative | Jul 1993 (33y) | ||
| Dywane Alberto Hall | Registered representative | Oct 1993 (33y) | ||
| James Richard Odonnell | Registered representative | Nov 1993 (33y) | ||
| Deborah Lee Danielson | Registered representative | Nov 1993 (33y) | ||
| Theodore Rocco Massaro | Registered representative | Chartered Financial Consultant | Feb 1994 (32y) | |
| Leo Salbe Coppeta | Registered representative | May 1994 (32y) | ||
| Mark Douglas Query | Registered representative | Jun 1994 (32y) | ||
| John Louis Kuntz | Registered representative | Jul 1994 (32y) | ||
| Robert Gary Brochu | Registered representative | Sep 1994 (32y) | ||
| Joan Marie Valenti | Registered representative | CFP | Sep 1994 (32y) | |
| Gary Lawrence Wageman | Registered representative | Oct 1994 (32y) | ||
| Louis Anthony Follo | Registered representative | Oct 1994 (32y) | ||
| Dwight Alan Robins | Registered representative | Oct 1994 (32y) | ||
| Sidney Joseph Lorio | Registered representative | CFP | Dec 1994 (32y) | |
| William Paul Czaplewski | Registered representative | Jan 1995 (32y) | ||
| Frederick Russell Bitsky | Registered representative | CFP | Jan 1995 (32y) | |
| David John Workman | Registered representative | Feb 1995 (31y) | ||
| Robert Mark Shepherd | Registered representative | CFP | Apr 1995 (31y) | |
| Richard Wayne Smith | Registered representative | Chartered Financial Consultant | Apr 1995 (31y) | |
| Charles Benjamin Strehlow | Registered representative | Apr 1995 (31y) | ||
| Donald Allen Rich | Registered representative | CFP | Jun 1995 (31y) | |
| Scott Blair Fisher | Registered representative | Jun 1995 (31y) | ||
| Lawrence Howard Katz | Registered representative | Jul 1995 (31y) | ||
| Richard Lee Pistulka | Registered representative | Jul 1995 (31y) | ||
| Marcella S Haines | Registered representative | Jul 1995 (31y) | ||
| Howard Victor Sloan | Registered representative | Aug 1995 (31y) | ||
| James Oneill Lunney | Registered representative | Aug 1995 (31y) | ||
| Kent Coleby Griffiths | Registered representative | CFP | Aug 1995 (31y) | |
| Samuel Stephen Henderson | Registered representative | Oct 1995 (31y) | ||
| Ricky Eugene Johnson | Registered representative | CFA | Oct 1995 (31y) | |
| David Scott Koenig | Registered representative | Dec 1995 (31y) | ||
| Brian Patrick Jonas | Registered representative | Dec 1995 (31y) | ||
| Robert Goodhill Rood | Registered representative | Jan 1996 (31y) | ||
| Vance Laverne Neal | Registered representative | Jan 1996 (31y) | ||
| John Weston Sigmon | Registered representative | CFP | Jan 1996 (31y) | |
| Michael Weston Sigmon | Registered representative | CFP Chartered Financial Consultant | Jan 1996 (31y) | |
| Steven Michael Tuchband | Registered representative | CFP | Jan 1996 (31y) | |
| Richard James Martin | Registered representative | Jan 1996 (31y) | ||
| David Kent Utterback | Registered representative | CFP | Jan 1996 (31y) | |
| Jeffrey Allen Cavender | Registered representative | Feb 1996 (31y) | ||
| Kathleen Mcinerney | Registered representative | CFP | Feb 1996 (30y) | |
| Ricky Allen Meyer | Registered representative | Feb 1996 (30y) | ||
| Steven Michael Booren | Registered representative | Feb 1996 (30y) | ||
| Douglas George Newman | Registered representative | Apr 1996 (30y) | ||
| Donald Eric Park | Registered representative | CFP | May 1996 (30y) | |
| Kenneth Eugene Knapp | Registered representative | Jun 1996 (30y) | ||
| Steven Andrew Budin | Registered representative | Jun 1996 (30y) | ||
| Mark Raymond Tutino | Registered representative | Jun 1996 (30y) | ||
| George William Byykkonen | Registered representative | Aug 1996 (30y) | ||
| John Edward Day | Registered representative | Sep 1996 (30y) | ||
| Haresh Roop Vaswani | Registered representative | Sep 1996 (30y) | ||
| Bob James Bollinger | Registered representative | CFP | Nov 1996 (30y) | |
| Erny Glenn Malakoff | Registered representative | Jan 1997 (30y) | ||
| David Mark Gallagher | Registered representative | Jan 1997 (30y) | ||
| Julia Hendrian Lester | Registered representative | Jan 1997 (30y) | ||
| John Michael Finn | Registered representative | Feb 1997 (29y) | ||
| Donald Paul Quint | Registered representative | Chartered Financial Consultant | Mar 1997 (29y) | |
| John Michael Walborn | Registered representative | Mar 1997 (29y) | ||
| Daniel Mark Yuhn | Registered representative | May 1997 (29y) | ||
| Dwight Kenneth Melgaard | Registered representative | May 1997 (29y) | ||
| Jon Paul Heller | Registered representative | May 1997 (29y) | ||
| Karen Richardson Campbell | Registered representative | Jul 1997 (29y) | ||
| Judy Lyn Cox | Registered representative | Jul 1997 (29y) | ||
| Vaughn Gene Nun | Registered representative | Jul 1997 (29y) | ||
| Jeffry Jay Phillips | Registered representative | CFP | Jul 1997 (29y) | |
| Jonathan Stuart Kleager | Registered representative | Jul 1997 (29y) | ||
| Frances Michele Comarshhein | Registered representative | Aug 1997 (29y) | ||
| Margaret Suzanne Kosmerl | Registered representative | Aug 1997 (29y) | ||
| Mark Thomas Grisedale | Registered representative | Aug 1997 (29y) | ||
| Michael Charles Fitzgerald Williams | Registered representative | Aug 1997 (29y) | ||
| Paul Conlon Yannalfo | Registered representative | Sep 1997 (29y) | ||
| Stephen Frank Eldridge | Registered representative | Sep 1997 (29y) | ||
| Robert John Teik | Registered representative | Chartered Financial Consultant | Sep 1997 (29y) | |
| Mark Andrew Kohn | Registered representative | Oct 1997 (29y) | ||
| Craig Alan Bernard | Registered representative | CFP Chartered Financial Consultant | Nov 1997 (29y) | |
| Deborah Susan Boisselle | Registered representative | Nov 1997 (29y) | ||
| Scott Clifford Dingman | Registered representative | CFP Chartered Financial Consultant | Nov 1997 (29y) | |
| Shari Diane Miller | Registered representative | Dec 1997 (29y) | ||
| Stephen Maxwell Ennis | Registered representative | Dec 1997 (29y) | ||
| Robert S Dale | Registered representative | CFP | Dec 1997 (29y) | |
| John Alan Richards | Registered representative | Dec 1997 (29y) | ||
| Andrew Charles Roth | Registered representative | Dec 1997 (29y) | ||
| Byron William Hancock | Registered representative | Dec 1997 (29y) | ||
| Chris Charles Dumford | Registered representative | Dec 1997 (29y) | ||
| Cindy Ann Havenhill | Registered representative | CFP | Dec 1997 (29y) | |
| Connie Joyce Mclaughlin | Registered representative | CFP | Dec 1997 (29y) | |
| Dale Grant Howard | Registered representative | Dec 1997 (29y) | ||
| Dana Wayne Morton | Registered representative | Chartered Financial Consultant | Dec 1997 (29y) | |
| Darren Scott Kington | Registered representative | Dec 1997 (29y) | ||
| David Alan Perry | Registered representative | Dec 1997 (29y) | ||
| Donald David Hankins | Registered representative | Dec 1997 (29y) | ||
| Eugene Charles Demmler | Registered representative | Dec 1997 (29y) | ||
| Gary Alan Soble | Registered representative | Dec 1997 (29y) | ||
| Gregory Paul Fortner | Registered representative | Dec 1997 (29y) | ||
| James Bernard Pierik | Registered representative | CFP Chartered Financial Consultant | Dec 1997 (29y) | |
| James Christopher Sterbick | Registered representative | Dec 1997 (29y) | ||
| James Richard Zivich | Registered representative | Dec 1997 (29y) | ||
| Janice Kay Hobbs | Registered representative | Dec 1997 (29y) | ||
| Kathleen Mary Erickson | Registered representative | Dec 1997 (29y) | ||
| Keith Wayne Buchanan | Registered representative | Dec 1997 (29y) | ||
| Kenneth Wayne Houldsworth | Registered representative | CFP | Dec 1997 (29y) | |
| Kevin Scott Hatch | Registered representative | Dec 1997 (29y) | ||
| Laila Sobhi Marshall Pence | Registered representative | CFP | Dec 1997 (29y) | |
| Linda Ann Walker | Registered representative | CFP | Dec 1997 (29y) | |
| Mark Robert Tober | Registered representative | Dec 1997 (29y) | ||
| Michael Thomas Rundlett | Registered representative | CFP | Dec 1997 (29y) | |
| Nicholas John Iammarino | Registered representative | CFP | Dec 1997 (29y) | |
| Olaf Andrew Hoff | Registered representative | Dec 1997 (29y) | ||
| Paul Martin Peters | Registered representative | Dec 1997 (29y) | ||
| Paul Scott King | Registered representative | CFP | Dec 1997 (29y) | |
| Raymond Kent Dexter | Registered representative | Dec 1997 (29y) | ||
| Rick Alvarado | Registered representative | CFP | Dec 1997 (29y) | |
| Robert Jeffery Bryar | Registered representative | Dec 1997 (29y) | ||
| Robin Christopher Ballard | Registered representative | Dec 1997 (29y) | ||
| Roger Carl Whittaker | Registered representative | Dec 1997 (29y) | ||
| Ronald Paul Holliday | Registered representative | Dec 1997 (29y) | ||
| Steve Jess Ferre | Registered representative | Dec 1997 (29y) | ||
| Steven Keith Krogh | Registered representative | CFP | Dec 1997 (29y) | |
| Steven Lee Van Houten | Registered representative | CFP | Dec 1997 (29y) | |
| Tina Marie Hum | Registered representative | CFP | Dec 1997 (29y) | |
| Valerie Mardell Harrison | Registered representative | Dec 1997 (29y) | ||
| Juan Luis Porro | Registered representative | Jan 1998 (29y) | ||
| Craig Evan Benjamin | Registered representative | Feb 1998 (28y) | ||
| Joseph Darren Altic | Registered representative | CFP | Feb 1998 (28y) | |
| Nelson Miki Kobata | Registered representative | CFP | Mar 1998 (28y) | |
| Bruce Alan Altheide | Registered representative | CFP | Apr 1998 (28y) | |
| Edward Hickey | Registered representative | CFP | Apr 1998 (28y) | |
| Bradley Eugene Neal | Registered representative | CFP | Apr 1998 (28y) | |
| David James Garner | Registered representative | Apr 1998 (28y) | ||
| David Rolland Page | Registered representative | Apr 1998 (28y) | ||
| Douglas Lee Mccoy | Registered representative | Apr 1998 (28y) | ||
| James Joseph Azzarello | Registered representative | CFP | Apr 1998 (28y) | |
| John Wright Donaldson | Registered representative | Apr 1998 (28y) | ||
| Michael Albert Kusay | Registered representative | Apr 1998 (28y) | ||
| Neil Robert Kitchie | Registered representative | Apr 1998 (28y) | ||
| Paul Mccann Goodworth | Registered representative | Apr 1998 (28y) | ||
| Robert Joseph Miller | Registered representative | Apr 1998 (28y) | ||
| Stephen John Tock | Registered representative | Apr 1998 (28y) | ||
| Steven Scott Witek | Registered representative | Apr 1998 (28y) | ||
| Michael Ray Howell | Registered representative | Aug 1998 (28y) | ||
| Mark Edward Delaney | Registered representative | Aug 1998 (28y) | ||
| Ronald Stuart Bergenske | Registered representative | Sep 1998 (28y) | ||
| Steven Bruce Katz | Registered representative | Sep 1998 (28y) | ||
| David Lee Weible | Registered representative | CFP | Sep 1998 (28y) | |
| Eric Jason Vincent | Registered representative | Sep 1998 (28y) | ||
| Stanley Trent Chandler | Registered representative | CFP | Sep 1998 (28y) | |
| Randall Shane Fidler | Registered representative | Oct 1998 (28y) | ||
| David Wayne Thurman | Registered representative | Dec 1998 (28y) | ||
| Mark Alan Blubaugh | Registered representative | Dec 1998 (28y) | ||
| Stephen John Spoltman | Registered representative | Chartered Financial Consultant | Dec 1998 (28y) | |
| William Thomas Cummins | Registered representative | CFP | Dec 1998 (28y) | |
| John Russell Armstrong | Registered representative | Dec 1998 (28y) | ||
| Jeff Stephen White | Registered representative | Dec 1998 (28y) | ||
| Andrew Charlton Lyford | Registered representative | Jan 1999 (28y) | ||
| Bradford Duane Lee | Registered representative | Jan 1999 (28y) | ||
| Carolyn Bragar Bondarovich | Registered representative | Jan 1999 (28y) | ||
| David Vaughn Sommers | Registered representative | Jan 1999 (28y) | ||
| Eric Lee Scheimer | Registered representative | Jan 1999 (28y) | ||
| Henry Danforth Kinney | Registered representative | Jan 1999 (28y) | ||
| Jack Ellsworth Craig | Registered representative | Jan 1999 (28y) | ||
| John Thomas Barry | Registered representative | Jan 1999 (28y) | ||
| Mark George Trevenna | Registered representative | Jan 1999 (28y) | ||
| Michael David Stone | Registered representative | CFP | Jan 1999 (28y) | |
| Nolan Barry Vosler | Registered representative | Jan 1999 (28y) | ||
| Todd Robert Gleason | Registered representative | Jan 1999 (28y) | ||
| Wayne Allan Jacobson | Registered representative | Jan 1999 (28y) | ||
| William Stephane Proctor | Registered representative | Jan 1999 (28y) | ||
| Sharon Kay Peterson | Registered representative | Chartered Financial Consultant | Jan 1999 (28y) | |
| Bryan Keith Shevak | Registered representative | CFP Chartered Financial Consultant | Jan 1999 (28y) | |
| Michael Joseph Guyerson | Registered representative | CFP | Feb 1999 (27y) | |
| Paul Reynold Cygal | Registered representative | Feb 1999 (27y) | ||
| Robert Wessley Napp | Registered representative | Feb 1999 (27y) | ||
| Fred Austin Newsom | Registered representative | Mar 1999 (27y) | ||
| John Domenic Alessandro | Registered representative | Mar 1999 (27y) | ||
| Melissa Leann Levin | Registered representative | Mar 1999 (27y) | ||
| Daniel Shawn Romero | Registered representative | CFP | Mar 1999 (27y) | |
| Elizabeth Concettina Wagner | Registered representative | Mar 1999 (27y) | ||
| Gregory Dan Breland | Registered representative | Mar 1999 (27y) | ||
| Wayne Keith Burgher | Registered representative | Apr 1999 (27y) | ||
| Dennis Gerald Hoff | Registered representative | May 1999 (27y) | ||
| Fadwa H Dahhan | Registered representative | May 1999 (27y) | ||
| Rajesh Kantilal Upadhyaya | Registered representative | May 1999 (27y) | ||
| Lisa Guzek Montagne | Registered representative | May 1999 (27y) | ||
| John Charles Harcar | Registered representative | May 1999 (27y) | ||
| Garry Steven Evans | Registered representative | May 1999 (27y) | ||
| Charles David Kelly | Registered representative | Jun 1999 (27y) | ||
| Mark Edward Reichhelm | Registered representative | Jun 1999 (27y) | ||
| John Bryant Coffey | Registered representative | Jul 1999 (27y) | ||
| Marcus Gregory Hennen | Registered representative | CFP | Jul 1999 (27y) | |
| Stanley Allen Diliberto | Registered representative | Jul 1999 (27y) | ||
| Sean Taro Hara | Registered representative | Jul 1999 (27y) | ||
| Troy Allen Jacks | Registered representative | Sep 1999 (27y) | ||
| Danielle Demarce Stanton | Registered representative | Sep 1999 (27y) | ||
| Brad Todd Kersten | Registered representative | Oct 1999 (27y) | ||
| Dennis Samuel Kersten | Registered representative | Oct 1999 (27y) | ||
| Robert Louis Franer | Registered representative | Oct 1999 (27y) | ||
| Aaron Michael Smith | Registered representative | Oct 1999 (27y) | ||
| Barbara Trusko Semisorow | Registered representative | Oct 1999 (27y) | ||
| Bradford Howard Tharp | Registered representative | CFP | Oct 1999 (27y) | |
| Dennis Ralph Marvin | Registered representative | CFP | Oct 1999 (27y) | |
| John Patrick Doyle | Registered representative | Oct 1999 (27y) | ||
| Michael Thomas Dolohanty | Registered representative | Oct 1999 (27y) | ||
| Nancy Ann Radzyminski | Registered representative | Oct 1999 (27y) | ||
| Philip Carson Shively | Registered representative | Oct 1999 (27y) | ||
| Ronald Dewaine Davis | Registered representative | Oct 1999 (27y) | ||
| Todd James Butler | Registered representative | Oct 1999 (27y) | ||
| Todd Lee Sattler | Registered representative | Oct 1999 (27y) | ||
| Christina Jean Pitcher | Registered representative | Oct 1999 (27y) | ||
| Spencer Jon Simonen | Registered representative | Nov 1999 (27y) | ||
| David Eugene Kirkby | Registered representative | Nov 1999 (27y) | ||
| Michael Dale Harvey | Registered representative | Dec 1999 (27y) | ||
| G Ward Keever | Registered representative | Dec 1999 (27y) | ||
| William Henry Crew | Registered representative | CFP | Jan 2000 (27y) | |
| Richard Joseph Gerrity | Registered representative | Jan 2000 (27y) | ||
| Alan Jon Webb | Registered representative | Jan 2000 (27y) | ||
| Gordon William Bauer | Registered representative | Jan 2000 (27y) | ||
| Perry Eugene Smith | Registered representative | Feb 2000 (26y) | ||
| John Bruce Trahern | Registered representative | Feb 2000 (26y) | ||
| Mark Allen Damron | Registered representative | CFP | Feb 2000 (26y) | |
| Scott Michael Kelly | Registered representative | Feb 2000 (26y) | ||
| Yooni Chang | Registered representative | Feb 2000 (26y) | ||
| Rodney Clinton Fowler | Registered representative | Feb 2000 (26y) | ||
| David Francis Webber | Registered representative | Mar 2000 (26y) | ||
| Patricia Kelley Borinski | Registered representative | Mar 2000 (26y) | ||
| Dwayne Edward Adams | Registered representative | CFP | Mar 2000 (26y) | |
| Kristi Delva Zakrzewski | Registered representative | Mar 2000 (26y) | ||
| Anne Melanie Roach | Registered representative | Mar 2000 (26y) | ||
| Daniel Ray Robinson | Registered representative | Apr 2000 (26y) | ||
| Calvin John Sendaydiego | Registered representative | Apr 2000 (26y) | ||
| Brian Lee Graber | Registered representative | May 2000 (26y) | ||
| William John Gomilla | Registered representative | CFP | May 2000 (26y) | |
| James Herbert Forcella | Registered representative | CFP | May 2000 (26y) | |
| James Hopkins Todd | Registered representative | May 2000 (26y) | ||
| Kevin Ryan Prestesater | Registered representative | May 2000 (26y) | ||
| Charles Richard Hearn | Registered representative | Chartered Financial Consultant | May 2000 (26y) | |
| Casey Paul Mclaughlin | Registered representative | Jun 2000 (26y) | ||
| Irene Berner | Registered representative | Jun 2000 (26y) | ||
| David John Reiniger | Registered representative | CFP Chartered Financial Consultant | Jul 2000 (26y) | |
| Carey Dunn Tremaine | Registered representative | Jul 2000 (26y) | ||
| Eric Montgomery Welch | Registered representative | Aug 2000 (26y) | ||
| George John Argeris | Registered representative | Aug 2000 (26y) | ||
| Brett Wesley Good | Registered representative | Aug 2000 (26y) | ||
| Kevin Joseph Kersten | Registered representative | Aug 2000 (26y) | ||
| Kimberly Zvonkovic Chorney | Registered representative | CFP | Aug 2000 (26y) | |
| Richard Edward Duarte | Registered representative | Sep 2000 (26y) | ||
| Robert Dale White | Registered representative | Sep 2000 (26y) | ||
| Paul Frederick Goldbach | Registered representative | Sep 2000 (26y) | ||
| Paul Maurice Decelles | Registered representative | Sep 2000 (26y) | ||
| Edward Bryant Roberts | Registered representative | Sep 2000 (26y) | ||
| Bruce Brundige | Registered representative | Oct 2000 (26y) | ||
| Craig Alan Adamson | Registered representative | Oct 2000 (26y) | ||
| Gregory Alan Stokes | Registered representative | Oct 2000 (26y) | ||
| Vern Edwin Barg | Registered representative | Oct 2000 (26y) | ||
| Mark Douglas Jillson | Registered representative | Nov 2000 (26y) | ||
| Dennis James Sweeney | Registered representative | Dec 2000 (26y) | ||
| Gregory Warren Hang | Registered representative | Dec 2000 (26y) | ||
| George Thomas Christopoulos | Registered representative | Jan 2001 (26y) | ||
| Michael David Carano | Registered representative | Jan 2001 (26y) | ||
| Pamela Rae Graham | Registered representative | Jan 2001 (26y) | ||
| James Michael Gossett | Registered representative | Jan 2001 (26y) | ||
| Richard Peter Crean | Registered representative | Jan 2001 (26y) | ||
| Robert Bennett Kaplan | Registered representative | Jan 2001 (26y) | ||
| Douglas Glenn Neal | Registered representative | CFP | Feb 2001 (26y) | |
| Webster Mills Lehmann | Registered representative | Feb 2001 (25y) | ||
| Harley Scott Wedgbury | Registered representative | CFP | Feb 2001 (25y) | |
| Stephanie Renae Hancock | Registered representative | CFP | Feb 2001 (25y) | |
| Marygrace Elizondo | Registered representative | CFP | Feb 2001 (25y) | |
| Peter P Babich | Registered representative | Feb 2001 (25y) | ||
| Robert Mikesell Wade | Registered representative | Mar 2001 (25y) | ||
| Timothy Ross Kip | Registered representative | Mar 2001 (25y) | ||
| Jason Chad Holt | Registered representative | Mar 2001 (25y) | ||
| Eugene Robert Zappitelli | Registered representative | Mar 2001 (25y) | ||
| Robert Harold Justice | Registered representative | Mar 2001 (25y) | ||
| Charles Wayne Maxim | Registered representative | CFP | Mar 2001 (25y) | |
| Greg Deats Long | Registered representative | Apr 2001 (25y) | ||
| Benjamin Henry Monreal | Registered representative | May 2001 (25y) | ||
| Scott Lester Caldwell | Registered representative | May 2001 (25y) | ||
| Garren Joseph Sepede | Registered representative | May 2001 (25y) | ||
| Vernon Leo Sanftner | Registered representative | May 2001 (25y) | ||
| David Kent Littleton | Registered representative | May 2001 (25y) | ||
| Michael Dale Peterson | Registered representative | May 2001 (25y) | ||
| Margaret Elizabeth Sturdy | Registered representative | May 2001 (25y) | ||
| David Paul Satkoski | Registered representative | Jun 2001 (25y) | ||
| Orville Dwight Shrader | Registered representative | Jun 2001 (25y) | ||
| Diane N Bark | Registered representative | Jun 2001 (25y) | ||
| David Keith Brown | Registered representative | CFP Chartered Financial Consultant | Jul 2001 (25y) | |
| Shari Merle | Registered representative | Jul 2001 (25y) | ||
| Michael Dean Milam | Registered representative | Aug 2001 (25y) | ||
| Andrew J Macdonald | Registered representative | Aug 2001 (25y) | ||
| Todd Alan Jeffcoat | Registered representative | Aug 2001 (25y) | ||
| Chun Kuen Lee | Registered representative | Sep 2001 (25y) | ||
| Kenneth Thomas Lubkowski | Registered representative | Sep 2001 (25y) | ||
| Whitney Fairchild Burr | Registered representative | Sep 2001 (25y) | ||
| Gregory A Powell | Registered representative | CFP | Sep 2001 (25y) | |
| Scott Lee Dudley | Registered representative | Oct 2001 (25y) | ||
| Michael A. Fashtchi | Registered representative | Oct 2001 (25y) | ||
| Todd Anthony Sanftner | Registered representative | Nov 2001 (25y) | ||
| Ronald Dean Ring | Registered representative | Nov 2001 (25y) | ||
| Jeffrey A Westerhold | Registered representative | Nov 2001 (25y) | ||
| John Andrew Gaines | Registered representative | Chartered Financial Consultant | Dec 2001 (25y) | |
| James Lee Nelsen | Registered representative | Dec 2001 (25y) | ||
| Bruce Alvin Sanborn | Registered representative | Dec 2001 (25y) | ||
| Richard William Schmidt | Registered representative | Dec 2001 (25y) | ||
| Richard Schany Nelson | Registered representative | Jan 2002 (25y) | ||
| Craig William Amundson | Registered representative | Jan 2002 (25y) | ||
| David Allen Yaegers | Registered representative | Jan 2002 (25y) | ||
| David Allen Yaegers | Registered representative | Jan 2002 (25y) | ||
| Jim Dwayne Blount | Registered representative | Jan 2002 (25y) | ||
| Thomas Randal Meador | Registered representative | CFP | Jan 2002 (25y) | |
| Virginia B Perkins | Registered representative | Jan 2002 (25y) | ||
| James Randall Young Ii | Registered representative | Jan 2002 (25y) | ||
| David Gerard Domian | Registered representative | CFP | Jan 2002 (25y) | |
| Christopher Mark Fuchs | Registered representative | Jan 2002 (25y) | ||
| Chris Eugene Mincheff | Registered representative | Feb 2002 (24y) | ||
| Richard Stephen Lousararian | Registered representative | Feb 2002 (24y) | ||
| Russell Erwin Suede | Registered representative | CFP Personal Financial Specialist | Feb 2002 (24y) | |
| George Arthur Gates | Registered representative | Feb 2002 (24y) | ||
| Hector Ronald Rodriguez | Registered representative | Feb 2002 (24y) | ||
| Darren William Royal | Registered representative | Mar 2002 (24y) | ||
| Jeffrey Scott Smith | Registered representative | Mar 2002 (24y) | ||
| Joseph Irving Rosenberger | Registered representative | Mar 2002 (24y) | ||
| Michael Richard Ohlsen | Registered representative | Mar 2002 (24y) | ||
| Alford Sean Bailey | Registered representative | Mar 2002 (24y) | ||
| Arthur Roy Salomon | Registered representative | Mar 2002 (24y) | ||
| Steven Dale Vertrees | Registered representative | Mar 2002 (24y) | ||
| Todd Joseph Crawford | Registered representative | Mar 2002 (24y) | ||
| Michael Phillip Levy | Registered representative | Chartered Financial Consultant | Mar 2002 (24y) | |
| Thomas Anthony Trax | Registered representative | Mar 2002 (24y) | ||
| Stephen A Riggs | Registered representative | Apr 2002 (24y) | ||
| Charles W Freund | Registered representative | CFP | Apr 2002 (24y) | |
| Michael Barry Rackner | Registered representative | Apr 2002 (24y) | ||
| Vincent Le Roy Mccarty | Registered representative | Apr 2002 (24y) | ||
| Daniel Duane Hazzard | Registered representative | May 2002 (24y) | ||
| Timothy Joseph Russell | Registered representative | May 2002 (24y) | ||
| Albert Joseph Languet | Registered representative | CFP | May 2002 (24y) | |
| James Lee Dolan | Registered representative | CFP | May 2002 (24y) | |
| David Brian Niles | Registered representative | CFP | May 2002 (24y) | |
| Dennis Edward Ulrich | Registered representative | May 2002 (24y) | ||
| Gregory Williamambrose Meehan | Registered representative | CFP | May 2002 (24y) | |
| Mark Joseph Angelo | Registered representative | CFP | May 2002 (24y) | |
| Robert Allan Villanova | Registered representative | CFP | May 2002 (24y) | |
| Robert James Mckay | Registered representative | May 2002 (24y) | ||
| Ronald Mazzarella | Registered representative | Chartered Financial Consultant | May 2002 (24y) | |
| Albert John Vankleeff | Registered representative | May 2002 (24y) | ||
| Bradley Marc Mann | Registered representative | CFP | May 2002 (24y) | |
| Edward Francis Doyle | Registered representative | CFP | May 2002 (24y) | |
| James Thomas Parks | Registered representative | CFP | May 2002 (24y) | |
| Ruben E Bakhash | Registered representative | May 2002 (24y) | ||
| Eric John Putney | Registered representative | May 2002 (24y) | ||
| Edward John Shevac | Registered representative | May 2002 (24y) | ||
| Michael Paul Franco | Registered representative | May 2002 (24y) | ||
| John Martin Space | Registered representative | May 2002 (24y) | ||
| Vincent Anthony Pallitto | Registered representative | CFP | May 2002 (24y) | |
| Frank Albert Korszoloski | Registered representative | CFP | Jun 2002 (24y) | |
| Karen True Winslow | Registered representative | CFP | Jun 2002 (24y) | |
| Joseph Pascarella | Registered representative | Jun 2002 (24y) | ||
| Stephen Richard Ruhmel | Registered representative | Jun 2002 (24y) | ||
| William Mouquin Weiss | Registered representative | Jun 2002 (24y) | ||
| Anthony Agostino Torrioni | Registered representative | Jun 2002 (24y) | ||
| Brian Joesph Gaffney | Registered representative | Jun 2002 (24y) | ||
| Jeffrey Brian Clark | Registered representative | CFP | Jun 2002 (24y) | |
| Joseph Arthur Dispenza | Registered representative | Jun 2002 (24y) | ||
| Paul Campadonico | Registered representative | Jun 2002 (24y) | ||
| Peter L Graham | Registered representative | Jun 2002 (24y) | ||
| Robert Anthony Zwigard | Registered representative | Jun 2002 (24y) | ||
| Michael Scott Rosen | Registered representative | Jun 2002 (24y) | ||
| Ronnie Mitchell Bloom | Registered representative | Jun 2002 (24y) | ||
| Brian Michael Bernatchez | Registered representative | CFP | Jun 2002 (24y) | |
| David Joseph Vargo | Registered representative | CFP | Jun 2002 (24y) | |
| Gregory Raymond Stelnick | Registered representative | Jun 2002 (24y) | ||
| Lennis Paul Francis | Registered representative | Jun 2002 (24y) | ||
| Michael Angelo Maglio | Registered representative | Jun 2002 (24y) | ||
| Payton Donel Crossley | Registered representative | Jun 2002 (24y) | ||
| Kenneth Peter Dipaola | Registered representative | CFP | Jun 2002 (24y) | |
| Kevin Kendall Truax | Registered representative | Jun 2002 (24y) | ||
| Jennifer Luan Pittman | Registered representative | Jun 2002 (24y) | ||
| Karen Keta Abramski | Registered representative | CFP | Jun 2002 (24y) | |
| Patrick Andrew Vanburkleo | Registered representative | CFP | Jun 2002 (24y) | |
| Thomas John Dunker | Registered representative | Jun 2002 (24y) | ||
| Michael George Botwinick | Registered representative | CFP | Jun 2002 (24y) | |
| Thomas John Babcock | Registered representative | Jun 2002 (24y) | ||
| Johnathon Wong | Registered representative | Jul 2002 (24y) | ||
| Jennifer Marie Ahern | Registered representative | Jul 2002 (24y) | ||
| Bryan Walter Tollerene | Registered representative | Jul 2002 (24y) | ||
| Jonathan Lee Aring | Registered representative | Jul 2002 (24y) | ||
| Steven Gary Reyna | Registered representative | Jul 2002 (24y) | ||
| Gregory Buchai | Registered representative | Jul 2002 (24y) | ||
| Michael Mezmar | Registered representative | Jul 2002 (24y) | ||
| Gerad Ryan Mowrey | Registered representative | CFP | Aug 2002 (24y) | |
| Jeffrey Richard Gall | Registered representative | CFP Chartered Financial Consultant | Aug 2002 (24y) | |
| Matthew Zambito | Registered representative | Aug 2002 (24y) | ||
| Brett Neville Holladay | Registered representative | Aug 2002 (24y) | ||
| Travis Jeffrey Holt | Registered representative | Aug 2002 (24y) | ||
| Jonathan Bogle Haulenbeek | Registered representative | Sep 2002 (24y) | ||
| Amy Lynne Kamps | Registered representative | Sep 2002 (24y) | ||
| Susan Powell | Registered representative | CFP | Sep 2002 (24y) | |
| Robert Wayne Borek | Registered representative | Sep 2002 (24y) | ||
| Keith Robert Tillman | Registered representative | Sep 2002 (24y) | ||
| Richard Edward Murphy | Registered representative | Sep 2002 (24y) | ||
| Alberto Cavazos | Registered representative | CFA | Sep 2002 (24y) | |
| Christopher Cleet Hopper | Registered representative | Sep 2002 (24y) | ||
| Joseph Melookaran | Registered representative | Sep 2002 (24y) | ||
| Raymond Craig Frierson | Registered representative | Oct 2002 (24y) | ||
| Marisol Eckels | Registered representative | Oct 2002 (24y) | ||
| Eldon Dryden Pence | Registered representative | Oct 2002 (24y) | ||
| James Floyd Lyon | Registered representative | Oct 2002 (24y) | ||
| Laurie Lynnette Clark | Registered representative | CFP | Oct 2002 (24y) | |
| Patrick Hugh Cunningham | Registered representative | Oct 2002 (24y) | ||
| Richmond Brierre Galbreath | Registered representative | Chartered Financial Consultant | Nov 2002 (24y) | |
| Jeffrey Alan Grund | Registered representative | Nov 2002 (24y) | ||
| Raymond Anthony Dicius | Registered representative | Nov 2002 (24y) | ||
| Terri Grassmuck Dicius | Registered representative | Nov 2002 (24y) | ||
| Patrick Marvin Broeske | Registered representative | Nov 2002 (24y) | ||
| Douglas Keith Hollen | Registered representative | Nov 2002 (24y) | ||
| Ronald Victor Brandalise | Registered representative | Nov 2002 (24y) | ||
| Gayl Bauhofer Hynek | Registered representative | Dec 2002 (24y) | ||
| Arron D Varn | Registered representative | Dec 2002 (24y) | ||
| Susan Carr Saxton | Registered representative | Dec 2002 (24y) | ||
| John Brendon Gallagher | Registered representative | Dec 2002 (24y) | ||
| Clayton Eugene Davis | Registered representative | Dec 2002 (24y) | ||
| Samir Joseph Abraham | Registered representative | Dec 2002 (24y) | ||
| Glenn Morris Shafer | Registered representative | Jan 2003 (24y) | ||
| John Fredrick Mullen | Registered representative | Jan 2003 (24y) | ||
| Michael Aubrey Sachs | Registered representative | Jan 2003 (24y) | ||
| Alexander Joseph Teodoro | Registered representative | Jan 2003 (24y) | ||
| Andrew Cooper Stickney | Registered representative | Chartered Financial Consultant | Jan 2003 (24y) | |
| Bruce Robert Sawyer | Registered representative | Jan 2003 (24y) | ||
| Michael Alan Reed | Registered representative | Chartered Financial Consultant | Jan 2003 (24y) | |
| Nathan Hirr Medina | Registered representative | Jan 2003 (24y) | ||
| Nathan Anderson Blotter | Registered representative | CFP | Jan 2003 (24y) | |
| Ronald Christopher Krause | Registered representative | Jan 2003 (24y) | ||
| Charles Spencer Boyd | Registered representative | Jan 2003 (24y) | ||
| Martin Robert Wagoner | Registered representative | Jan 2003 (24y) | ||
| Tina Mark Ma | Registered representative | Jan 2003 (24y) | ||
| Jack Piotr Pietra | Registered representative | Feb 2003 (23y) | ||
| John Joseph Baker | Registered representative | Feb 2003 (23y) | ||
| Damon Parsons Becker | Registered representative | Feb 2003 (23y) | ||
| Jeffrey Max Supple | Registered representative | CFP | Feb 2003 (23y) | |
| Jeffrey Scott Toman | Registered representative | Feb 2003 (23y) | ||
| Thomas Edward Elyea | Registered representative | Feb 2003 (23y) | ||
| Aaron Calvin Knapp | Registered representative | Feb 2003 (23y) | ||
| Henry Raymond Goldstone | Registered representative | Feb 2003 (23y) | ||
| Brian Michael Wiese | Registered representative | Feb 2003 (23y) | ||
| Mike Lloyd Hauser | Registered representative | Feb 2003 (23y) | ||
| Ross Stuart Hunt | Registered representative | CFP | Feb 2003 (23y) | |
| Anthony Shaun Guingrich | Registered representative | Mar 2003 (23y) | ||
| Roger Dean Ames | Registered representative | CFP | Mar 2003 (23y) | |
| Ralston Leahman Davidson | Registered representative | Mar 2003 (23y) | ||
| Ernest William Lietzan | Registered representative | Mar 2003 (23y) | ||
| John D. D. Colegrove | Registered representative | CFP | Mar 2003 (23y) | |
| Joy Katina Hurst | Registered representative | CFP | Mar 2003 (23y) | |
| William Alva Griggers | Registered representative | Chartered Financial Consultant | Mar 2003 (23y) | |
| Michael Scott Mchugh | Registered representative | Mar 2003 (23y) | ||
| Hugh Stewart Coonrod | Registered representative | CFP | Mar 2003 (23y) | |
| Sharon M Olson | Registered representative | CFP | Mar 2003 (23y) | |
| John Loftus Callan | Registered representative | Mar 2003 (23y) | ||
| Daniel Bryan Aldrich | Registered representative | Mar 2003 (23y) | ||
| Reed Thomas Greenagel | Registered representative | Mar 2003 (23y) | ||
| Thomas Edward Castillo | Registered representative | Mar 2003 (23y) | ||
| Michael Dj Carpenter | Registered representative | Apr 2003 (23y) | ||
| Benjamin Blunck James | Registered representative | CFP | Apr 2003 (23y) | |
| Stephen Kenneth Wilmot | Registered representative | CFP | Apr 2003 (23y) | |
| Kenneth Dicicco | Registered representative | CFP | Apr 2003 (23y) | |
| Richard Gudaitis | Registered representative | Apr 2003 (23y) | ||
| Jerry Allen Wright | Registered representative | Apr 2003 (23y) | ||
| John Lee Ostner | Registered representative | Apr 2003 (23y) | ||
| William Joseph Stanton | Registered representative | Apr 2003 (23y) | ||
| Gerald Tyre Hendrix | Registered representative | Apr 2003 (23y) | ||
| Joseph Patrick Ferrin | Registered representative | Apr 2003 (23y) | ||
| Kimberly Janemarkel Herman | Registered representative | Apr 2003 (23y) | ||
| Lisa Adrienne Franklin | Registered representative | Apr 2003 (23y) | ||
| James Morgan Field | Registered representative | Apr 2003 (23y) | ||
| Patrick Joseph Hurley | Registered representative | Apr 2003 (23y) | ||
| Carla Elaine Stenberg | Registered representative | Apr 2003 (23y) | ||
| Kent Michael Toomb | Registered representative | May 2003 (23y) | ||
| Louis Christopher Nogues | Registered representative | May 2003 (23y) | ||
| Michael Alan Tkachuk | Registered representative | May 2003 (23y) | ||
| Joseph Thaddeus Regard | Registered representative | May 2003 (23y) | ||
| Tonya Lynn Thompson | Registered representative | May 2003 (23y) | ||
| David Blandin La Pointe | Registered representative | May 2003 (23y) | ||
| David Earl Purdy | Registered representative | May 2003 (23y) | ||
| Bryan Lemoine Gormley | Registered representative | May 2003 (23y) | ||
| Steven James Bergmann | Registered representative | May 2003 (23y) | ||
| Christopher Scott Maxwell | Registered representative | May 2003 (23y) | ||
| David Benjamin Nyquist | Registered representative | May 2003 (23y) | ||
| John Andrew Davis | Registered representative | May 2003 (23y) | ||
| Kelley Lynn Schaecher | Registered representative | May 2003 (23y) | ||
| Michael Dennis Shanahan | Registered representative | CFP | May 2003 (23y) | |
| Robert Alex Weiss | Registered representative | May 2003 (23y) | ||
| Serry Shih Shao | Registered representative | May 2003 (23y) | ||
| Dawn Alta Rehrig | Registered representative | Jun 2003 (23y) | ||
| Thomas Guy Henry | Registered representative | Jun 2003 (23y) | ||
| Shane Allan Goldsmith | Registered representative | Jun 2003 (23y) | ||
| Arthur Dellar Kraus | Registered representative | Chartered Financial Consultant | Jun 2003 (23y) | |
| Mitchell Simon Kraus | Registered representative | CFP | Jun 2003 (23y) | |
| Christian Phillips | Registered representative | Jul 2003 (23y) | ||
| Angela Sue Schueman | Registered representative | Jul 2003 (23y) | ||
| Clifford Leon Cadle | Registered representative | Jul 2003 (23y) | ||
| Scott Bryan Hill | Registered representative | Jul 2003 (23y) | ||
| Anthony James Apostolidis | Registered representative | Jul 2003 (23y) | ||
| Kevin Joseph Raque | Registered representative | Jul 2003 (23y) | ||
| Vincenzo James Barba | Registered representative | CFP | Jul 2003 (23y) | |
| Roger Gregg Boone | Registered representative | Jul 2003 (23y) | ||
| David Christian Phillips | Registered representative | CFP CFA | Jul 2003 (23y) | |
| Barbara Lynn Reese | Registered representative | CFP | Aug 2003 (23y) | |
| Jeffrey Donald Thiesen | Registered representative | Aug 2003 (23y) | ||
| Lance Eric Dueker | Registered representative | Aug 2003 (23y) | ||
| Niels Christian Ewing | Registered representative | Aug 2003 (23y) | ||
| James Floyd Wilson | Registered representative | Aug 2003 (23y) | ||
| Laura Ann Batsche | Registered representative | Aug 2003 (23y) | ||
| Richard Alan Cutler | Registered representative | CFP | Aug 2003 (23y) | |
| Steven Holman King | Registered representative | Aug 2003 (23y) | ||
| James Michael Shaw | Registered representative | Sep 2003 (23y) | ||
| Thomas Dudley Frost | Registered representative | Sep 2003 (23y) | ||
| Robert T Li | Registered representative | Sep 2003 (23y) | ||
| Elena Chambous | Registered representative | CFP | Sep 2003 (23y) | |
| Glen Reagan Starr | Registered representative | Sep 2003 (23y) | ||
| George Michael Dorvillier | Registered representative | Sep 2003 (23y) | ||
| Gay M Reeves | Registered representative | Sep 2003 (23y) | ||
| Keith Wayne Childs | Registered representative | Oct 2003 (23y) | ||
| Richard Shingo Kosai | Registered representative | CFP | Oct 2003 (23y) | |
| Richard Todd Groberg | Registered representative | Oct 2003 (23y) | ||
| Timothy Howard Mebane | Registered representative | Oct 2003 (23y) | ||
| Kurt Richards Anders | Registered representative | Oct 2003 (23y) | ||
| Susan Carol Kaplan | Registered representative | CFP | Oct 2003 (23y) | |
| Neil Norman Nichols | Registered representative | Nov 2003 (23y) | ||
| Blakely Garrett Biederman | Registered representative | Nov 2003 (23y) | ||
| Tracy Alan Strous | Registered representative | Nov 2003 (23y) | ||
| Maria Lucia Anton | Registered representative | Nov 2003 (23y) | ||
| Steve John Warriner | Registered representative | Nov 2003 (23y) | ||
| Cory Regan Mcdaniel | Registered representative | Nov 2003 (23y) | ||
| Douglas Sean Smooke | Registered representative | Nov 2003 (23y) | ||
| Michael F Kwak | Registered representative | Nov 2003 (23y) | ||
| William George Gray | Registered representative | Nov 2003 (23y) | ||
| Jerry Dale Reder | Registered representative | Dec 2003 (23y) | ||
| Larry Todd Hall | Registered representative | Dec 2003 (23y) | ||
| Deborah Sue Wilson | Registered representative | CFP | Dec 2003 (23y) | |
| Dean Allan Arens | Registered representative | Dec 2003 (23y) | ||
| Richard Alan Thompson | Registered representative | Dec 2003 (23y) | ||
| Shelley Ann Schlossberg | Registered representative | CFP | Dec 2003 (23y) | |
| Martin Richard Meier | Registered representative | Dec 2003 (23y) | ||
| Michael Robert Burgoyne | Registered representative | CFP Chartered Financial Consultant | Dec 2003 (23y) | |
| David Stapley Dixon | Registered representative | CFP | Jan 2004 (23y) | |
| Robert Henry Freireich | Registered representative | Jan 2004 (23y) | ||
| Marcel Koji Pope | Registered representative | CFP | Jan 2004 (23y) | |
| Shelley Kay Magnani | Registered representative | CFP | Jan 2004 (23y) | |
| Randal Joe Bressette | Registered representative | CFP | Jan 2004 (23y) | |
| Kevin W. Pinkley | Registered representative | Jan 2004 (23y) | ||
| Michael Andrew Pinkley | Registered representative | Jan 2004 (23y) | ||
| James Hilton Buley | Registered representative | CFP | Jan 2004 (23y) | |
| Michael Nader Tahbaz | Registered representative | Jan 2004 (23y) | ||
| Elbert Clark Griggs | Registered representative | CFP | Jan 2004 (23y) | |
| Eugene Michael Giordano | Registered representative | Feb 2004 (22y) | ||
| David Lee Elmore | Registered representative | CFP | Feb 2004 (22y) | |
| Miguel Angel Hernandez | Registered representative | Feb 2004 (22y) | ||
| Edward Nilson Johnson | Registered representative | CFP | Feb 2004 (22y) | |
| Robert John Ryan | Registered representative | Feb 2004 (22y) | ||
| Carroll Joseph Domangue | Registered representative | CFP | Feb 2004 (22y) | |
| Perry David Dougherty | Registered representative | Feb 2004 (22y) | ||
| Ricky Joseph Ferrara | Registered representative | Feb 2004 (22y) | ||
| Richard Mattison Mahon | Registered representative | Feb 2004 (22y) | ||
| Benjamin Whitney Stevens | Registered representative | Feb 2004 (22y) | ||
| Mark Hanley Faler | Registered representative | Feb 2004 (22y) | ||
| James Ernest Atkins | Registered representative | Feb 2004 (22y) | ||
| Robert John Newman | Registered representative | Mar 2004 (22y) | ||
| Michael Lane Rosenberg | Registered representative | Mar 2004 (22y) | ||
| James Russell Kautz | Registered representative | Mar 2004 (22y) | ||
| Mark Arnold Brewer | Registered representative | Mar 2004 (22y) | ||
| Peter Cressy Livingston | Registered representative | Mar 2004 (22y) | ||
| Greg M Miller | Registered representative | Mar 2004 (22y) | ||
| John Duran Lopez | Registered representative | Mar 2004 (22y) | ||
| Kurt Joseph Kerrigan | Registered representative | Mar 2004 (22y) | ||
| Nicholas Andrew Snyder | Registered representative | Mar 2004 (22y) | ||
| David Johnston Morrison | Registered representative | Mar 2004 (22y) | ||
| Bentley Thomas Beard | Registered representative | Mar 2004 (22y) | ||
| Eugene Franklin Blair | Registered representative | CFP | Mar 2004 (22y) | |
| Harper Harrold Goode | Registered representative | CFP Chartered Financial Consultant | Mar 2004 (22y) | |
| James Harris Barker | Registered representative | Mar 2004 (22y) | ||
| Jeffrey Walker King | Registered representative | Mar 2004 (22y) | ||
| John Shannon Thompson | Registered representative | Mar 2004 (22y) | ||
| Michael Andrew Mckim Sandifer | Registered representative | Mar 2004 (22y) | ||
| Michael Edward Rowland | Registered representative | Mar 2004 (22y) | ||
| Nancy Lynn Knous | Registered representative | CFP | Mar 2004 (22y) | |
| Robin Edwards Davis | Registered representative | Mar 2004 (22y) | ||
| William Devotie Billingsley | Registered representative | CFP | Mar 2004 (22y) | |
| William Eaton Haynes | Registered representative | Mar 2004 (22y) | ||
| Darren Craig Boyer | Registered representative | Mar 2004 (22y) | ||
| John Wesley Short | Registered representative | Apr 2004 (22y) | ||
| Donald Roy Grimm | Registered representative | Apr 2004 (22y) | ||
| Joanna Ingberg Westcott | Registered representative | Apr 2004 (22y) | ||
| John Michael Brueggeman | Registered representative | Apr 2004 (22y) | ||
| Jeff Mccarty Cates | Registered representative | Apr 2004 (22y) | ||
| Russell Clayton Johnson | Registered representative | Apr 2004 (22y) | ||
| Roy Lawrence Persky | Registered representative | Apr 2004 (22y) | ||
| Margaret Kelly O'meara | Registered representative | CFP | Apr 2004 (22y) | |
| Marilyn Kay Struchen | Registered representative | Apr 2004 (22y) | ||
| Gordon Tracy Lange | Registered representative | Apr 2004 (22y) | ||
| Julie Ann Brangenberg | Registered representative | Apr 2004 (22y) | ||
| Christian John Garofalo | Registered representative | Apr 2004 (22y) | ||
| Jeffrey Bryan Jenkins | Registered representative | May 2004 (22y) | ||
| Jeffrey Glenn Shaw | Registered representative | May 2004 (22y) | ||
| Brian Michael Hill | Registered representative | CFP | May 2004 (22y) | |
| James Stuart Olson | Registered representative | May 2004 (22y) | ||
| Jakie Monroe Childers | Registered representative | May 2004 (22y) | ||
| Joseph Elder Eakin | Registered representative | May 2004 (22y) | ||
| Joseph Brian Shortt | Registered representative | May 2004 (22y) | ||
| Erica Dee Dekko | Registered representative | CFP | May 2004 (22y) | |
| Peter Charles Merzian | Registered representative | May 2004 (22y) | ||
| Walter Herbert Ammon | Registered representative | May 2004 (22y) | ||
| James Lee Rainey | Registered representative | May 2004 (22y) | ||
| Marie Monica Sieber | Registered representative | May 2004 (22y) | ||
| David Joseph Gilner | Registered representative | May 2004 (22y) | ||
| John Allan Aigler | Registered representative | May 2004 (22y) | ||
| John Franklin Black | Registered representative | Chartered Financial Consultant | May 2004 (22y) | |
| John Heigl | Registered representative | May 2004 (22y) | ||
| Mark Anthony Russell | Registered representative | May 2004 (22y) | ||
| O'neal Joseph Weber | Registered representative | Chartered Financial Consultant | May 2004 (22y) | |
| Thomas Simon Maggio | Registered representative | Chartered Financial Consultant | May 2004 (22y) | |
| Gary Peter Tasillo | Registered representative | May 2004 (22y) | ||
| James Douglas Craig | Registered representative | May 2004 (22y) | ||
| Lance Anton Iverson | Registered representative | Chartered Financial Consultant | May 2004 (22y) | |
| Michael Jay Schloss | Registered representative | May 2004 (22y) | ||
| Wilbur Salsbury Mann | Registered representative | May 2004 (22y) | ||
| William Bernard King | Registered representative | May 2004 (22y) | ||
| Adam Brandt Perryman | Registered representative | May 2004 (22y) | ||
| Alan Tucker | Registered representative | CFP Chartered Financial Consultant | May 2004 (22y) | |
| Christopher Albert Regeis | Registered representative | CFP Chartered Financial Consultant | May 2004 (22y) | |
| James Edward Wilkie | Registered representative | CFP | May 2004 (22y) | |
| Jerrold Bernard Pinsker | Registered representative | May 2004 (22y) | ||
| Warren David Wise | Registered representative | May 2004 (22y) | ||
| William Birkedal Mcneill | Registered representative | May 2004 (22y) | ||
| Grant Edward Holliday | Registered representative | May 2004 (22y) | ||
| Lori Keller Lambert | Registered representative | May 2004 (22y) | ||
| Peter Nunzio Lamuraglia | Registered representative | May 2004 (22y) | ||
| Raymond Dean Elgaard | Registered representative | May 2004 (22y) | ||
| Rodney Andrew Zoyhofski | Registered representative | CFP Chartered Financial Consultant | May 2004 (22y) | |
| Scott Andrew Anderson | Registered representative | CFP | May 2004 (22y) | |
| Thomas Roger Berry | Registered representative | May 2004 (22y) | ||
| Timothy Owen Good | Registered representative | May 2004 (22y) | ||
| Carlton William Johnson | Registered representative | May 2004 (22y) | ||
| Carolie Wildrick Johnson | Registered representative | CFP Chartered Financial Consultant | May 2004 (22y) | |
| Fernando Valente | Registered representative | May 2004 (22y) | ||
| Glenn Alan Morey | Registered representative | May 2004 (22y) | ||
| Kevin Joseph Halloran | Registered representative | May 2004 (22y) | ||
| Michael Thomas Wallace | Registered representative | CFP Chartered Financial Consultant | May 2004 (22y) | |
| Daniel Russell Maggio | Registered representative | CFP | Jun 2004 (22y) | |
| Karyn Anne Lancaster | Registered representative | Jun 2004 (22y) | ||
| Matthew Todd Young | Registered representative | Jun 2004 (22y) | ||
| Thomas Edward Weinshenker | Registered representative | Jun 2004 (22y) | ||
| Richard Stephen Caplan | Registered representative | Jun 2004 (22y) | ||
| Kyle Brian Vitale | Registered representative | Jun 2004 (22y) | ||
| Darren Andrew Ewaska | Registered representative | Jun 2004 (22y) | ||
| Dingjian Steve Li | Registered representative | Jun 2004 (22y) | ||
| Frank Fantozzi | Registered representative | Jun 2004 (22y) | ||
| Joseph Henry Spurgeon | Registered representative | Jun 2004 (22y) | ||
| Stuart Arthur Pearl | Registered representative | Jun 2004 (22y) | ||
| Dennis Ray Greensage | Registered representative | Jun 2004 (22y) | ||
| Merrill Wayne Shemaria | Registered representative | Jun 2004 (22y) | ||
| Gregory Polyak | Registered representative | Jun 2004 (22y) | ||
| Jerry Dale Catlett | Registered representative | Jun 2004 (22y) | ||
| Pauline Louise Johnson | Registered representative | Jun 2004 (22y) | ||
| Arthur J Kelleher | Registered representative | CFP | Jun 2004 (22y) | |
| Floyd Stone Rinehart | Registered representative | CFP | Jun 2004 (22y) | |
| Christopher Jude Domangue | Registered representative | Jul 2004 (22y) | ||
| Greg Robert Solis | Registered representative | Jul 2004 (22y) | ||
| Mark Nelson Lindbloom | Registered representative | Jul 2004 (22y) | ||
| Darren Matthew Janakis | Registered representative | Jul 2004 (22y) | ||
| Michael Wayne Patterson | Registered representative | CFP | Jul 2004 (22y) | |
| Curtis Maxwell Seale | Registered representative | Chartered Financial Consultant | Jul 2004 (22y) | |
| Terence Patrick Brady | Registered representative | Jul 2004 (22y) | ||
| Michael Frantesl | Registered representative | Jul 2004 (22y) | ||
| Deborah Faye Peterson | Registered representative | Jul 2004 (22y) | ||
| John Edward Gurski | Registered representative | CFP | Jul 2004 (22y) | |
| James Leonard Hawkins | Registered representative | Chartered Financial Consultant | Jul 2004 (22y) | |
| Lance J Branch | Registered representative | Jul 2004 (22y) | ||
| Richard James Duby | Registered representative | Jul 2004 (22y) | ||
| Jessica Marie Boyer | Registered representative | CFP | Aug 2004 (22y) | |
| Kevin Michael Collier | Registered representative | Aug 2004 (22y) | ||
| John William Loyd | Registered representative | Aug 2004 (22y) | ||
| Joseph Michael Johnson | Registered representative | Aug 2004 (22y) | ||
| Roger Neal Bell | Registered representative | Aug 2004 (22y) | ||
| Joseph Walter Garrett | Registered representative | Aug 2004 (22y) | ||
| Brian John Zimms | Registered representative | Sep 2004 (22y) | ||
| Bart Maynard Weiler | Registered representative | CFP | Sep 2004 (22y) | |
| Mathew James Vandenboom | Registered representative | Sep 2004 (22y) | ||
| Michael Robert Verstegen | Registered representative | CFP | Sep 2004 (22y) | |
| Stephen R Mazzarella | Registered representative | Sep 2004 (22y) | ||
| Hunter Leon Little | Registered representative | CFP | Sep 2004 (22y) | |
| Marta Morningstar Herzog | Registered representative | Sep 2004 (22y) | ||
| Heather Ann Zacharias | Registered representative | Sep 2004 (22y) | ||
| Lawrence Franklin Kipp | Registered representative | Sep 2004 (22y) | ||
| Tracey Lee Mcinnis | Registered representative | CFP | Sep 2004 (22y) | |
| Marybeth Moran | Registered representative | Sep 2004 (22y) | ||
| Jay Michael Schulman | Registered representative | Chartered Financial Consultant | Oct 2004 (22y) | |
| Jeff Todd Carter | Registered representative | Oct 2004 (22y) | ||
| Jon Barron Riley | Registered representative | CFP | Oct 2004 (22y) | |
| Glenn Clarence Guerin | Registered representative | CFP | Oct 2004 (22y) | |
| Peyton Dominique Glover | Registered representative | CFP | Oct 2004 (22y) | |
| Eric Martin Blockhus | Registered representative | Oct 2004 (22y) | ||
| Henry Todd Young | Registered representative | Oct 2004 (22y) | ||
| Christopher James Wagner | Registered representative | Nov 2004 (22y) | ||
| Randall Todd Stewart | Registered representative | CFP | Nov 2004 (22y) | |
| Thomas Allen Corrado | Registered representative | Nov 2004 (22y) | ||
| David Thomas Schaper | Registered representative | Nov 2004 (22y) | ||
| Reginald Armand Timmothy Armstrong | Registered representative | Nov 2004 (22y) | ||
| William Apel Stockwell | Registered representative | Nov 2004 (22y) | ||
| Brian Peter Broussard | Registered representative | CFP | Nov 2004 (22y) | |
| Edward Carr Spraberry | Registered representative | Nov 2004 (22y) | ||
| Tim Robert Shield | Registered representative | Nov 2004 (22y) | ||
| Patricia Osburn Kusek | Registered representative | Dec 2004 (22y) | ||
| Ted Roy Dietz | Registered representative | CFP | Dec 2004 (22y) | |
| Michael Loy Parker | Registered representative | CFP | Dec 2004 (22y) | |
| Adam P Maguire | Registered representative | Dec 2004 (22y) | ||
| David Jon Buhr | Registered representative | CFP | Jan 2005 (22y) | |
| David Stephen Chapple | Registered representative | Jan 2005 (22y) | ||
| Timothy William Geisbauer | Registered representative | Jan 2005 (22y) | ||
| Joanne Ko Shimada | Registered representative | Jan 2005 (22y) | ||
| Paul Jerald Newland | Registered representative | Jan 2005 (22y) | ||
| Christopher John Spoltman | Registered representative | CFP | Jan 2005 (22y) | |
| Robin James Kearney | Registered representative | Chartered Financial Consultant | Jan 2005 (22y) | |
| Brian Ray Ormord | Registered representative | Jan 2005 (22y) | ||
| Joe Louis Caligiuri | Registered representative | Jan 2005 (22y) | ||
| Robert Barclay Dragani | Registered representative | Jan 2005 (22y) | ||
| Gregory Coyle Scott | Registered representative | Feb 2005 (22y) | ||
| Dave Allen Molnar | Registered representative | Feb 2005 (21y) | ||
| Mark Stephen Cruise | Registered representative | Chartered Financial Consultant | Feb 2005 (21y) | |
| Gary Segiet | Registered representative | Feb 2005 (21y) | ||
| Peter Todd Workman | Registered representative | Feb 2005 (21y) | ||
| David George Herbst | Registered representative | CFP | Feb 2005 (21y) | |
| Bazile R Lanneau | Registered representative | Mar 2005 (21y) | ||
| Marguerite M Maxwell | Registered representative | Mar 2005 (21y) | ||
| Michael David Allard | Registered representative | Mar 2005 (21y) | ||
| James Eric Konuk | Registered representative | Mar 2005 (21y) | ||
| Shawn Michael Hochuli | Registered representative | Mar 2005 (21y) | ||
| Christopher Scott Lee | Registered representative | CFP | Mar 2005 (21y) | |
| Jeffrey Richard Karp | Registered representative | Mar 2005 (21y) | ||
| Anthony Michael Calabrese | Registered representative | CFP | Mar 2005 (21y) | |
| Brandon Stephen Fiely | Registered representative | Apr 2005 (21y) | ||
| Lawrence Nelson Leitch | Registered representative | Chartered Financial Consultant | Apr 2005 (21y) | |
| Robin Nicole Neal | Registered representative | CFP | Apr 2005 (21y) | |
| Richard Christopher Albon | Registered representative | Apr 2005 (21y) | ||
| Mel Mendonca | Registered representative | Apr 2005 (21y) | ||
| Richard Gerhard Keffert | Registered representative | Apr 2005 (21y) | ||
| J R Henry Krause | Registered representative | Apr 2005 (21y) | ||
| Michael Shaun Hazelbaker | Registered representative | Apr 2005 (21y) | ||
| Frank Paul Longobardi | Registered representative | Apr 2005 (21y) | ||
| Gregory Harold Bork | Registered representative | Apr 2005 (21y) | ||
| Christine Cabral Stern | Registered representative | Apr 2005 (21y) | ||
| William Thomas Bush | Registered representative | Apr 2005 (21y) | ||
| Gregory Ray Powell | Registered representative | Apr 2005 (21y) | ||
| Gordon Tuck How Sun | Registered representative | Apr 2005 (21y) | ||
| Luis R. Dacosta | Registered representative | CFP | May 2005 (21y) | |
| Stacy Hunter Martin | Registered representative | May 2005 (21y) | ||
| Peter Nicholas Ruma | Registered representative | Chartered Financial Consultant | May 2005 (21y) | |
| Thomas Charles Enderle | Registered representative | CFP | May 2005 (21y) | |
| Eric Brian Andresen | Registered representative | May 2005 (21y) | ||
| James Richard Beatty | Registered representative | May 2005 (21y) | ||
| Brian Edward Stroup | Registered representative | CFP | May 2005 (21y) | |
| Michael Eric Cope | Registered representative | May 2005 (21y) | ||
| Thomas Robert Kerest | Registered representative | May 2005 (21y) | ||
| Todd Lynn Schock Rosenbach | Registered representative | May 2005 (21y) | ||
| Alan Joseph Sweeten | Registered representative | May 2005 (21y) | ||
| Michael Wayne Caulkins | Registered representative | Jun 2005 (21y) | ||
| Brent Richard Kanitra | Registered representative | Jun 2005 (21y) | ||
| Deriek Lance Patterson | Registered representative | Jun 2005 (21y) | ||
| William Anthony Martin | Registered representative | Jun 2005 (21y) | ||
| Michael Brett Sutherland | Registered representative | Jun 2005 (21y) | ||
| Joseph Benjamin Garner | Registered representative | Jun 2005 (21y) | ||
| Ronald David Bussey | Registered representative | Jun 2005 (21y) | ||
| Troy Jens Pugh | Registered representative | Jun 2005 (21y) | ||
| Toni Tadlock Clegg | Registered representative | Jul 2005 (21y) | ||
| David Ray Fanning | Registered representative | Jul 2005 (21y) | ||
| Robert John Eldred | Registered representative | CFP | Jul 2005 (21y) | |
| Joshua Allen Stewart | Registered representative | Jul 2005 (21y) | ||
| Philip Charles Stone | Registered representative | Jul 2005 (21y) | ||
| John Elliot Mccune | Registered representative | CFP | Jul 2005 (21y) | |
| Mickey Daniel Zwayer | Registered representative | Jul 2005 (21y) | ||
| Robert Glenn Stern | Registered representative | Jul 2005 (21y) | ||
| Edward Ray Lytle | Registered representative | Jul 2005 (21y) | ||
| Carol Dianne Jenkins | Registered representative | Aug 2005 (21y) | ||
| Jeffrey Alan Sandene | Registered representative | CFP | Aug 2005 (21y) | |
| Jonathan Allen Zulauf | Registered representative | Aug 2005 (21y) | ||
| Michael Kirk Segars | Registered representative | Aug 2005 (21y) | ||
| Thomas Gamez | Registered representative | CFP | Aug 2005 (21y) | |
| Charles George Salfity | Registered representative | Aug 2005 (21y) | ||
| Kimberly Susan Obetts | Registered representative | CFP | Aug 2005 (21y) | |
| Thomas Wickliffe Gaines | Registered representative | Aug 2005 (21y) | ||
| Charlotte Joyce Birk | Registered representative | CFP | Aug 2005 (21y) | |
| Douglas Paul Behl | Registered representative | Aug 2005 (21y) | ||
| Krista Suzanne Brewer | Registered representative | Aug 2005 (21y) | ||
| Richard Northrup Fisher | Registered representative | CFP | Aug 2005 (21y) | |
| Richard Baron Shanley | Registered representative | CFP | Aug 2005 (21y) | |
| Lyle Britt Watts | Registered representative | Aug 2005 (21y) | ||
| Craig Allen Hellmer | Registered representative | Aug 2005 (21y) | ||
| Vincent S Lanfrank | Registered representative | CFP | Aug 2005 (21y) | |
| Robert Frank Farmer | Registered representative | Aug 2005 (21y) | ||
| Ann Vicknair Summers | Registered representative | CFP | Aug 2005 (21y) | |
| Sharone Rotkopf | Registered representative | Aug 2005 (21y) | ||
| Eric Christopher Peterson | Registered representative | Aug 2005 (21y) | ||
| Michael Thomas Fox | Registered representative | CFP | Aug 2005 (21y) | |
| David Allen Caples | Registered representative | Aug 2005 (21y) | ||
| Mark Randall Mager | Registered representative | Aug 2005 (21y) | ||
| Robert Lee Dunlap | Registered representative | Aug 2005 (21y) | ||
| Edward Arthur Chapman | Registered representative | Aug 2005 (21y) | ||
| Michael Rawlings | Registered representative | Aug 2005 (21y) | ||
| Alfred Lammot Zimmerman | Registered representative | Aug 2005 (21y) | ||
| Andrew Donald Eades | Registered representative | Aug 2005 (21y) | ||
| Daniel J Chavayda | Registered representative | Aug 2005 (21y) | ||
| Jan Glenn Valecka | Registered representative | Aug 2005 (21y) | ||
| James Jensen Scherer | Registered representative | Sep 2005 (21y) | ||
| Ryan Emerald Keiser | Registered representative | Sep 2005 (21y) | ||
| James Roland Waldal | Registered representative | Sep 2005 (21y) | ||
| Walter David Warren | Registered representative | Sep 2005 (21y) | ||
| William John Gordon | Registered representative | Sep 2005 (21y) | ||
| Richard James Huckeriede | Registered representative | Sep 2005 (21y) | ||
| Evan Jay Adelglass | Registered representative | Sep 2005 (21y) | ||
| Milton Henry Hamer | Registered representative | CFP | Sep 2005 (21y) | |
| Robert J Cannella | Registered representative | Sep 2005 (21y) | ||
| Brett C Marchand | Registered representative | CFP | Sep 2005 (21y) | |
| Barry Dean Jensen | Registered representative | Sep 2005 (21y) | ||
| Robert Mitsuo Williams | Registered representative | Sep 2005 (21y) | ||
| Tom J Elliot | Registered representative | Sep 2005 (21y) | ||
| Denise Adel Heitsman | Registered representative | Sep 2005 (21y) | ||
| Kory Martin Miller | Registered representative | Sep 2005 (21y) | ||
| Andrea Olsen Condon | Registered representative | Sep 2005 (21y) | ||
| Steven Robert Wilkerson | Registered representative | Sep 2005 (21y) | ||
| Casey R Herbolsheimer | Registered representative | CFP | Sep 2005 (21y) | |
| Daniel Thomas Oconnor | Registered representative | Sep 2005 (21y) | ||
| Timothy Patrick Myers | Registered representative | Sep 2005 (21y) | ||
| Brian W Knotts | Registered representative | Sep 2005 (21y) | ||
| William Edgar Duggins | Registered representative | CFP | Sep 2005 (21y) | |
| Audray Ursula Lohn | Registered representative | Sep 2005 (21y) | ||
| William John Ashwell | Registered representative | CFP Chartered Financial Consultant | Sep 2005 (21y) | |
| Cass Ross Chappell | Registered representative | CFP | Oct 2005 (21y) | |
| Linda Morin Knott | Registered representative | CFP | Oct 2005 (21y) | |
| Andrew Kenneth Alepra | Registered representative | Oct 2005 (21y) | ||
| Mary Rose Boul | Registered representative | Oct 2005 (21y) | ||
| Matthew Stephen Mullenix | Registered representative | Oct 2005 (21y) | ||
| Jennifer Leblanc Van Houtte | Registered representative | Oct 2005 (21y) | ||
| Roger Alan Pugh | Registered representative | Oct 2005 (21y) | ||
| Miles Wesley Hardin | Registered representative | Oct 2005 (21y) | ||
| Kathleen Maria Reese | Registered representative | Oct 2005 (21y) | ||
| Scott Steven Winter | Registered representative | Oct 2005 (21y) | ||
| Youssef Fareed | Registered representative | Oct 2005 (21y) | ||
| Thomas Wayne Rigney | Registered representative | Nov 2005 (21y) | ||
| Gregory Kent Doctor | Registered representative | Nov 2005 (21y) | ||
| Stephen Scott Elliott | Registered representative | Nov 2005 (21y) | ||
| Ryan Reynolds Leblanc | Registered representative | Nov 2005 (21y) | ||
| Bret Jay Zimmerman | Registered representative | Nov 2005 (21y) | ||
| Jaime Arturo Suarez | Registered representative | Nov 2005 (21y) | ||
| David Dale Donat | Registered representative | CFP | Nov 2005 (21y) | |
| Layne Allison Ragsdale | Registered representative | CFP | Nov 2005 (21y) | |
| Linda Kay Owens | Registered representative | Dec 2005 (21y) | ||
| Lucy Holden Coyle | Registered representative | Dec 2005 (21y) | ||
| Grant E. Mitchelmore | Registered representative | CFP CFA | Dec 2005 (21y) | |
| David Michael Rath | Registered representative | Dec 2005 (21y) | ||
| Paulina Morales | Registered representative | Dec 2005 (21y) | ||
| Ralph Wright Johnson | Registered representative | Dec 2005 (21y) | ||
| Mark Douglas Eckard | Registered representative | CFP | Dec 2005 (21y) | |
| Gregory Paul Fagan | Registered representative | Dec 2005 (21y) | ||
| Susan E Moser | Registered representative | Dec 2005 (21y) | ||
| James Michael Holway | Registered representative | Dec 2005 (21y) | ||
| Frances W Richter | Registered representative | Dec 2005 (21y) | ||
| Betty Susan Mundale | Registered representative | Chartered Financial Consultant | Jan 2006 (21y) | |
| Kenneth John Kussay | Registered representative | Jan 2006 (21y) | ||
| Lance Courtney Lindsay | Registered representative | Jan 2006 (21y) | ||
| William Ralph Keenan | Registered representative | Jan 2006 (21y) | ||
| Gregory Paul Hart | Registered representative | CFP Personal Financial Specialist | Jan 2006 (21y) | |
| Stephen Arthur Vanderhoof | Registered representative | Jan 2006 (21y) | ||
| Thomas Gerard Harkins | Registered representative | Jan 2006 (21y) | ||
| John Michael Forbes | Registered representative | Jan 2006 (21y) | ||
| Adam Jay Tobin | Registered representative | CFP | Jan 2006 (21y) | |
| David Boyd Twombly | Registered representative | Chartered Financial Consultant | Jan 2006 (21y) | |
| David Jeffrey Samick | Registered representative | Jan 2006 (21y) | ||
| Edward Robert Ronan | Registered representative | CFP | Jan 2006 (21y) | |
| Erik Chin Park | Registered representative | CFP | Jan 2006 (21y) | |
| Gary Dean Wright | Registered representative | Jan 2006 (21y) | ||
| James Paul Daprile | Registered representative | CFP | Jan 2006 (21y) | |
| Jeffrey Edward Letendre | Registered representative | CFP | Jan 2006 (21y) | |
| John Joseph Mccarthy | Registered representative | CFP | Jan 2006 (21y) | |
| Kristine Anna Koczajowski | Registered representative | CFP | Jan 2006 (21y) | |
| Stephen Robert Karam | Registered representative | Chartered Financial Consultant | Jan 2006 (21y) | |
| Steven Frederick Bradway | Registered representative | CFP | Jan 2006 (21y) | |
| Dallas Matthew Grabow | Registered representative | CFP | Jan 2006 (21y) | |
| Daniel Ray Nellen | Registered representative | Jan 2006 (21y) | ||
| Lillian Elizabeth Appleby | Registered representative | Jan 2006 (21y) | ||
| Robert William Clarke | Registered representative | Jan 2006 (21y) | ||
| Alan Kenneth Modest | Registered representative | CFP | Jan 2006 (21y) | |
| Beau Mitchel Fisher | Registered representative | CFP | Jan 2006 (21y) | |
| Dallas Whitney Coffman | Registered representative | CFP Chartered Financial Consultant | Jan 2006 (21y) | |
| David Smythe Whiting | Registered representative | CFP | Jan 2006 (21y) | |
| George Anthony Sonntag | Registered representative | CFP | Jan 2006 (21y) | |
| Kathryn Linda Maffei | Registered representative | CFP | Jan 2006 (21y) | |
| Kevin David Barry | Registered representative | CFP | Jan 2006 (21y) | |
| Lance Emmett Woodburn | Registered representative | Jan 2006 (21y) | ||
| Philip Michael Peck | Registered representative | CFP | Jan 2006 (21y) | |
| Salvatore Joseph Petralia | Registered representative | CFP | Jan 2006 (21y) | |
| Victoria Lee Christie Gustin | Registered representative | Chartered Financial Consultant | Jan 2006 (21y) | |
| Alan Anthony Ioffredo | Registered representative | CFP | Jan 2006 (21y) | |
| David Anthony Randall | Registered representative | CFP | Jan 2006 (21y) | |
| Douglas Allan Lipman | Registered representative | Jan 2006 (21y) | ||
| Erica Lee Feldblum | Registered representative | CFP | Jan 2006 (21y) | |
| James Freeland Butler | Registered representative | Jan 2006 (21y) | ||
| John Joseph Nunes | Registered representative | CFP | Jan 2006 (21y) | |
| John Stephen Kerr | Registered representative | Jan 2006 (21y) | ||
| Mark Donald Seth | Registered representative | Jan 2006 (21y) | ||
| Mark Richard Lefebvre | Registered representative | Jan 2006 (21y) | ||
| Penelope Stephanie Tzougros | Registered representative | Chartered Financial Consultant | Jan 2006 (21y) | |
| Peter Anthony Bernardi | Registered representative | Jan 2006 (21y) | ||
| Robert Arthur Matson | Registered representative | Chartered Financial Consultant | Jan 2006 (21y) | |
| John Arthur Olson | Registered representative | Jan 2006 (21y) | ||
| Stephen Evans Davis | Registered representative | Jan 2006 (21y) | ||
| Antonio Jack Ferrara | Registered representative | Jan 2006 (21y) | ||
| Diane Loraine Krause | Registered representative | Jan 2006 (21y) | ||
| Frank Joseph Deleo | Registered representative | Chartered Financial Consultant | Jan 2006 (21y) | |
| Harold Lloyd Rosenblume | Registered representative | Jan 2006 (21y) | ||
| Nancy Beth Kayekirsch | Registered representative | Jan 2006 (21y) | ||
| Thomas Patrick Loonie | Registered representative | Jan 2006 (21y) | ||
| Richard Dean Miller | Registered representative | Jan 2006 (21y) | ||
| Dennis Leroy Marach | Registered representative | Jan 2006 (21y) | ||
| Brad Frederick Fortier | Registered representative | CFP | Jan 2006 (21y) | |
| Thomas Edward Meade | Registered representative | Jan 2006 (21y) | ||
| Robert Francis Pfeifer | Registered representative | Jan 2006 (21y) | ||
| Eric Larson Gunness | Registered representative | Jan 2006 (21y) | ||
| Louis Francois Batmale | Registered representative | Jan 2006 (21y) | ||
| Arthur Barton Pierce | Registered representative | Jan 2006 (21y) | ||
| Renee Christine Pierce | Registered representative | Jan 2006 (21y) | ||
| Anthony Angelo Delpozzo | Registered representative | Chartered Financial Consultant | Feb 2006 (20y) | |
| Lizandro Manuel Salazar | Registered representative | Feb 2006 (20y) | ||
| Vincent James Catania | Registered representative | CFP | Feb 2006 (20y) | |
| Acie Rebecca French | Registered representative | Feb 2006 (20y) | ||
| James Joseph Urda | Registered representative | CFP | Feb 2006 (20y) | |
| Matthew Wilbur Mcclellan | Registered representative | Feb 2006 (20y) | ||
| David Enrique Caballero | Registered representative | CFP | Feb 2006 (20y) | |
| Ryan David Hale | Registered representative | CFP | Feb 2006 (20y) | |
| Michael J Liebenthal | Registered representative | Feb 2006 (20y) | ||
| Bradley Brian Ledwith | Registered representative | Feb 2006 (20y) | ||
| Bradley Scott Jenks | Registered representative | Feb 2006 (20y) | ||
| Hans M Reese | Registered representative | CFP | Feb 2006 (20y) | |
| Michael James Sikora | Registered representative | Feb 2006 (20y) | ||
| Robert Louis Errico | Registered representative | CFP | Feb 2006 (20y) | |
| Thomas Joseph Anstett | Registered representative | Feb 2006 (20y) | ||
| Stephen Edward Saraiva | Registered representative | Feb 2006 (20y) | ||
| Thomas Christopher Dunbar | Registered representative | Mar 2006 (20y) | ||
| Benjamin Richard Goodman | Registered representative | Mar 2006 (20y) | ||
| Paul Kroutter Bruchez | Registered representative | Mar 2006 (20y) | ||
| Garth Morley Mchenry | Registered representative | Mar 2006 (20y) | ||
| James Francis Leblond | Registered representative | Mar 2006 (20y) | ||
| David Leo Thibeault | Registered representative | Mar 2006 (20y) | ||
| Marcel Andre Gadbois | Registered representative | Mar 2006 (20y) | ||
| Peter Albert Lounsbury | Registered representative | Mar 2006 (20y) | ||
| Rachael Ann Conroy | Registered representative | Mar 2006 (20y) | ||
| Sean Tyler Leblanc | Registered representative | Mar 2006 (20y) | ||
| Kenneth Matthew Lefebvre | Registered representative | Mar 2006 (20y) | ||
| Michael Warren Sackett | Registered representative | Mar 2006 (20y) | ||
| Christopher Douglas Greene | Registered representative | CFP | Mar 2006 (20y) | |
| Mark A H Davis | Registered representative | Mar 2006 (20y) | ||
| Susan Hollahan Mccarthy | Registered representative | CFP | Mar 2006 (20y) | |
| Cynthia Kay Moore | Registered representative | Mar 2006 (20y) | ||
| Stephen Lewis Holze | Registered representative | Mar 2006 (20y) | ||
| Steven Randall Brothers | Registered representative | Mar 2006 (20y) | ||
| Christopher Eric Vargas | Registered representative | Mar 2006 (20y) | ||
| David Chris Latham | Registered representative | CFP | Mar 2006 (20y) | |
| Dicran Berj Haidostian | Registered representative | CFP Chartered Financial Consultant | Mar 2006 (20y) | |
| Michael James Hankes | Registered representative | Mar 2006 (20y) | ||
| Kenneth Alexander Tipping | Registered representative | Mar 2006 (20y) | ||
| Stacey Ann Muniz | Registered representative | Mar 2006 (20y) | ||
| Lance Todd Smith | Registered representative | Mar 2006 (20y) | ||
| Robert Paul Harrington | Registered representative | Mar 2006 (20y) | ||
| Brian Douglas Phillips | Registered representative | Mar 2006 (20y) | ||
| Jeffrey Scott Levine | Registered representative | Mar 2006 (20y) | ||
| William Menzies | Registered representative | Apr 2006 (20y) | ||
| Anthony Bruce Clement | Registered representative | Apr 2006 (20y) | ||
| Guy Angiuoni | Registered representative | Apr 2006 (20y) | ||
| Jay Patrick Irving | Registered representative | Apr 2006 (20y) | ||
| Joseph Francis Delano | Registered representative | Apr 2006 (20y) | ||
| Scott Michael Maccausland | Registered representative | Apr 2006 (20y) | ||
| Douglas William Sippel | Registered representative | CFP | Apr 2006 (20y) | |
| Regina Ann Bernarduci | Registered representative | Apr 2006 (20y) | ||
| Ann Azcona Ewin | Registered representative | CFP | Apr 2006 (20y) | |
| Jorge Pereira | Registered representative | Apr 2006 (20y) | ||
| Keith R Souza | Registered representative | Apr 2006 (20y) | ||
| Richard Douglas Briner | Registered representative | Apr 2006 (20y) | ||
| Clint L Adams | Registered representative | CFP | Apr 2006 (20y) | |
| William Theodore Mitchell | Registered representative | Apr 2006 (20y) | ||
| John Paul Theophilos | Registered representative | CFP | Apr 2006 (20y) | |
| Robin William Haire | Registered representative | CFP | Apr 2006 (20y) | |
| Kurt Edward Sakowski | Registered representative | Apr 2006 (20y) | ||
| Gerald William Wallace | Registered representative | Apr 2006 (20y) | ||
| Robert Roland Levesque | Registered representative | Apr 2006 (20y) | ||
| Janet Ann Blair | Registered representative | May 2006 (20y) | ||
| Stephen Stclair Kottkamp | Registered representative | May 2006 (20y) | ||
| Paul Edward Fitzpatrick | Registered representative | May 2006 (20y) | ||
| Charlotte Stevens Riviera | Registered representative | May 2006 (20y) | ||
| Heather Renee Williams | Registered representative | CFP | May 2006 (20y) | |
| Michael Anthony Giannattasio | Registered representative | May 2006 (20y) | ||
| James Frank Steen | Registered representative | May 2006 (20y) | ||
| Joel Benjamin Jellesed | Registered representative | May 2006 (20y) | ||
| Clayton Bernard Ulman | Registered representative | May 2006 (20y) | ||
| Erick Andrew Bourbon | Registered representative | May 2006 (20y) | ||
| James Paul Celico | Registered representative | Chartered Financial Consultant | May 2006 (20y) | |
| Michael Patrick Powers | Registered representative | CFP | May 2006 (20y) | |
| Anne Louise Howard | Registered representative | May 2006 (20y) | ||
| George Windsor Johnson | Registered representative | May 2006 (20y) | ||
| John Mera | Registered representative | May 2006 (20y) | ||
| Philip Anthony Sartori | Registered representative | May 2006 (20y) | ||
| Scott Douglas Strange | Registered representative | May 2006 (20y) | ||
| Joseph Neil Trotta | Registered representative | May 2006 (20y) | ||
| Melanie Louise Ramos | Registered representative | May 2006 (20y) | ||
| Dawn Cheryce Rodriguez | Registered representative | Jun 2006 (20y) | ||
| Mark Ronald Witek | Registered representative | CFP | Jun 2006 (20y) | |
| Robert Garland Bronk | Registered representative | Jun 2006 (20y) | ||
| Amy Lynn Blevins | Registered representative | Jun 2006 (20y) | ||
| Tiffany Marie Valentine | Registered representative | Jun 2006 (20y) | ||
| Bruce Stewart Thompson | Registered representative | Jun 2006 (20y) | ||
| David Martin Milligan | Registered representative | Jun 2006 (20y) | ||
| James Alexander Hansman | Registered representative | Jun 2006 (20y) | ||
| Kevin David Douglass | Registered representative | Jun 2006 (20y) | ||
| Joseph Michael Coniglio | Registered representative | Jun 2006 (20y) | ||
| Joseph Gregory Oswald | Registered representative | Jun 2006 (20y) | ||
| Dennis Frank Palumbo | Registered representative | Jun 2006 (20y) | ||
| Hugh Patrick Mc Nally | Registered representative | Jun 2006 (20y) | ||
| George Robert Meyer | Registered representative | Jun 2006 (20y) | ||
| Kevin Michael Wells | Registered representative | Jun 2006 (20y) | ||
| Shannon Rose Miller | Registered representative | Jun 2006 (20y) | ||
| James A Cox | Registered representative | Jun 2006 (20y) | ||
| Randy Dewaine Wallace | Registered representative | Jun 2006 (20y) | ||
| Stephen Michael Harrison | Registered representative | Jun 2006 (20y) | ||
| Dwayne Tsukasa Mukai | Registered representative | Jun 2006 (20y) | ||
| Robert Lee Leach | Registered representative | Jun 2006 (20y) | ||
| Carl Ekstrom Beck | Registered representative | Jul 2006 (20y) | ||
| Charles Mario Casassa | Registered representative | Jul 2006 (20y) | ||
| Cheryl Ann Fonseca | Registered representative | Jul 2006 (20y) | ||
| Victor Mascorro | Registered representative | Jul 2006 (20y) | ||
| Dawnmarie Corneau | Registered representative | Jul 2006 (20y) | ||
| Donald James Barrett | Registered representative | Jul 2006 (20y) | ||
| Nicholas Adam Hillman | Registered representative | Jul 2006 (20y) | ||
| John Michael Mcneal | Registered representative | Jul 2006 (20y) | ||
| Charles Lee Inglefield | Registered representative | CFP | Jul 2006 (20y) | |
| James Mark Rigtrup | Registered representative | Jul 2006 (20y) | ||
| Susan Ruth Youngsman | Registered representative | Jul 2006 (20y) | ||
| David Price James | Registered representative | CFP | Aug 2006 (20y) | |
| Paul Jordan Esh | Registered representative | Aug 2006 (20y) | ||
| Thomas George Powers | Registered representative | Aug 2006 (20y) | ||
| Baxter Ware Starnes | Registered representative | Aug 2006 (20y) | ||
| Carey Steven Moy | Registered representative | Aug 2006 (20y) | ||
| Randy Joe Pierce | Registered representative | Aug 2006 (20y) | ||
| Craig Christopher Authement | Registered representative | Aug 2006 (20y) | ||
| Kenneth John Bertucci | Registered representative | CFP Chartered Financial Consultant | Aug 2006 (20y) | |
| Leonard Charles Labiche | Registered representative | Aug 2006 (20y) | ||
| William Weaks Brennan | Registered representative | Aug 2006 (20y) | ||
| Lydia I Thompson | Registered representative | Aug 2006 (20y) | ||
| Richard Robert Miskewitz | Registered representative | Aug 2006 (20y) | ||
| William Clinton Calvert | Registered representative | Aug 2006 (20y) | ||
| John Pressler Stevens | Registered representative | Aug 2006 (20y) | ||
| John A Barich | Registered representative | Aug 2006 (20y) | ||
| Devon Leigh Perry | Registered representative | Aug 2006 (20y) | ||
| Joshua Charles Dearmitt | Registered representative | CFP | Sep 2006 (20y) | |
| Todd Emery Guthrie | Registered representative | CFP | Sep 2006 (20y) | |
| Stephen Michael Ellis | Registered representative | Sep 2006 (20y) | ||
| Andrew Donaghy Quinn | Registered representative | Sep 2006 (20y) | ||
| Joseph Anthony Gaudio | Registered representative | Sep 2006 (20y) | ||
| Shawn Michael Limerick | Registered representative | CFP | Sep 2006 (20y) | |
| Steven Philip Pastore | Registered representative | Sep 2006 (20y) | ||
| Richard James Ruba | Registered representative | Sep 2006 (20y) | ||
| Michael Anthony Egermier | Registered representative | CFP | Sep 2006 (20y) | |
| Gary Carl Wintermeier | Registered representative | Sep 2006 (20y) | ||
| Alexis Rae R Sharma | Registered representative | CFP | Sep 2006 (20y) | |
| Christopher Freeman Moffat | Registered representative | Sep 2006 (20y) | ||
| Wesley David Mar | Registered representative | Sep 2006 (20y) | ||
| Brian Kenneth Nunes | Registered representative | Oct 2006 (20y) | ||
| Bonnie Jean Packo | Registered representative | Oct 2006 (20y) | ||
| Lynda Marie Smith | Registered representative | Oct 2006 (20y) | ||
| Michael David Lund | Registered representative | Oct 2006 (20y) | ||
| William Derek Carawan | Registered representative | Oct 2006 (20y) | ||
| Trisha Michelle Talbot | Registered representative | Oct 2006 (20y) | ||
| Nathan Paul Keller | Registered representative | Oct 2006 (20y) | ||
| Robin Dale Marchbanks | Registered representative | Oct 2006 (20y) | ||
| Christine Schiferl | Registered representative | Oct 2006 (20y) | ||
| Tori A. Patrick | Registered representative | Oct 2006 (20y) | ||
| Donovan A Davis | Registered representative | CFP | Oct 2006 (20y) | |
| Eric Jay Reed | Registered representative | Oct 2006 (20y) | ||
| Adam Jason Soloff | Registered representative | CFP | Oct 2006 (20y) | |
| Douglas Harris Cochran | Registered representative | CFP | Nov 2006 (20y) | |
| John Mckay | Registered representative | Nov 2006 (20y) | ||
| Mark Andrew Fezza | Registered representative | CFP | Nov 2006 (20y) | |
| Megan Pappas Gaskamp | Registered representative | Nov 2006 (20y) | ||
| Jeremy James Newton | Registered representative | Nov 2006 (20y) | ||
| James Robert Nowak | Registered representative | Nov 2006 (20y) | ||
| Erick Vern Kirkman | Registered representative | CFP | Nov 2006 (20y) | |
| Gerald Allen English | Registered representative | Nov 2006 (20y) | ||
| Heather M Drebenstedt | Registered representative | Nov 2006 (20y) | ||
| Gary Albert Harris | Registered representative | Dec 2006 (20y) | ||
| Gregory Allyn Eisert | Registered representative | Chartered Financial Consultant | Dec 2006 (20y) | |
| Gary Bruce Sieburg | Registered representative | CFP | Dec 2006 (20y) | |
| Brian Scott Lavoie | Registered representative | CFP | Dec 2006 (20y) | |
| Troy Howell Hutchinson | Registered representative | Dec 2006 (20y) | ||
| Michael Albert Sebesta | Registered representative | Chartered Financial Consultant | Dec 2006 (20y) | |
| John Mary Dupont | Registered representative | Dec 2006 (20y) | ||
| Lincoln Gerard Maguire | Registered representative | Dec 2006 (20y) | ||
| Dennis Mark Profaca | Registered representative | Dec 2006 (20y) | ||
| Nicholas Pontoriero | Registered representative | Dec 2006 (20y) | ||
| Barbara E Stowell | Registered representative | Dec 2006 (20y) | ||
| Hollis Christopher Martin | Registered representative | Dec 2006 (20y) | ||
| Michelle Marie Shaheen Wires | Registered representative | Dec 2006 (20y) | ||
| Benjamin Wright Krikorian | Registered representative | CFP | Dec 2006 (20y) | |
| Robert N Spadano | Registered representative | CFA | Dec 2006 (20y) | |
| John Paul Pontbriand | Registered representative | CFA | Dec 2006 (20y) | |
| Bradley Scott Manthey | Registered representative | Jan 2007 (20y) | ||
| Michael Andrew Stiefel | Registered representative | Jan 2007 (20y) | ||
| Michael Brent Durham | Registered representative | Jan 2007 (20y) | ||
| Brock Brandon Barnes | Registered representative | Jan 2007 (20y) | ||
| Jeffrey Emerson Williams | Registered representative | Jan 2007 (20y) | ||
| Stephen David Watts | Registered representative | Jan 2007 (20y) | ||
| John David Giffin | Registered representative | Jan 2007 (20y) | ||
| Orlando Deshawn Allen | Registered representative | Jan 2007 (20y) | ||
| Eric Carl Tetschner | Registered representative | Chartered Financial Consultant | Jan 2007 (20y) | |
| Kavon James Novak | Registered representative | Jan 2007 (20y) | ||
| Chris Paramio Oribello | Registered representative | Jan 2007 (20y) | ||
| Sachin R Menon | Registered representative | Jan 2007 (20y) | ||
| Albert W Faber | Registered representative | CFP | Jan 2007 (20y) | |
| Christina Ruth Ubl | Registered representative | CFP | Jan 2007 (20y) | |
| Heidi Grace Clute | Registered representative | CFP | Jan 2007 (20y) | |
| Roger Eugene Simmons | Registered representative | CFP | Jan 2007 (20y) | |
| Christopher Lee Clewell | Registered representative | Jan 2007 (20y) | ||
| Thomas Achille Cortopassi | Registered representative | Jan 2007 (20y) | ||
| Robert Thomas Goldstein | Registered representative | Jan 2007 (20y) | ||
| Burton Clark Cipra | Registered representative | Jan 2007 (20y) | ||
| Thomas Joseph Manning | Registered representative | Feb 2007 (19y) | ||
| Joshua Abraham Minkstein | Registered representative | Feb 2007 (19y) | ||
| Deborah F Lee | Registered representative | Feb 2007 (19y) | ||
| Rebecca Mary Ann Horn | Registered representative | CFP | Feb 2007 (19y) | |
| James Benjamin Leyhew | Registered representative | Feb 2007 (19y) | ||
| Jeffrey Owen Brown | Registered representative | Feb 2007 (19y) | ||
| Quinn A Martinez | Registered representative | Feb 2007 (19y) | ||
| Bradley Benjamin Harris | Registered representative | Feb 2007 (19y) | ||
| David Earl Bradley | Registered representative | Feb 2007 (19y) | ||
| Lee Daniel Margerison | Registered representative | Feb 2007 (19y) | ||
| Douglas Robert Coleman | Registered representative | Chartered Financial Consultant | Feb 2007 (19y) | |
| Gary J Elefante | Registered representative | CFP | Feb 2007 (19y) | |
| John E Toth | Registered representative | Feb 2007 (19y) | ||
| Marshall Ford James | Registered representative | CFP | Feb 2007 (19y) | |
| George Dunton Mullen | Registered representative | Feb 2007 (19y) | ||
| Cynthia Lynn Robinson Schmidt | Registered representative | Feb 2007 (19y) | ||
| Richard Francis Simonitis | Registered representative | Feb 2007 (19y) | ||
| Jared Prime Ranger | Registered representative | Feb 2007 (19y) | ||
| Michael Dagher | Registered representative | Feb 2007 (19y) | ||
| Audrey Fu Yin Hong | Registered representative | Mar 2007 (19y) | ||
| Carlos Fuentes | Registered representative | Mar 2007 (19y) | ||
| Michele Elizabeth Riordan | Registered representative | Mar 2007 (19y) | ||
| Stephen Dennis Meyers | Registered representative | Mar 2007 (19y) | ||
| Travis Patrick Feuerbach | Registered representative | Mar 2007 (19y) | ||
| Mary Anne Medicus | Registered representative | Chartered Financial Consultant | Mar 2007 (19y) | |
| Albert Luis Lopez | Registered representative | CFP | Mar 2007 (19y) | |
| Alexander R Vandyke | Registered representative | Mar 2007 (19y) | ||
| John Eric Muse | Registered representative | Mar 2007 (19y) | ||
| Richard Vandyke | Registered representative | Mar 2007 (19y) | ||
| Mark Matthew Demaine | Registered representative | Mar 2007 (19y) | ||
| Rachel Amy Owens | Registered representative | Mar 2007 (19y) | ||
| William Sornstein | Registered representative | Mar 2007 (19y) | ||
| Lori Hardy Hotung | Registered representative | Apr 2007 (19y) | ||
| Nancy Valencia | Registered representative | Apr 2007 (19y) | ||
| Bret Lee Rollins | Registered representative | Apr 2007 (19y) | ||
| Joel William Sambursky | Registered representative | Apr 2007 (19y) | ||
| Ryan Dennis Olson | Registered representative | CFP | Apr 2007 (19y) | |
| Mark Francis Magajne | Registered representative | Apr 2007 (19y) | ||
| Charles Van Mason | Registered representative | Apr 2007 (19y) | ||
| David Lowell Secrist | Registered representative | Apr 2007 (19y) | ||
| Todd David Barr | Registered representative | Apr 2007 (19y) | ||
| Sean Patrick Riley | Registered representative | Apr 2007 (19y) | ||
| Terri Kae Hickman | Registered representative | Apr 2007 (19y) | ||
| Brian Johns Petersen | Registered representative | Apr 2007 (19y) | ||
| Kevin Scott Brodrick | Registered representative | Apr 2007 (19y) | ||
| Ricky Lynn Byrd | Registered representative | Apr 2007 (19y) | ||
| Mark James Annichine | Registered representative | May 2007 (19y) | ||
| Berkley John Hanks | Registered representative | May 2007 (19y) | ||
| Angela Catherine Fischer | Registered representative | CFP | May 2007 (19y) | |
| Patricia Lisk Fanning | Registered representative | May 2007 (19y) | ||
| Ross Bradley Snyer | Registered representative | CFP | May 2007 (19y) | |
| Gregory Scott Tarr | Registered representative | Chartered Financial Consultant | May 2007 (19y) | |
| Bonnie Jean Ireland | Registered representative | May 2007 (19y) | ||
| Jonathan M. Dewar | Registered representative | May 2007 (19y) | ||
| Phillip Christopher Wallace | Registered representative | May 2007 (19y) | ||
| John H Halleran, Jr. | Registered representative | May 2007 (19y) | ||
| Rodger Dale Jordan | Registered representative | CFP | May 2007 (19y) | |
| Thomas Bradley Holbrook | Registered representative | May 2007 (19y) | ||
| James Christopher Deutsch | Registered representative | May 2007 (19y) | ||
| Wanda Coleman Mcgowan | Registered representative | May 2007 (19y) | ||
| Mary Kathryn Dicenso | Registered representative | CFP | May 2007 (19y) | |
| Maurice D Dennis | Registered representative | May 2007 (19y) | ||
| Mike Scott Sheets | Registered representative | CFP | May 2007 (19y) | |
| Andrei Sherron Hall | Registered representative | CFP | May 2007 (19y) | |
| Kristina P Kuprina | Registered representative | May 2007 (19y) | ||
| Lindsey Renee Feeney | Registered representative | May 2007 (19y) | ||
| Jeffrey D Ranke | Registered representative | May 2007 (19y) | ||
| Matthew John Alepra | Registered representative | May 2007 (19y) | ||
| Michael Anthony Kijowski | Registered representative | May 2007 (19y) | ||
| Brian John Kelly | Registered representative | CFP | Jun 2007 (19y) | |
| Michael Dale Ohrt | Registered representative | Jun 2007 (19y) | ||
| Gregory Thomas Larson | Registered representative | Jun 2007 (19y) | ||
| Ronald David Young | Registered representative | Jun 2007 (19y) | ||
| Paul Schofield | Registered representative | CFP | Jun 2007 (19y) | |
| Tuan Tran | Registered representative | Jun 2007 (19y) | ||
| Michael Balakirsky | Registered representative | Jun 2007 (19y) | ||
| Jason Robert Waybright | Registered representative | Jun 2007 (19y) | ||
| Cary Ann Wong | Registered representative | CFP | Jul 2007 (19y) | |
| Michael John Conti | Registered representative | Jul 2007 (19y) | ||
| Larry Roger Riley | Registered representative | Jul 2007 (19y) | ||
| Christopher Dennis Brown | Registered representative | Jul 2007 (19y) | ||
| Michael Joseph Salvatore | Registered representative | CFP | Jul 2007 (19y) | |
| William Grant Craig | Registered representative | Jul 2007 (19y) | ||
| Timothy Allen Self | Registered representative | Jul 2007 (19y) | ||
| Kevin L. Cecil | Registered representative | Jul 2007 (19y) | ||
| Brent Daniel Jackson | Registered representative | Jul 2007 (19y) | ||
| David Lester Neville | Registered representative | Chartered Financial Consultant | Jul 2007 (19y) | |
| John Francis Fricke | Registered representative | Chartered Financial Consultant | Jul 2007 (19y) | |
| Timothy John Brisson | Registered representative | Chartered Financial Consultant | Jul 2007 (19y) | |
| Harlan Dane Stephens | Registered representative | Jul 2007 (19y) | ||
| Beth Anne Plentzas | Registered representative | Jul 2007 (19y) | ||
| Brian Stephen Berry | Registered representative | Jul 2007 (19y) | ||
| Christian Allen Beliveau | Registered representative | Jul 2007 (19y) | ||
| Daren Phillip Seekins | Registered representative | Jul 2007 (19y) | ||
| David Eugene Elwell | Registered representative | Jul 2007 (19y) | ||
| Don Matthew Silk | Registered representative | CFP Chartered Financial Consultant | Jul 2007 (19y) | |
| Gary Francis Wallace | Registered representative | Jul 2007 (19y) | ||
| Gary William Pelletier | Registered representative | Chartered Financial Consultant | Jul 2007 (19y) | |
| George Kenneth Slyman | Registered representative | CFP | Jul 2007 (19y) | |
| Gerry S Weidema | Registered representative | Jul 2007 (19y) | ||
| Henry Erving Cooley | Registered representative | Jul 2007 (19y) | ||
| John Brendan Castelot | Registered representative | Jul 2007 (19y) | ||
| Matthew Henry Eaton | Registered representative | Jul 2007 (19y) | ||
| Michael Drew Lynch | Registered representative | Jul 2007 (19y) | ||
| Michael Francis Antosca | Registered representative | Jul 2007 (19y) | ||
| Paul Harris Brock | Registered representative | Chartered Financial Consultant | Jul 2007 (19y) | |
| Paul Michael Goyette | Registered representative | Jul 2007 (19y) | ||
| Steven Albert Dean | Registered representative | Jul 2007 (19y) | ||
| Zachary Miles Longley | Registered representative | Jul 2007 (19y) | ||
| Dominic Martin Lucente | Registered representative | CFP | Jul 2007 (19y) | |
| Jon Phillip Harrison | Registered representative | Jul 2007 (19y) | ||
| Michael John Hartman | Registered representative | Jul 2007 (19y) | ||
| Michael Sean Blatzer | Registered representative | CFP | Aug 2007 (19y) | |
| Ellen Mary Lavin | Registered representative | Aug 2007 (19y) | ||
| Greg Leo Lapierre | Registered representative | Aug 2007 (19y) | ||
| Kevin Joseph Ferland | Registered representative | Aug 2007 (19y) | ||
| Thomas Joseph Pare | Registered representative | Aug 2007 (19y) | ||
| Avinash Kochikar Pai | Registered representative | CFP | Aug 2007 (19y) | |
| George Mason Cozart | Registered representative | Aug 2007 (19y) | ||
| Louis Basil Windawi | Registered representative | CFP | Aug 2007 (19y) | |
| Brian William Heffernan | Registered representative | Aug 2007 (19y) | ||
| William Victor Gibbons | Registered representative | Chartered Financial Consultant | Aug 2007 (19y) | |
| Royal Lagene Lunsford | Registered representative | Aug 2007 (19y) | ||
| Michael John Murphy | Registered representative | Aug 2007 (19y) | ||
| Cameron Ross Bachelder | Registered representative | Aug 2007 (19y) | ||
| Charles Kent Mehling | Registered representative | Aug 2007 (19y) | ||
| Tamara Lynn Shumate Brown | Registered representative | CFP | Aug 2007 (19y) | |
| John Samuel Dolan | Registered representative | Aug 2007 (19y) | ||
| David Alan Baucom | Registered representative | Aug 2007 (19y) | ||
| Michael David Poppen | Registered representative | Aug 2007 (19y) | ||
| Wendell Eugene Pribila | Registered representative | Aug 2007 (19y) | ||
| Deatra Jeanne Harrington | Registered representative | Aug 2007 (19y) | ||
| Sharon Kay Meehan | Registered representative | Aug 2007 (19y) | ||
| Lary Andrew Burton | Registered representative | Aug 2007 (19y) | ||
| Pamela Sue Flournoy | Registered representative | CFP | Aug 2007 (19y) | |
| Robert Eugene Adams | Registered representative | Aug 2007 (19y) | ||
| William Creed Hurley | Registered representative | Aug 2007 (19y) | ||
| Timothy Lee Chafin | Registered representative | Aug 2007 (19y) | ||
| Keith Alan Peacock | Registered representative | CFP | Aug 2007 (19y) | |
| Matthew Scott Engelau | Registered representative | Aug 2007 (19y) | ||
| Mitchell Allen Arnold | Registered representative | Aug 2007 (19y) | ||
| Geoff Mark Lanfear | Registered representative | Aug 2007 (19y) | ||
| Mary Loretta Mcdonald | Registered representative | Aug 2007 (19y) | ||
| Laura Le Rahlfs | Registered representative | CFP | Aug 2007 (19y) | |
| Mehrdad Bidarian | Registered representative | CFP | Aug 2007 (19y) | |
| Sally Pikwan Louie | Registered representative | Aug 2007 (19y) | ||
| Lew Howard Lemon | Registered representative | Aug 2007 (19y) | ||
| Richard Lee Cavalla | Registered representative | Aug 2007 (19y) | ||
| Senh Ly | Registered representative | Aug 2007 (19y) | ||
| Christopher Todd Hargis | Registered representative | Sep 2007 (19y) | ||
| David John Rust | Registered representative | Sep 2007 (19y) | ||
| David Wayne Sever | Registered representative | Sep 2007 (19y) | ||
| Donald Shane Moore | Registered representative | CFP | Sep 2007 (19y) | |
| Douglas Edward Frazier | Registered representative | CFP | Sep 2007 (19y) | |
| James Brian Reynolds | Registered representative | Sep 2007 (19y) | ||
| Diane Lynn Talley | Registered representative | Sep 2007 (19y) | ||
| Marty Gore Dennis | Registered representative | CFP | Sep 2007 (19y) | |
| Daniel Allen Bushey | Registered representative | Sep 2007 (19y) | ||
| David Anthony Tollin | Registered representative | Sep 2007 (19y) | ||
| Douglas Richard Armey | Registered representative | Sep 2007 (19y) | ||
| Samuel Wade Gilbert | Registered representative | Sep 2007 (19y) | ||
| Paul M Accardi | Registered representative | Sep 2007 (19y) | ||
| David Christopher Mulhall | Registered representative | Sep 2007 (19y) | ||
| Stacy Alden Cannon | Registered representative | Sep 2007 (19y) | ||
| Michael Benjamin Blackham | Registered representative | Sep 2007 (19y) | ||
| Aric Noboru Koshiyama | Registered representative | Sep 2007 (19y) | ||
| Theodore Anthony Stanley | Registered representative | Sep 2007 (19y) | ||
| Charlton Kenneth Rochester | Registered representative | Sep 2007 (19y) | ||
| Mark Winston Elliott | Registered representative | Sep 2007 (19y) | ||
| Kevin Patrick Brockman | Registered representative | CFP | Sep 2007 (19y) | |
| Michael John Willis | Registered representative | Sep 2007 (19y) | ||
| James Randy Allen | Registered representative | Chartered Financial Consultant | Oct 2007 (19y) | |
| James Tucker Boaz | Registered representative | Oct 2007 (19y) | ||
| Randall Scott Tisdale | Registered representative | Oct 2007 (19y) | ||
| William Porter Alexander | Registered representative | CFP | Oct 2007 (19y) | |
| Christopher Chad Griffith | Registered representative | Oct 2007 (19y) | ||
| Dale Lavern Schrock | Registered representative | Oct 2007 (19y) | ||
| Richard Keith Spatola | Registered representative | Oct 2007 (19y) | ||
| Christopher Robert Sabatino | Registered representative | Oct 2007 (19y) | ||
| Jeffrey Phillip Naiman | Registered representative | Oct 2007 (19y) | ||
| Peter Richard Niemczyk | Registered representative | Oct 2007 (19y) | ||
| Rebecca Robin Turner | Registered representative | Oct 2007 (19y) | ||
| James Howard Froman | Registered representative | Oct 2007 (19y) | ||
| Roger Andrew Linder | Registered representative | CFP | Oct 2007 (19y) | |
| John K Walters | Registered representative | Oct 2007 (19y) | ||
| Steven Michael Lorio | Registered representative | Oct 2007 (19y) | ||
| James Gregory Kimball | Registered representative | Oct 2007 (19y) | ||
| Janice Marie Von Der Embse | Registered representative | Oct 2007 (19y) | ||
| Michael William Morgan | Registered representative | Oct 2007 (19y) | ||
| Daniel Jon Olsen | Registered representative | Oct 2007 (19y) | ||
| Laura Warren Gentry | Registered representative | Oct 2007 (19y) | ||
| Loreen M Gilbert | Registered representative | Oct 2007 (19y) | ||
| Michael Paul Kopko | Registered representative | Oct 2007 (19y) | ||
| Thomas Kyle Provins | Registered representative | Nov 2007 (19y) | ||
| Jay Scott Flowers | Registered representative | Nov 2007 (19y) | ||
| Robert Eugene Moore | Registered representative | Nov 2007 (19y) | ||
| Zhuang Tantiwasadakran | Registered representative | Nov 2007 (19y) | ||
| Robert Thomas Cosentino | Registered representative | Nov 2007 (19y) | ||
| Arnel San Jose Tecson | Registered representative | Nov 2007 (19y) | ||
| Philip Raymond Hopkins | Registered representative | Nov 2007 (19y) | ||
| Richard Dale Winn | Registered representative | Nov 2007 (19y) | ||
| Suzan Marie Martin Hallahan | Registered representative | CFP | Nov 2007 (19y) | |
| Dale Anthony Camillo | Registered representative | Nov 2007 (19y) | ||
| Alfred Dewayne Eddy | Registered representative | Nov 2007 (19y) | ||
| Bret Matthew Anderson | Registered representative | Nov 2007 (19y) | ||
| Lora F. Davis | Registered representative | Nov 2007 (19y) | ||
| Martin Lynn Walthers | Registered representative | Nov 2007 (19y) | ||
| Patrick Jeffrey Brooks | Registered representative | CFP Chartered Financial Consultant | Nov 2007 (19y) | |
| William Joel Wright | Registered representative | Nov 2007 (19y) | ||
| Jeffrey Scott Cornstubble | Registered representative | Nov 2007 (19y) | ||
| Daniel Brian Ishee | Registered representative | Nov 2007 (19y) | ||
| Stephen Smith Jackson | Registered representative | Nov 2007 (19y) | ||
| James Robert Thompson | Registered representative | Nov 2007 (19y) | ||
| Kemple Lee Williamson | Registered representative | Nov 2007 (19y) | ||
| Maureen Freeman Obrien | Registered representative | Dec 2007 (19y) | ||
| Nancy Jane Amalfitano | Registered representative | Dec 2007 (19y) | ||
| James Calhoun Keys | Registered representative | Chartered Financial Consultant | Dec 2007 (19y) | |
| Damion N. Dengler | Registered representative | Dec 2007 (19y) | ||
| Kevin Johanson | Registered representative | Dec 2007 (19y) | ||
| Betty Parrish Andrews | Registered representative | Dec 2007 (19y) | ||
| Robert Richard Kloss | Registered representative | Dec 2007 (19y) | ||
| Brian Glenn Hemp | Registered representative | Dec 2007 (19y) | ||
| Jose Ramon Freyre | Registered representative | Dec 2007 (19y) | ||
| Scott Ashley Geric | Registered representative | Dec 2007 (19y) | ||
| Eugene Allen Swank | Registered representative | Dec 2007 (19y) | ||
| Joshua F Bakhash | Registered representative | Dec 2007 (19y) | ||
| Michael Allen Ballou | Registered representative | Dec 2007 (19y) | ||
| Brian Michael Standefer | Registered representative | CFP | Dec 2007 (19y) | |
| Charles Francis Pearson | Registered representative | CFP | Dec 2007 (19y) | |
| Jeffrey Parks Kendall | Registered representative | Dec 2007 (19y) | ||
| Devin Wynne Jones | Registered representative | Dec 2007 (19y) | ||
| Michael Barry Morrell | Registered representative | Dec 2007 (19y) | ||
| Robert Eugene Loucks | Registered representative | CFP | Dec 2007 (19y) | |
| Brian David Rybicki | Registered representative | CFP | Dec 2007 (19y) | |
| Michael William Gray | Registered representative | Dec 2007 (19y) | ||
| Andrew Clark Blease | Registered representative | Dec 2007 (19y) | ||
| David Hove Torp | Registered representative | Dec 2007 (19y) | ||
| James Thomas Calforda | Registered representative | Dec 2007 (19y) | ||
| Tod Donald Shoffler | Registered representative | CFP | Dec 2007 (19y) | |
| Tracy Anderson Lamond | Registered representative | CFA | Dec 2007 (19y) | |
| Gregory Dean Young | Registered representative | Dec 2007 (19y) | ||
| Deirdre Mary Mc Elroy | Registered representative | CFP | Dec 2007 (19y) | |
| John Lee Grissom | Registered representative | Dec 2007 (19y) | ||
| Eric Alexander Linn | Registered representative | CFP | Dec 2007 (19y) | |
| John Jeff Boshar | Registered representative | Chartered Financial Consultant | Dec 2007 (19y) | |
| Charles Duane Bodie | Registered representative | Jan 2008 (19y) | ||
| Tara Lynn Mohr | Registered representative | CFP | Jan 2008 (19y) | |
| Kurt Joseph Rossi | Registered representative | CFP | Jan 2008 (19y) | |
| Leif Eric Pettersen | Registered representative | Jan 2008 (19y) | ||
| Mark Jeremy Egermier | Registered representative | CFP | Jan 2008 (19y) | |
| Curtis Gregory Fagan | Registered representative | Jan 2008 (19y) | ||
| Stephen George Amble | Registered representative | Jan 2008 (19y) | ||
| Brian Patrick Kelly | Registered representative | Jan 2008 (19y) | ||
| Gail Leone Waytena | Registered representative | Jan 2008 (19y) | ||
| Christopher Travis Gray | Registered representative | Jan 2008 (19y) | ||
| Roger Alan Jones | Registered representative | Jan 2008 (19y) | ||
| Kerry Lane Dyer | Registered representative | Jan 2008 (19y) | ||
| Amy Lynn Calderon | Registered representative | Jan 2008 (19y) | ||
| Jason Richard Karr | Registered representative | Jan 2008 (19y) | ||
| Kenneth Charles Finkel | Registered representative | Feb 2008 (19y) | ||
| Kevin Michael Crowley | Registered representative | CFP | Feb 2008 (19y) | |
| Marci Erin Wickham | Registered representative | Feb 2008 (19y) | ||
| Robert Alan Paul | Registered representative | Feb 2008 (19y) | ||
| Nathan Gerald Browning | Registered representative | Feb 2008 (18y) | ||
| Chad Braden Chance | Registered representative | Feb 2008 (18y) | ||
| Culbert Mcsween Mclean | Registered representative | Feb 2008 (18y) | ||
| Geoff Vincent Forcella | Registered representative | Feb 2008 (18y) | ||
| Joshua Adam Suess | Registered representative | Feb 2008 (18y) | ||
| Clayton Shaw Robinson | Registered representative | Feb 2008 (18y) | ||
| John Douglas Evans | Registered representative | Feb 2008 (18y) | ||
| Michael Eugene Roozeboom | Registered representative | Feb 2008 (18y) | ||
| Sidney Soria | Registered representative | Feb 2008 (18y) | ||
| Marley Jason Abell | Registered representative | Feb 2008 (18y) | ||
| George Stephen Urist | Registered representative | Feb 2008 (18y) | ||
| Mahmoud Saleheldin Abdelhalem | Registered representative | Feb 2008 (18y) | ||
| Denis Cyr | Registered representative | Feb 2008 (18y) | ||
| Kevin Kirk Beamon | Registered representative | Mar 2008 (18y) | ||
| Anne Marie Helle Hamilton | Registered representative | Mar 2008 (18y) | ||
| F Jeffrey Hahofer | Registered representative | Mar 2008 (18y) | ||
| Kevin Todd Zimmer | Registered representative | Mar 2008 (18y) | ||
| Daniel John Smith | Registered representative | CFP | Mar 2008 (18y) | |
| Mary Alice Henry | Registered representative | Mar 2008 (18y) | ||
| Sarah L. Carlson | Registered representative | Chartered Financial Consultant | Mar 2008 (18y) | |
| Yvonne Lara Silguero | Registered representative | Mar 2008 (18y) | ||
| Christopher Henry Woo | Registered representative | Mar 2008 (18y) | ||
| Robert David Ward | Registered representative | Mar 2008 (18y) | ||
| Brad Anthony Blackburn | Registered representative | CFP Chartered Financial Consultant | Mar 2008 (18y) | |
| David Lee Harper | Registered representative | Mar 2008 (18y) | ||
| Ralph Edward Gillentine | Registered representative | CFP Chartered Financial Consultant | Mar 2008 (18y) | |
| Jian Gregory Boldi | Registered representative | Mar 2008 (18y) | ||
| Kun Er Lu | Registered representative | Mar 2008 (18y) | ||
| Ryan George Toronto | Registered representative | Mar 2008 (18y) | ||
| Michael Archie Fazio | Registered representative | Mar 2008 (18y) | ||
| Sheldon Xiaochun Ren | Registered representative | CFP | Mar 2008 (18y) | |
| James Joseph Armstrong | Registered representative | Mar 2008 (18y) | ||
| Jodi L Hills | Registered representative | Mar 2008 (18y) | ||
| Alexis Hoy Furr | Registered representative | Apr 2008 (18y) | ||
| Nicolas A. Radisay | Registered representative | Apr 2008 (18y) | ||
| Timothy Jason Landry | Registered representative | Apr 2008 (18y) | ||
| Kevin L Wamsley | Registered representative | Apr 2008 (18y) | ||
| Francisco Barreto | Registered representative | Apr 2008 (18y) | ||
| Matthew Steven Ridenhour | Registered representative | Apr 2008 (18y) | ||
| Jordan Romney Curtis | Registered representative | Apr 2008 (18y) | ||
| Larry Randolph Boydstun | Registered representative | Apr 2008 (18y) | ||
| Andrew John Dittberner | Registered representative | Apr 2008 (18y) | ||
| Jeffery Allen Reese | Registered representative | Apr 2008 (18y) | ||
| Robert Porter Pretopapa | Registered representative | CFP | Apr 2008 (18y) | |
| William John Poulter | Registered representative | Apr 2008 (18y) | ||
| Richard Alan Pietsch | Registered representative | Apr 2008 (18y) | ||
| David P Antioho | Registered representative | Apr 2008 (18y) | ||
| Daniel Eric Antioho | Registered representative | CFP | Apr 2008 (18y) | |
| Fadilah Hanna Gambrell | Registered representative | Apr 2008 (18y) | ||
| Kari Gabrielle Andrade | Registered representative | Apr 2008 (18y) | ||
| Brock M Anderson | Registered representative | Apr 2008 (18y) | ||
| Craig Richard Cutler | Registered representative | Apr 2008 (18y) | ||
| Thomas Andrew Zgliniec | Registered representative | Apr 2008 (18y) | ||
| Justin Michael Holtz | Registered representative | CFP | Apr 2008 (18y) | |
| Scott Cash Thompson | Registered representative | CFP | May 2008 (18y) | |
| Kurt David Reinhold | Registered representative | May 2008 (18y) | ||
| Gregg Raymond Patenaude | Registered representative | May 2008 (18y) | ||
| Nadia Shokohi | Registered representative | May 2008 (18y) | ||
| John Paul Ratini | Registered representative | May 2008 (18y) | ||
| Erik Clayton Anderson | Registered representative | May 2008 (18y) | ||
| Joan Allison White Mccain | Registered representative | Chartered Financial Consultant | May 2008 (18y) | |
| Spencer Curtius Lewis | Registered representative | May 2008 (18y) | ||
| Kristen Le Fourtner | Registered representative | May 2008 (18y) | ||
| Walter Lamb Woodrick | Registered representative | CFP | May 2008 (18y) | |
| James Adrian Hartman | Registered representative | May 2008 (18y) | ||
| Arun Narayan Kulkarni | Registered representative | May 2008 (18y) | ||
| Eddie Joseph Viscovich | Registered representative | May 2008 (18y) | ||
| Fernando R Montemayor | Registered representative | May 2008 (18y) | ||
| Glenn Gabino Escovedo | Registered representative | May 2008 (18y) | ||
| Ismael Eradio Reyes Retana | Registered representative | May 2008 (18y) | ||
| Jose Julian Cruz | Registered representative | May 2008 (18y) | ||
| Thomas Michael Berry | Registered representative | May 2008 (18y) | ||
| Bernard Francis Taillon | Registered representative | May 2008 (18y) | ||
| Gregory John Allen | Registered representative | May 2008 (18y) | ||
| Richard Taylor Winn | Registered representative | Jun 2008 (18y) | ||
| Kent Allen Powgnas | Registered representative | CFP | Jun 2008 (18y) | |
| Kent Anthony Marler | Registered representative | Jun 2008 (18y) | ||
| Wayne Peter Carney | Registered representative | Jun 2008 (18y) | ||
| Barney Daniel | Registered representative | Jun 2008 (18y) | ||
| Joel Fredrik Billings | Registered representative | Jun 2008 (18y) | ||
| Mitch Wales Ruibal | Registered representative | Jun 2008 (18y) | ||
| Raymond Alexander Mones | Registered representative | Jun 2008 (18y) | ||
| Michael Brent Bonnett | Registered representative | CFP Chartered Financial Consultant | Jun 2008 (18y) | |
| William Jason Ezekiel Washo | Registered representative | CFP Personal Financial Specialist | Jun 2008 (18y) | |
| Daniel Gene Witham | Registered representative | Jun 2008 (18y) | ||
| Scott Matthew Mcdonald | Registered representative | CFP | Jun 2008 (18y) | |
| Robin Lynette Coggins | Registered representative | Jun 2008 (18y) | ||
| Dawn Marie Sakolsky | Registered representative | Jun 2008 (18y) | ||
| Glenn Arthur Duphiney | Registered representative | CFP | Jun 2008 (18y) | |
| Christopher Alan Noone | Registered representative | CFP Chartered Financial Consultant | Jun 2008 (18y) | |
| Cornelius Paul Mccarthy | Registered representative | Jun 2008 (18y) | ||
| Seema Sethi | Registered representative | Jun 2008 (18y) | ||
| Michael John Swain | Registered representative | Jul 2008 (18y) | ||
| Douglas Edward Smith | Registered representative | Jul 2008 (18y) | ||
| Stephen Jude Kearney | Registered representative | Jul 2008 (18y) | ||
| Benjamin Reese Irick | Registered representative | CFP | Jul 2008 (18y) | |
| Irwin Maurice Sobers | Registered representative | CFP | Jul 2008 (18y) | |
| Alexandre Miguel Oliveira | Registered representative | Jul 2008 (18y) | ||
| Thomas Patrick Valdez | Registered representative | Jul 2008 (18y) | ||
| Bradley Clyde Fischer | Registered representative | Jul 2008 (18y) | ||
| David Nelson Lambert | Registered representative | Jul 2008 (18y) | ||
| Lawrence Martin Wefferling | Registered representative | Jul 2008 (18y) | ||
| Daniel Leonard Owen | Registered representative | Jul 2008 (18y) | ||
| Hassan Syed Ali | Registered representative | Jul 2008 (18y) | ||
| Leslie Homer Martin | Registered representative | Jul 2008 (18y) | ||
| Douglas Alan Bernath | Registered representative | Jul 2008 (18y) | ||
| Ryan Paul Woodring | Registered representative | CFP | Jul 2008 (18y) | |
| Gerard Anthony Duphiney | Registered representative | CFP | Jul 2008 (18y) | |
| Niall David Bridgeman | Registered representative | Jul 2008 (18y) | ||
| Edward Robert Collins | Registered representative | Jul 2008 (18y) | ||
| Kevin P Mantville | Registered representative | Jul 2008 (18y) | ||
| Tyler J Kennicker | Registered representative | Jul 2008 (18y) | ||
| Christina Marie Bennett | Registered representative | CFP | Aug 2008 (18y) | |
| Stephen Michael Cota | Registered representative | Aug 2008 (18y) | ||
| Ann S Decaprio | Registered representative | CFP | Aug 2008 (18y) | |
| Joshua P Summerhays | Registered representative | CFP | Aug 2008 (18y) | |
| Claudie Andrew Armstrong | Registered representative | Aug 2008 (18y) | ||
| Joshua Karl Schlieman | Registered representative | CFP | Aug 2008 (18y) | |
| Shannon Andrew Sullivan | Registered representative | CFP | Aug 2008 (18y) | |
| Yu San Lee Mebane | Registered representative | Aug 2008 (18y) | ||
| Gillette Keith Harris | Registered representative | Aug 2008 (18y) | ||
| Travis Neal Sheets | Registered representative | Aug 2008 (18y) | ||
| Mary Lynch Morse | Registered representative | Sep 2008 (18y) | ||
| Daniel Joseph Bensman | Registered representative | Sep 2008 (18y) | ||
| Daniel Louis Lofrese | Registered representative | Sep 2008 (18y) | ||
| Emily Devine Morgan | Registered representative | CFP | Sep 2008 (18y) | |
| Mickey J Hunter | Registered representative | Sep 2008 (18y) | ||
| Vicki Jean Marshall | Registered representative | Sep 2008 (18y) | ||
| Gary Nicholas Stam | Registered representative | Sep 2008 (18y) | ||
| Gary Thomas Hughes | Registered representative | Sep 2008 (18y) | ||
| John Edward Connolly | Registered representative | Personal Financial Specialist | Sep 2008 (18y) | |
| Joseph August Frederick | Registered representative | Sep 2008 (18y) | ||
| Dean Mori Seligman | Registered representative | Sep 2008 (18y) | ||
| Edward Francis Chairvolotti | Registered representative | Sep 2008 (18y) | ||
| Michael Lawrence Talley | Registered representative | Sep 2008 (18y) | ||
| Michael Vincent Berardi | Registered representative | Sep 2008 (18y) | ||
| Ronald Edward Mohr | Registered representative | Sep 2008 (18y) | ||
| William David Hinch | Registered representative | Sep 2008 (18y) | ||
| Frederick Andrew Scholer | Registered representative | Sep 2008 (18y) | ||
| Donald James Randolph | Registered representative | Sep 2008 (18y) | ||
| Jason Tyler Middleton | Registered representative | Sep 2008 (18y) | ||
| Diana Marie Colahan | Registered representative | CFP | Sep 2008 (18y) | |
| Michael Anthony Kincaid | Registered representative | Oct 2008 (18y) | ||
| Frank Edward Messenger | Registered representative | Oct 2008 (18y) | ||
| Susan D Daileader | Registered representative | CFP | Oct 2008 (18y) | |
| Timothy Michael Smith | Registered representative | Oct 2008 (18y) | ||
| Judith Ann Tocco | Registered representative | CFP | Oct 2008 (18y) | |
| Debra Ann Fournier | Registered representative | CFP | Oct 2008 (18y) | |
| Eugene Ralph Freedman | Registered representative | Oct 2008 (18y) | ||
| Matthew Ryan Christopher | Registered representative | Oct 2008 (18y) | ||
| Chad Lee Robinson | Registered representative | Oct 2008 (18y) | ||
| Michael Scott Sorenson | Registered representative | Oct 2008 (18y) | ||
| William Henry Hall | Registered representative | Oct 2008 (18y) | ||
| Zoran Selakovic | Registered representative | Oct 2008 (18y) | ||
| Brian Yoshio Chang | Registered representative | CFP | Oct 2008 (18y) | |
| Emi Shindo | Registered representative | CFA | Oct 2008 (18y) | |
| Peter Joseph Rafaniello | Registered representative | Oct 2008 (18y) | ||
| Brad David Sonnier | Registered representative | Oct 2008 (18y) | ||
| Paul Anthony La Greca | Registered representative | Oct 2008 (18y) | ||
| Marvin Michael Feldman | Registered representative | Oct 2008 (18y) | ||
| Dustin David Hall | Registered representative | CFP | Nov 2008 (18y) | |
| Kathy Riddick Burns | Registered representative | Nov 2008 (18y) | ||
| John Brian Weigel | Registered representative | Nov 2008 (18y) | ||
| Jane Ellen Welch | Registered representative | Nov 2008 (18y) | ||
| William Shelby Jeter | Registered representative | Nov 2008 (18y) | ||
| Chun Lee Phung | Registered representative | Nov 2008 (18y) | ||
| Mike Theodore Vanden Berge | Registered representative | CFP Chartered Financial Consultant | Nov 2008 (18y) | |
| Brian Edward Longbons | Registered representative | Nov 2008 (18y) | ||
| Michael Edward Ryan | Registered representative | Nov 2008 (18y) | ||
| Brian Hanakahi Enoka | Registered representative | CFP | Nov 2008 (18y) | |
| Steven T Looser | Registered representative | Nov 2008 (18y) | ||
| Calvin Heyward Elam | Registered representative | Chartered Financial Consultant | Nov 2008 (18y) | |
| Lance Masami Miyahira | Registered representative | Nov 2008 (18y) | ||
| Thomas John Dobransky | Registered representative | Nov 2008 (18y) | ||
| Carol Jones Owens | Registered representative | Dec 2008 (18y) | ||
| Gregg Austin Diamond | Registered representative | Dec 2008 (18y) | ||
| Hicham Benothmane | Registered representative | Dec 2008 (18y) | ||
| Ronnie Brondial Raroque | Registered representative | Dec 2008 (18y) | ||
| Trevor Vincent Lange | Registered representative | Dec 2008 (18y) | ||
| David Michael Kiley | Registered representative | Dec 2008 (18y) | ||
| Harald Norman Schot | Registered representative | Dec 2008 (18y) | ||
| Stephen Martin Leicht | Registered representative | Dec 2008 (18y) | ||
| David Brian Doolin | Registered representative | Dec 2008 (18y) | ||
| Charles Brett Lewis | Registered representative | Dec 2008 (18y) | ||
| Wade K Long | Registered representative | Dec 2008 (18y) | ||
| Jeremy Alan Ayers | Registered representative | CFP | Dec 2008 (18y) | |
| Joel Anthony Pezzano | Registered representative | Dec 2008 (18y) | ||
| Allen Dale Beckner | Registered representative | CFP | Dec 2008 (18y) | |
| Paul Mark Wilson | Registered representative | Dec 2008 (18y) | ||
| Rafael Medeiros Cordaro | Registered representative | Dec 2008 (18y) | ||
| Jason Derek Lee | Registered representative | Dec 2008 (18y) | ||
| Aaron Ronald Prokopec | Registered representative | Jan 2009 (18y) | ||
| Jonathan Edward Osterkamp | Registered representative | Jan 2009 (18y) | ||
| Stephen Edward Sigmon | Registered representative | CFP | Jan 2009 (18y) | |
| Ann Esther Schueler | Registered representative | CFP | Jan 2009 (18y) | |
| Jack A Cliff | Registered representative | Jan 2009 (18y) | ||
| Leonard Charles Borcky | Registered representative | Jan 2009 (18y) | ||
| David Mcewen Bridges | Registered representative | CFP | Jan 2009 (18y) | |
| George Denton Gillen | Registered representative | Jan 2009 (18y) | ||
| Jennifer Lynne Turner | Registered representative | Jan 2009 (18y) | ||
| Monika Elizabeth Windle | Registered representative | CFP | Jan 2009 (18y) | |
| Mark Vincent Powell | Registered representative | Jan 2009 (18y) | ||
| Brian Paul Astorino | Registered representative | Jan 2009 (18y) | ||
| David Edward Scott | Registered representative | CFP | Jan 2009 (18y) | |
| Nicholas Andrew Wurst | Registered representative | Jan 2009 (18y) | ||
| Bart Allen Grant | Registered representative | Jan 2009 (18y) | ||
| Charla Sue Riley | Registered representative | Jan 2009 (18y) | ||
| Linda Brandi Mozzone | Registered representative | Jan 2009 (18y) | ||
| Amanda Lynn Barcliff | Registered representative | Jan 2009 (18y) | ||
| James Timothy Ayers | Registered representative | Jan 2009 (18y) | ||
| Frederick Mark Koppelmann | Registered representative | CFP | Jan 2009 (18y) | |
| Kenneth Shay Fultz | Registered representative | Jan 2009 (18y) | ||
| Louis Joseph Costanzo | Registered representative | CFP Chartered Financial Consultant | Jan 2009 (18y) | |
| Lyle Kennedy Schiavone | Registered representative | Jan 2009 (18y) | ||
| Victoria C Lyttle | Registered representative | Jan 2009 (18y) | ||
| George Shields King | Registered representative | Jan 2009 (18y) | ||
| Jennifer Bagalawis Daknis | Registered representative | Jan 2009 (18y) | ||
| Richard Jay Hawk | Registered representative | Jan 2009 (18y) | ||
| William Randolph Wilkins | Registered representative | CFP | Jan 2009 (18y) | |
| Frank Robinson Buchanan | Registered representative | Jan 2009 (18y) | ||
| Min Michelle Ma | Registered representative | Jan 2009 (18y) | ||
| Michael Wesley Sammons | Registered representative | Jan 2009 (18y) | ||
| Steven Wayne Arnold | Registered representative | Jan 2009 (18y) | ||
| Joan Mindy Bernstein | Registered representative | Jan 2009 (18y) | ||
| John Anthony Mcnamara | Registered representative | Jan 2009 (18y) | ||
| Jack John Edward Monaghan | Registered representative | Jan 2009 (18y) | ||
| Jonathan Robert Stearns | Registered representative | Feb 2009 (17y) | ||
| James Riley Mcculley | Registered representative | CFP | Feb 2009 (17y) | |
| Ryan Alex Lindsay | Registered representative | Feb 2009 (17y) | ||
| Thomas Reese Newbrey | Registered representative | Feb 2009 (17y) | ||
| Earl Todd Marquardt | Registered representative | CFP Chartered Financial Consultant | Feb 2009 (17y) | |
| Brent Ronald Remerowski | Registered representative | Feb 2009 (17y) | ||
| John William Donnelly | Registered representative | CFP | Feb 2009 (17y) | |
| Michael R. Dipierno | Registered representative | Feb 2009 (17y) | ||
| Roy Thomas Mann | Registered representative | Feb 2009 (17y) | ||
| Juan Eduardo Oechsle | Registered representative | Feb 2009 (17y) | ||
| H. Daniel Muscatello | Registered representative | Feb 2009 (17y) | ||
| Donald William Angel | Registered representative | CFP | Feb 2009 (17y) | |
| Jorge Vergara | Registered representative | Feb 2009 (17y) | ||
| Dora Maria Pasco | Registered representative | Feb 2009 (17y) | ||
| Joseph Michael Masiello | Registered representative | CFP Chartered Financial Consultant | Feb 2009 (17y) | |
| Zachary Farley Longley | Registered representative | Feb 2009 (17y) | ||
| Joseph Daniel Donovan | Registered representative | Feb 2009 (17y) | ||
| Jaime F Santana | Registered representative | Feb 2009 (17y) | ||
| Stephen Jay Gibbs | Registered representative | Feb 2009 (17y) | ||
| Michael Scott Reiter | Registered representative | Mar 2009 (17y) | ||
| Mark Alan Behrens | Registered representative | Mar 2009 (17y) | ||
| Claudia Vasquez | Registered representative | Mar 2009 (17y) | ||
| Melissa Ann Kohler | Registered representative | Mar 2009 (17y) | ||
| Robert J Weilbacher | Registered representative | Mar 2009 (17y) | ||
| Arthur Michael Cordts | Registered representative | CFP | Mar 2009 (17y) | |
| Cole Jason Strickland | Registered representative | Mar 2009 (17y) | ||
| James Thomas Cassa | Registered representative | Mar 2009 (17y) | ||
| Patrick George Milutinovich | Registered representative | Mar 2009 (17y) | ||
| Stuart Blaine Shim | Registered representative | Mar 2009 (17y) | ||
| Linda Rene Coulson | Registered representative | Mar 2009 (17y) | ||
| Randol Leach | Registered representative | Mar 2009 (17y) | ||
| William Alexander Yaegers | Registered representative | CFP | Mar 2009 (17y) | |
| Brian Michael Davis | Registered representative | CFP Chartered Financial Consultant | Mar 2009 (17y) | |
| Daniel George Hausman | Registered representative | Mar 2009 (17y) | ||
| Timothy James Tousignant | Registered representative | Mar 2009 (17y) | ||
| Joseph Hendrick | Registered representative | Mar 2009 (17y) | ||
| Michael John Lemay | Registered representative | Mar 2009 (17y) | ||
| Athena Isis Plencner | Registered representative | Mar 2009 (17y) | ||
| Christopher Blake Foster | Registered representative | Mar 2009 (17y) | ||
| Harry Lee Jackson | Registered representative | Mar 2009 (17y) | ||
| David Ryan Presley | Registered representative | Mar 2009 (17y) | ||
| Edwin Grover Egger | Registered representative | Mar 2009 (17y) | ||
| Patrick James Morrison | Registered representative | Mar 2009 (17y) | ||
| Curtis Wayne Chambers | Registered representative | CFP | Mar 2009 (17y) | |
| Andrew Ramon Carro | Registered representative | Mar 2009 (17y) | ||
| Barrie Wayne Culver | Registered representative | Mar 2009 (17y) | ||
| Raymond Joseph Weigand | Registered representative | Mar 2009 (17y) | ||
| Thomas Leo Agostinelli | Registered representative | Mar 2009 (17y) | ||
| Eugene Daniel Schulfer | Registered representative | Mar 2009 (17y) | ||
| Louann Schulfer | Registered representative | Mar 2009 (17y) | ||
| Ryan Mathurin Verdery | Registered representative | Apr 2009 (17y) | ||
| Thomas Lloyd Worth | Registered representative | Apr 2009 (17y) | ||
| John David Edwards | Registered representative | CFP | Apr 2009 (17y) | |
| Richard Dean Dickson | Registered representative | Apr 2009 (17y) | ||
| Robin Wendy Riendl | Registered representative | CFP | Apr 2009 (17y) | |
| Thomas Andrew Prude | Registered representative | CFP Chartered Financial Consultant | Apr 2009 (17y) | |
| Blaine Stanfield Douglas | Registered representative | Apr 2009 (17y) | ||
| Brian Scott Dluzniewski | Registered representative | Apr 2009 (17y) | ||
| Christopher Jules Bequette | Registered representative | Apr 2009 (17y) | ||
| Jack George Varcados | Registered representative | Apr 2009 (17y) | ||
| Rhonda Guest Barclay | Registered representative | Apr 2009 (17y) | ||
| Floyd Zachary Fielder | Registered representative | Apr 2009 (17y) | ||
| James William Finley | Registered representative | Apr 2009 (17y) | ||
| Kelly Michael Newell | Registered representative | Apr 2009 (17y) | ||
| Scott Robert Hemerick | Registered representative | Apr 2009 (17y) | ||
| Hassan Nemer Fawaz | Registered representative | CFP | Apr 2009 (17y) | |
| Jacob A Paltzer | Registered representative | Apr 2009 (17y) | ||
| Joel Ginsburg | Registered representative | Apr 2009 (17y) | ||
| Laura Macewen Dix | Registered representative | Apr 2009 (17y) | ||
| Maria Dolores Barela | Registered representative | CFP | Apr 2009 (17y) | |
| Richard B Hopf | Registered representative | Apr 2009 (17y) | ||
| Mary Rohe Purgason | Registered representative | Apr 2009 (17y) | ||
| Darrell Paul Ourso | Registered representative | Apr 2009 (17y) | ||
| Brandon Bas Curtis | Registered representative | Apr 2009 (17y) | ||
| James Janus Ortyn | Registered representative | Apr 2009 (17y) | ||
| Jeffrey David Bruce | Registered representative | Apr 2009 (17y) | ||
| Steven James Fischer | Registered representative | Apr 2009 (17y) | ||
| Debora Lee Wood | Registered representative | Apr 2009 (17y) | ||
| Jason Andrew Jennings | Registered representative | Apr 2009 (17y) | ||
| Ross Beardslee Levine | Registered representative | Chartered Financial Consultant | Apr 2009 (17y) | |
| Andre Charles Mcdonald | Registered representative | Apr 2009 (17y) | ||
| Sidney Russell Schroader | Registered representative | Apr 2009 (17y) | ||
| Harry Charles Stumpf | Registered representative | CFP | Apr 2009 (17y) | |
| Kenneth Curtis Townsend | Registered representative | Apr 2009 (17y) | ||
| Nathan D Smedley | Registered representative | Apr 2009 (17y) | ||
| Thomas Eugene Hitchcock | Registered representative | Chartered Financial Consultant | Apr 2009 (17y) | |
| Janet Lee Simon | Registered representative | Apr 2009 (17y) | ||
| Brandon Milton Hastings | Registered representative | Apr 2009 (17y) | ||
| Kevin Paul Glass | Registered representative | Apr 2009 (17y) | ||
| Gregory James Weigand | Registered representative | Apr 2009 (17y) | ||
| Adele Toussaint | Registered representative | CFP | May 2009 (17y) | |
| Bruce David Schroeder | Registered representative | CFP | May 2009 (17y) | |
| Gregory Joseph Loyacano | Registered representative | May 2009 (17y) | ||
| Thomas Francis Dowling | Registered representative | May 2009 (17y) | ||
| Thomas G Carouthers | Registered representative | May 2009 (17y) | ||
| Richard Alan Marshall | Registered representative | May 2009 (17y) | ||
| Brad Kalas | Registered representative | May 2009 (17y) | ||
| Walter J Hiel | Registered representative | May 2009 (17y) | ||
| Sarin Anoush Barsoumian | Registered representative | CFP | May 2009 (17y) | |
| Christopher Thomas Zappala | Registered representative | May 2009 (17y) | ||
| Michael Francis Woram | Registered representative | May 2009 (17y) | ||
| Jordan Michael Parker | Registered representative | May 2009 (17y) | ||
| Stuart Anthony Murray | Registered representative | May 2009 (17y) | ||
| Catherine Ms Scheuber | Registered representative | May 2009 (17y) | ||
| Daryl Vrbas | Registered representative | May 2009 (17y) | ||
| Dustin Scott Adams | Registered representative | May 2009 (17y) | ||
| John Robert Hinrichs | Registered representative | May 2009 (17y) | ||
| Joseph Louis Kopec | Registered representative | May 2009 (17y) | ||
| William John Roebken | Registered representative | May 2009 (17y) | ||
| Robert Aron Crowe | Registered representative | May 2009 (17y) | ||
| Steve Alexander Trzcinski | Registered representative | May 2009 (17y) | ||
| Allen Rowe | Registered representative | CFP | May 2009 (17y) | |
| Terry B Karch | Registered representative | May 2009 (17y) | ||
| Lynn J Danz Kaye | Registered representative | CFP | May 2009 (17y) | |
| Patrick Widney Lodewick | Registered representative | May 2009 (17y) | ||
| James Matthias Zwickert | Registered representative | May 2009 (17y) | ||
| Michael E Harper | Registered representative | May 2009 (17y) | ||
| Pablo Ivan Alvarado | Registered representative | May 2009 (17y) | ||
| Frank Louis Koucky | Registered representative | May 2009 (17y) | ||
| Jason Earl Woodall | Registered representative | May 2009 (17y) | ||
| Leonidas (Leo) H Maheras | Registered representative | CFP | May 2009 (17y) | |
| Robert Kelly Weaver | Registered representative | May 2009 (17y) | ||
| David Michael Morders | Registered representative | May 2009 (17y) | ||
| Kenneth Lamar Lejuerrne | Registered representative | May 2009 (17y) | ||
| Juan Francisco Trevino | Registered representative | May 2009 (17y) | ||
| Luke Werner Cummings | Registered representative | May 2009 (17y) | ||
| Stewart Ryan Shields | Registered representative | Jun 2009 (17y) | ||
| Tom Duncan Bromm | Registered representative | Jun 2009 (17y) | ||
| Charles Arthur Eisenmann | Registered representative | Jun 2009 (17y) | ||
| Zachary Ryan Schroer | Registered representative | Jun 2009 (17y) | ||
| David Simpson Lapray | Registered representative | Jun 2009 (17y) | ||
| Benjamin Scott Alford | Registered representative | Jun 2009 (17y) | ||
| Bradley Krieg | Registered representative | Jun 2009 (17y) | ||
| Carrie Aburto | Registered representative | CFP | Jun 2009 (17y) | |
| Raymond Hinyuen Mark | Registered representative | Jun 2009 (17y) | ||
| Rodney Jeffrey Medina | Registered representative | Jun 2009 (17y) | ||
| Frank James Russo | Registered representative | Jun 2009 (17y) | ||
| Brian George Locke | Registered representative | Jun 2009 (17y) | ||
| Patricia Spencer Arnold | Registered representative | Jun 2009 (17y) | ||
| Patrick Michael Rotondo | Registered representative | Jun 2009 (17y) | ||
| Ana Luisa Barnett | Registered representative | Jun 2009 (17y) | ||
| Charles Jose Coronado | Registered representative | Jun 2009 (17y) | ||
| Cynthia Corry Bergel | Registered representative | Jun 2009 (17y) | ||
| Gary Thomas Collins | Registered representative | Jun 2009 (17y) | ||
| Gregory Thaddeus Moore | Registered representative | Jun 2009 (17y) | ||
| Steven Norbert Banaletti | Registered representative | Jun 2009 (17y) | ||
| Jim B Wolf | Registered representative | Jun 2009 (17y) | ||
| Todd Anthony Trevino | Registered representative | Jun 2009 (17y) | ||
| Angelo Frank Anello | Registered representative | Jun 2009 (17y) | ||
| Brady Odonnell Foley | Registered representative | Jun 2009 (17y) | ||
| Paul Joseph Karson | Registered representative | Jun 2009 (17y) | ||
| Alfredo Quesada | Registered representative | Jun 2009 (17y) | ||
| Clyde Joseph Tommelleo | Registered representative | Jun 2009 (17y) | ||
| Linda Louise Lee | Registered representative | Jun 2009 (17y) | ||
| Kristi Baker Ellington | Registered representative | Jun 2009 (17y) | ||
| Alice Lugene Pichler | Registered representative | Jun 2009 (17y) | ||
| David Anthony Hemler | Registered representative | Jun 2009 (17y) | ||
| Timothy Patrick Milford | Registered representative | CFP | Jun 2009 (17y) | |
| David Kelly Gillespie | Registered representative | Jun 2009 (17y) | ||
| Thomas Terry Vigil | Registered representative | CFP | Jun 2009 (17y) | |
| David Allen Kautz | Registered representative | Jul 2009 (17y) | ||
| Guy Hamilton Hudman | Registered representative | Jul 2009 (17y) | ||
| John Randall Grayson | Registered representative | Jul 2009 (17y) | ||
| Marcus Scott Seabock | Registered representative | Jul 2009 (17y) | ||
| David Emile Heltz | Registered representative | Chartered Financial Consultant | Jul 2009 (17y) | |
| Jeremy R Gussick | Registered representative | CFP | Jul 2009 (17y) | |
| Narinder Singh Bains | Registered representative | Jul 2009 (17y) | ||
| Corey Amadeus Beucus | Registered representative | Jul 2009 (17y) | ||
| Craig Arnold Arfsten | Registered representative | Jul 2009 (17y) | ||
| Michael Lee Tanner | Registered representative | Jul 2009 (17y) | ||
| Daniel John Robinson | Registered representative | Jul 2009 (17y) | ||
| Jon Christian Schwartz | Registered representative | Jul 2009 (17y) | ||
| Marcus Eugene Paredes | Registered representative | Jul 2009 (17y) | ||
| Patrick Joseph Kelly | Registered representative | Jul 2009 (17y) | ||
| Victor Waite Mccool | Registered representative | Jul 2009 (17y) | ||
| Lynn Marie Brix | Registered representative | Jul 2009 (17y) | ||
| Thomas Joseph Langway | Registered representative | Jul 2009 (17y) | ||
| Dennis Gary Reisher | Registered representative | Jul 2009 (17y) | ||
| Paul Sahota | Registered representative | CFP | Jul 2009 (17y) | |
| Darlene Elaine Roepoundstone | Registered representative | Jul 2009 (17y) | ||
| Dru Alexander Torvend | Registered representative | Jul 2009 (17y) | ||
| Jeffrey Daniel Meares | Registered representative | Jul 2009 (17y) | ||
| Kevin Charles Crahan | Registered representative | Jul 2009 (17y) | ||
| Shaun Colin Mcgeary | Registered representative | Jul 2009 (17y) | ||
| Maryann Ruck | Registered representative | Aug 2009 (17y) | ||
| Magdalena Justyna Georgopoulos | Registered representative | Aug 2009 (17y) | ||
| Thomas Nicholas Forcella | Registered representative | Aug 2009 (17y) | ||
| Brian Wayne Stevens | Registered representative | Aug 2009 (17y) | ||
| Christopher Lee Sommer | Registered representative | Aug 2009 (17y) | ||
| Joseph William Sabelhaus | Registered representative | CFP | Aug 2009 (17y) | |
| Robert Smith Collins | Registered representative | Aug 2009 (17y) | ||
| Julia Michelle Carlson | Registered representative | Aug 2009 (17y) | ||
| Jerry Randolph Booth | Registered representative | Aug 2009 (17y) | ||
| Steve Truett Barrilleaux | Registered representative | CFP | Aug 2009 (17y) | |
| Eric Christian Andersen | Registered representative | Aug 2009 (17y) | ||
| Jonathan L Meczywor | Registered representative | Aug 2009 (17y) | ||
| Keith G Dronen | Registered representative | Aug 2009 (17y) | ||
| Dena Haller Russell | Registered representative | Aug 2009 (17y) | ||
| J. Michael Mullen | Registered representative | Aug 2009 (17y) | ||
| Zachary D Passman | Registered representative | Aug 2009 (17y) | ||
| Christopher Michael Toscano | Registered representative | CFP | Aug 2009 (17y) | |
| Larry John Vawter | Registered representative | Aug 2009 (17y) | ||
| Nicholas Andrew Tyburski | Registered representative | Aug 2009 (17y) | ||
| Jeffrey Dewayne Brooks | Registered representative | Aug 2009 (17y) | ||
| Charles Stephen Lee | Registered representative | Sep 2009 (17y) | ||
| Peter Warren Miller | Registered representative | Sep 2009 (17y) | ||
| Roger Braun Adler | Registered representative | Sep 2009 (17y) | ||
| Elliott L Evans | Registered representative | Sep 2009 (17y) | ||
| Adam R Weiss | Registered representative | Sep 2009 (17y) | ||
| Andrew John Sitkiewicz | Registered representative | CFP | Sep 2009 (17y) | |
| Anthony George Bloch | Registered representative | Sep 2009 (17y) | ||
| Armand Minasian | Registered representative | CFP | Sep 2009 (17y) | |
| Brian Scott Bell | Registered representative | CFP | Sep 2009 (17y) | |
| Bruce Einar Severeid | Registered representative | CFP | Sep 2009 (17y) | |
| Bruce Webb Woods | Registered representative | Sep 2009 (17y) | ||
| Carlton Ken Gushiken | Registered representative | Sep 2009 (17y) | ||
| Carol Jean Keedy | Registered representative | Sep 2009 (17y) | ||
| Cathy Jean Schreier | Registered representative | Sep 2009 (17y) | ||
| Clark Barlow Jolley | Registered representative | Sep 2009 (17y) | ||
| Clifton Kirksey | Registered representative | CFP | Sep 2009 (17y) | |
| Craig Faris Ibrahim | Registered representative | Sep 2009 (17y) | ||
| Curtis S Chen | Registered representative | CFP | Sep 2009 (17y) | |
| Dan Charles Steiner | Registered representative | Sep 2009 (17y) | ||
| Daniel Gerard Aiello | Registered representative | Sep 2009 (17y) | ||
| Daniel William Leveroni | Registered representative | CFP | Sep 2009 (17y) | |
| Danny Lee Wilburn | Registered representative | CFP | Sep 2009 (17y) | |
| David Alan Kay | Registered representative | Sep 2009 (17y) | ||
| David Shoichi Arakawa | Registered representative | Chartered Financial Consultant | Sep 2009 (17y) | |
| Debra Jaschke Hilton | Registered representative | Sep 2009 (17y) | ||
| Dennis Preston Joppe | Registered representative | Sep 2009 (17y) | ||
| Dexter Loo | Registered representative | Sep 2009 (17y) | ||
| Diane Martha Mcmullin | Registered representative | Sep 2009 (17y) | ||
| Ethan Andrew Stein | Registered representative | CFP | Sep 2009 (17y) | |
| Fidel Lirag Carreon | Registered representative | Sep 2009 (17y) | ||
| Frank Lee Wattelet | Registered representative | Sep 2009 (17y) | ||
| Gary Dean Mesward | Registered representative | Sep 2009 (17y) | ||
| Glen Joseph Reinkemeyer | Registered representative | CFP | Sep 2009 (17y) | |
| Grant W. Raymond | Registered representative | CFP | Sep 2009 (17y) | |
| Gregory Alan Davies | Registered representative | Sep 2009 (17y) | ||
| Gregory Allen Mclenithan | Registered representative | CFP Chartered Financial Consultant | Sep 2009 (17y) | |
| James Allen Walker | Registered representative | CFP | Sep 2009 (17y) | |
| Jane Alison Scarbrough | Registered representative | CFP | Sep 2009 (17y) | |
| Jason Clark Richards | Registered representative | CFP | Sep 2009 (17y) | |
| Jason Duwayne Roen | Registered representative | Sep 2009 (17y) | ||
| Jeffrey Michael Stark | Registered representative | Sep 2009 (17y) | ||
| Jeffrey S Gilman | Registered representative | Sep 2009 (17y) | ||
| Jessica Jones Teel | Registered representative | Sep 2009 (17y) | ||
| Joely Kim Mauck | Registered representative | CFP | Sep 2009 (17y) | |
| John C. Classe | Registered representative | CFP | Sep 2009 (17y) | |
| John Frank Vallone | Registered representative | Sep 2009 (17y) | ||
| John Patrick Stewart | Registered representative | CFP | Sep 2009 (17y) | |
| John Robert Bauer | Registered representative | CFP | Sep 2009 (17y) | |
| Joseph Gerard O'donnell | Registered representative | Sep 2009 (17y) | ||
| Joseph Willard Ebervein | Registered representative | Sep 2009 (17y) | ||
| June Elaine Redick | Registered representative | Sep 2009 (17y) | ||
| Katherine Daurora Cannon | Registered representative | Sep 2009 (17y) | ||
| Kelly Daniel Burke | Registered representative | CFP | Sep 2009 (17y) | |
| Kerry Vernon Wiberg | Registered representative | Sep 2009 (17y) | ||
| Kurt Masami Miyamura | Registered representative | Sep 2009 (17y) | ||
| Lan Lin | Registered representative | Sep 2009 (17y) | ||
| Laura Kay Galarneau Mossakowski | Registered representative | CFP | Sep 2009 (17y) | |
| Laura Lea Skinner | Registered representative | Sep 2009 (17y) | ||
| Lawrence Potomac | Registered representative | Sep 2009 (17y) | ||
| Louis James Knox | Registered representative | Sep 2009 (17y) | ||
| Louis Vincent Santoro | Registered representative | Sep 2009 (17y) | ||
| Mark Allan Walsvick | Registered representative | Sep 2009 (17y) | ||
| Mark Joseph Farnham | Registered representative | Sep 2009 (17y) | ||
| Mark Robert Richter | Registered representative | Sep 2009 (17y) | ||
| Mark Thomas Monninger | Registered representative | Sep 2009 (17y) | ||
| Melody Helms Bundschuh | Registered representative | Sep 2009 (17y) | ||
| Michael Francis Pultro | Registered representative | Sep 2009 (17y) | ||
| Monte Raymond Robinson | Registered representative | Sep 2009 (17y) | ||
| Nathan David Paulson | Registered representative | Sep 2009 (17y) | ||
| Niki Alexandra Canotas | Registered representative | Sep 2009 (17y) | ||
| Pamela Sue Marshall | Registered representative | CFP | Sep 2009 (17y) | |
| Paul Curtis Weiner | Registered representative | Sep 2009 (17y) | ||
| Paul Gerard Deehan | Registered representative | CFP | Sep 2009 (17y) | |
| Peter Aloysius Beronio | Registered representative | Sep 2009 (17y) | ||
| Philip Michael Arena | Registered representative | Sep 2009 (17y) | ||
| Priscilla Mae Suhre | Registered representative | Sep 2009 (17y) | ||
| Randal Lynn Nicholls | Registered representative | Sep 2009 (17y) | ||
| Reed Hamilton Moore | Registered representative | Sep 2009 (17y) | ||
| Richard Dale Nash | Registered representative | Sep 2009 (17y) | ||
| Richard Dean Croll | Registered representative | Sep 2009 (17y) | ||
| Robert Boas Greene | Registered representative | CFP | Sep 2009 (17y) | |
| Robert Craig French | Registered representative | Sep 2009 (17y) | ||
| Robert Edward Hackman | Registered representative | Sep 2009 (17y) | ||
| Roger Dale Bell | Registered representative | Sep 2009 (17y) | ||
| Ronald Lroy Levenson | Registered representative | Sep 2009 (17y) | ||
| Roy Thomas Ruble | Registered representative | Sep 2009 (17y) | ||
| Sandip Singh Sehmi | Registered representative | Sep 2009 (17y) | ||
| Sheri H. Pan | Registered representative | CFP | Sep 2009 (17y) | |
| Stephen Frederick Lim | Registered representative | Sep 2009 (17y) | ||
| Stephen George Mckee | Registered representative | Sep 2009 (17y) | ||
| Terrence Joseph Moran | Registered representative | CFP | Sep 2009 (17y) | |
| Thomas Harold Minor | Registered representative | Sep 2009 (17y) | ||
| Thomas P. Harris | Registered representative | CFP | Sep 2009 (17y) | |
| Thomas Walker Pringle | Registered representative | Sep 2009 (17y) | ||
| Timothy Dale Vessell | Registered representative | CFP | Sep 2009 (17y) | |
| Timothy William Leveroni | Registered representative | Sep 2009 (17y) | ||
| Victoria Ivy Renne | Registered representative | Sep 2009 (17y) | ||
| Wallace Chi Ho Chu | Registered representative | CFP Chartered Financial Consultant | Sep 2009 (17y) | |
| Warren Scott Lowe | Registered representative | Sep 2009 (17y) | ||
| Yuenman Anne Mak | Registered representative | CFP | Sep 2009 (17y) | |
| Alan David Litvak | Registered representative | CFP Chartered Financial Consultant | Sep 2009 (17y) | |
| Gary Bernard Bjornson | Registered representative | Sep 2009 (17y) | ||
| Holly Opal Hanson | Registered representative | CFP | Sep 2009 (17y) | |
| Merle Edgar Rokoff Divita | Registered representative | Sep 2009 (17y) | ||
| Timothy Andrew Dodd | Registered representative | Sep 2009 (17y) | ||
| Donald Wayne Kainer | Registered representative | Sep 2009 (17y) | ||
| Patrick Austin Mcnamara | Registered representative | CFP | Sep 2009 (17y) | |
| Jerrold Edward Slutzky | Registered representative | CFP | Sep 2009 (17y) | |
| Mark Edward Patton | Registered representative | Sep 2009 (17y) | ||
| Charlene Ann Larsen | Registered representative | CFP | Sep 2009 (17y) | |
| Mark Thomas Adams | Registered representative | Sep 2009 (17y) | ||
| Thomas Michael Powers | Registered representative | CFP | Sep 2009 (17y) | |
| David A Gray | Registered representative | CFP | Sep 2009 (17y) | |
| Richard Cutler Hamilton | Registered representative | Sep 2009 (17y) | ||
| Judith Andrea Henry | Registered representative | CFP | Sep 2009 (17y) | |
| Marianne Elizabeth Zawacki | Registered representative | Sep 2009 (17y) | ||
| Timothy Wade Fulton | Registered representative | Sep 2009 (17y) | ||
| William Robert Sturges | Registered representative | Sep 2009 (17y) | ||
| Larry Lionel Kendrick | Registered representative | Sep 2009 (17y) | ||
| Mark Gardner Jongewaard | Registered representative | Sep 2009 (17y) | ||
| Paul Jason Forbes | Registered representative | Sep 2009 (17y) | ||
| Robert Randall Goggins | Registered representative | Sep 2009 (17y) | ||
| David Everett Mckenzie | Registered representative | Sep 2009 (17y) | ||
| Eric Jay Vetack | Registered representative | Sep 2009 (17y) | ||
| James Darrell Bowen | Registered representative | Sep 2009 (17y) | ||
| Paul Soo Yong Moon | Registered representative | Chartered Financial Consultant | Sep 2009 (17y) | |
| Kenneth Paul Reske | Registered representative | Oct 2009 (17y) | ||
| Brian Anthony Cooke | Registered representative | Oct 2009 (17y) | ||
| Konstantinos David Hemmerly | Registered representative | Oct 2009 (17y) | ||
| Martin Anthony Campbell | Registered representative | Oct 2009 (17y) | ||
| Alex Michael Knepp | Registered representative | Oct 2009 (17y) | ||
| Frederick Gene Mattingly | Registered representative | Oct 2009 (17y) | ||
| Kwang Soo Kim | Registered representative | Oct 2009 (17y) | ||
| Robert Gayle Alberts | Registered representative | Oct 2009 (17y) | ||
| Matthew Thomas Filla | Registered representative | Oct 2009 (17y) | ||
| Scott David Jones | Registered representative | Oct 2009 (17y) | ||
| Walter Vincen Cumiford | Registered representative | Oct 2009 (17y) | ||
| Daniel Joseph Cruse | Registered representative | Oct 2009 (17y) | ||
| Diana Jamie Jabbour | Registered representative | Oct 2009 (17y) | ||
| William L Meyer | Registered representative | Oct 2009 (17y) | ||
| Ryan Edward Wickman | Registered representative | Oct 2009 (17y) | ||
| Aaron T Moore | Registered representative | CFP | Oct 2009 (17y) | |
| James Darren Browning | Registered representative | Oct 2009 (17y) | ||
| Luis F Bautista | Registered representative | Chartered Financial Consultant | Oct 2009 (17y) | |
| Jennifer L. Brown | Registered representative | Oct 2009 (17y) | ||
| Scott Randolph Brown | Registered representative | Oct 2009 (17y) | ||
| Edward Robert Doughty | Registered representative | CFP | Oct 2009 (17y) | |
| Eric L Matthews | Registered representative | Oct 2009 (17y) | ||
| Dennis Paul Dixon | Registered representative | Oct 2009 (17y) | ||
| John Calvin Shaw | Registered representative | Oct 2009 (17y) | ||
| Jose Sepulveda Diaz | Registered representative | Oct 2009 (17y) | ||
| James Lloyd Johnson | Registered representative | Oct 2009 (17y) | ||
| John Charles Haspell | Registered representative | Oct 2009 (17y) | ||
| Robyn Lynette Walker | Registered representative | Oct 2009 (17y) | ||
| David Paul Konopinski | Registered representative | Nov 2009 (17y) | ||
| Lawrence Gibbons Russell | Registered representative | Nov 2009 (17y) | ||
| Ian H Ugarte | Registered representative | Nov 2009 (17y) | ||
| Ryan Phillip Kelley | Registered representative | Nov 2009 (17y) | ||
| Jeffrey Phillip Simpson | Registered representative | Nov 2009 (17y) | ||
| Nicholas J Katsoolias | Registered representative | Nov 2009 (17y) | ||
| Cyril Leo Friend | Registered representative | Nov 2009 (17y) | ||
| Harry Leroy Carter | Registered representative | Nov 2009 (17y) | ||
| Richard Scott Kaufmann | Registered representative | Nov 2009 (17y) | ||
| Jeffrey Allen Lucas | Registered representative | Nov 2009 (17y) | ||
| Song Chae Park | Registered representative | Nov 2009 (17y) | ||
| Stefan Evan Rosuck | Registered representative | Nov 2009 (17y) | ||
| Wendy Lee Connors | Registered representative | Nov 2009 (17y) | ||
| Flor Maria Santana | Registered representative | Nov 2009 (17y) | ||
| Mark David Bernard | Registered representative | Nov 2009 (17y) | ||
| Raul Alfonso Isern | Registered representative | CFP | Nov 2009 (17y) | |
| Richard Eric Vanvalkenburg | Registered representative | Nov 2009 (17y) | ||
| Brenda Sue Huber | Registered representative | CFP | Nov 2009 (17y) | |
| Lee J Leonard | Registered representative | CFP | Nov 2009 (17y) | |
| Mario Brian Barone | Registered representative | Nov 2009 (17y) | ||
| D. Jake Denning | Registered representative | Nov 2009 (17y) | ||
| Arthur Peredo Muniz | Registered representative | Nov 2009 (17y) | ||
| Philip Bryan Mayeux | Registered representative | Nov 2009 (17y) | ||
| John Curran Masterson | Registered representative | Nov 2009 (17y) | ||
| Peter E Ledebuhr | Registered representative | Nov 2009 (17y) | ||
| Gary David Shelton | Registered representative | Nov 2009 (17y) | ||
| Gina Marie Jung | Registered representative | Nov 2009 (17y) | ||
| Gregory Herple Craine | Registered representative | Nov 2009 (17y) | ||
| Jaisuk Kim | Registered representative | Nov 2009 (17y) | ||
| Joseph William Jones | Registered representative | Nov 2009 (17y) | ||
| Robert Wesley Davidson | Registered representative | CFP | Nov 2009 (17y) | |
| Tuan Ray Leach | Registered representative | Dec 2009 (17y) | ||
| John Patrick Welp | Registered representative | Dec 2009 (17y) | ||
| Satchi Prasad | Registered representative | Dec 2009 (17y) | ||
| Edgardo A Moncada | Registered representative | Dec 2009 (17y) | ||
| Michael Robert Mcdonald | Registered representative | Dec 2009 (17y) | ||
| Regina Emily Mancini | Registered representative | Dec 2009 (17y) | ||
| Jerry Dean Candia | Registered representative | Dec 2009 (17y) | ||
| Glenn James Fischer | Registered representative | Dec 2009 (17y) | ||
| Lawrence James Vick | Registered representative | CFP | Dec 2009 (17y) | |
| Richard Andrew Cobe | Registered representative | Dec 2009 (17y) | ||
| George A Varas | Registered representative | Dec 2009 (17y) | ||
| Matthew Jack Giles | Registered representative | Dec 2009 (17y) | ||
| Brian Scott Linde | Registered representative | Dec 2009 (17y) | ||
| Mark Steven Bordelove | Registered representative | Dec 2009 (17y) | ||
| Matthew Thomas Gorham | Registered representative | Chartered Financial Consultant | Dec 2009 (17y) | |
| Robert Ernest Hoffman | Registered representative | Dec 2009 (17y) | ||
| Thomas Michael Tye | Registered representative | CFP | Dec 2009 (17y) | |
| Grace Shukman Yung | Registered representative | Dec 2009 (17y) | ||
| Jamie Desean Grant | Registered representative | Dec 2009 (17y) | ||
| Blain Jerome Bogar | Registered representative | Dec 2009 (17y) | ||
| Christopher Ronald Cracchiolo | Registered representative | Dec 2009 (17y) | ||
| Chad Eugene Krieg | Registered representative | Dec 2009 (17y) | ||
| Thomas Duncan Kilpatrick | Registered representative | Dec 2009 (17y) | ||
| Charles Francis Boagni | Registered representative | Dec 2009 (17y) | ||
| Erich William Raasch | Registered representative | Jan 2010 (17y) | ||
| Patrick Robert Schulz | Registered representative | Jan 2010 (17y) | ||
| Basil Mcvoy Duncan | Registered representative | CFP | Jan 2010 (17y) | |
| David Tracy Bowman | Registered representative | Jan 2010 (17y) | ||
| Teri Lynn Ploharz Bolling | Registered representative | Jan 2010 (17y) | ||
| Christopher R. Camburn | Registered representative | CFP | Jan 2010 (17y) | |
| Jason Andrew Link | Registered representative | CFP | Jan 2010 (17y) | |
| Xiang Li | Registered representative | Jan 2010 (17y) | ||
| Johnny Bowchong Tan | Registered representative | Jan 2010 (17y) | ||
| Tami Larene Salzer | Registered representative | Jan 2010 (17y) | ||
| Travis Reece Pierce | Registered representative | Jan 2010 (17y) | ||
| Dave Raphael Lalla | Registered representative | Jan 2010 (17y) | ||
| Bruce Melvin Honeycutt | Registered representative | CFP | Jan 2010 (17y) | |
| Rodney Lynn Harris | Registered representative | Jan 2010 (17y) | ||
| James L Mckenna | Registered representative | Jan 2010 (17y) | ||
| David Jon Pocs | Registered representative | Jan 2010 (17y) | ||
| Jan James Klein | Registered representative | Jan 2010 (17y) | ||
| Thomas Alan Heacock | Registered representative | Jan 2010 (17y) | ||
| Brad John Hansen | Registered representative | Jan 2010 (17y) | ||
| Timothy Michael Fraser | Registered representative | Jan 2010 (17y) | ||
| Mark William Shade | Registered representative | Jan 2010 (17y) | ||
| Jeffery D Sweesy | Registered representative | Jan 2010 (17y) | ||
| Jason Christopher Linn | Registered representative | CFP | Jan 2010 (17y) | |
| Jeffrey Michael Ward | Registered representative | Jan 2010 (17y) | ||
| Scott Arthur Mcgovney | Registered representative | CFP | Jan 2010 (17y) | |
| Scott Kevin Jones | Registered representative | Jan 2010 (17y) | ||
| Garr Randyl Webb | Registered representative | Jan 2010 (17y) | ||
| Ryan Edward Flynn | Registered representative | CFP | Jan 2010 (17y) | |
| Brian Daniel Oconnell | Registered representative | Feb 2010 (16y) | ||
| Brian Park | Registered representative | Feb 2010 (16y) | ||
| Keith P Witt | Registered representative | Feb 2010 (16y) | ||
| Thomas Michael Buckley | Registered representative | Feb 2010 (16y) | ||
| James Thomas O'grady | Registered representative | Feb 2010 (16y) | ||
| Kevin M Richardson | Registered representative | Feb 2010 (16y) | ||
| Patrick Anthony Calderigi | Registered representative | Feb 2010 (16y) | ||
| Kevan Edward Mcnaught | Registered representative | Feb 2010 (16y) | ||
| Anthony Neal Cook | Registered representative | Feb 2010 (16y) | ||
| Paul Joseph Zahorchak | Registered representative | Feb 2010 (16y) | ||
| Todd Charles Galinko | Registered representative | Feb 2010 (16y) | ||
| Matthew Leroy Wild | Registered representative | Feb 2010 (16y) | ||
| Anna E Jeter | Registered representative | Feb 2010 (16y) | ||
| Anthony Todd Jones | Registered representative | CFP | Feb 2010 (16y) | |
| Gregory Zimmerman | Registered representative | Feb 2010 (16y) | ||
| Jeffrey Jay Porter | Registered representative | Feb 2010 (16y) | ||
| Damien Patrick Lynch | Registered representative | CFP | Feb 2010 (16y) | |
| Daniel Joseph Crocker | Registered representative | CFP | Feb 2010 (16y) | |
| Martin James Dempsey | Registered representative | Chartered Financial Consultant | Feb 2010 (16y) | |
| Michael Boyer | Registered representative | CFP | Feb 2010 (16y) | |
| Nathan K Varjavandi | Registered representative | Feb 2010 (16y) | ||
| Scott Lang Linville | Registered representative | CFP | Feb 2010 (16y) | |
| Thomas James Courtney | Registered representative | Feb 2010 (16y) | ||
| William Chester Stoy | Registered representative | CFP | Feb 2010 (16y) | |
| Dwight James Bogenrief | Registered representative | Feb 2010 (16y) | ||
| Jerome Thomas Hansen | Registered representative | CFP Chartered Financial Consultant | Feb 2010 (16y) | |
| Michelle D Hoyle | Registered representative | CFP | Feb 2010 (16y) | |
| Randy Paul Kinchen | Registered representative | CFP | Feb 2010 (16y) | |
| Timothy Sean Urban | Registered representative | CFP | Mar 2010 (16y) | |
| Scott Robert Michalek | Registered representative | Mar 2010 (16y) | ||
| Scott Francis Gaddis | Registered representative | Mar 2010 (16y) | ||
| Sean Patrick Garrity | Registered representative | Mar 2010 (16y) | ||
| Brian Neil Slade | Registered representative | Mar 2010 (16y) | ||
| Jacob Dean Rehder | Registered representative | CFP | Mar 2010 (16y) | |
| Jason A Yusypchuk | Registered representative | CFP | Mar 2010 (16y) | |
| Bonnie Marie Faherty | Registered representative | Mar 2010 (16y) | ||
| Jennifer Rose Danko | Registered representative | Mar 2010 (16y) | ||
| Donald Bew Allen | Registered representative | Mar 2010 (16y) | ||
| Paul John Zaio | Registered representative | Mar 2010 (16y) | ||
| William Campbell Fisher | Registered representative | Mar 2010 (16y) | ||
| Ladd Cameron Mckittrick | Registered representative | Mar 2010 (16y) | ||
| James Joseph Glownia | Registered representative | Mar 2010 (16y) | ||
| Mark Douglas Williams | Registered representative | Mar 2010 (16y) | ||
| Mark Howell Winston | Registered representative | CFP | Mar 2010 (16y) | |
| Craig Martin Carper | Registered representative | Mar 2010 (16y) | ||
| Nilima Arun Madan | Registered representative | Mar 2010 (16y) | ||
| Charles David Wagner | Registered representative | Mar 2010 (16y) | ||
| David Charles Baranowski | Registered representative | Mar 2010 (16y) | ||
| Ryan James Hagan | Registered representative | Mar 2010 (16y) | ||
| Sanjay Manohar Wagle | Registered representative | Mar 2010 (16y) | ||
| David Courtney Graham | Registered representative | Mar 2010 (16y) | ||
| James Erwin Hendries | Registered representative | Mar 2010 (16y) | ||
| Brandon Edward Worley | Registered representative | Apr 2010 (16y) | ||
| David Lawrence Way | Registered representative | Apr 2010 (16y) | ||
| Laura Elizabeth Duvall | Registered representative | Apr 2010 (16y) | ||
| Rachel M Wagner | Registered representative | Apr 2010 (16y) | ||
| Rhett Lee Fendley | Registered representative | Apr 2010 (16y) | ||
| Marlana Dawn Lancaster | Registered representative | Apr 2010 (16y) | ||
| Matthew Paul Kewenig | Registered representative | Apr 2010 (16y) | ||
| Paul Steven Ciecwierz | Registered representative | Apr 2010 (16y) | ||
| David William Reasoner | Registered representative | Apr 2010 (16y) | ||
| Peter Stephen Vanderkley | Registered representative | Apr 2010 (16y) | ||
| Brian Christopher Sandberg | Registered representative | Apr 2010 (16y) | ||
| Carol Anne Dehen | Registered representative | Apr 2010 (16y) | ||
| Craig Jan Snyder | Registered representative | CFP | Apr 2010 (16y) | |
| Daniel John Cetnar | Registered representative | CFP | Apr 2010 (16y) | |
| Joshua Mark Barron | Registered representative | Apr 2010 (16y) | ||
| Linda Joyce James | Registered representative | Apr 2010 (16y) | ||
| Peter Anthony Ciavaglia | Registered representative | CFP Chartered Financial Consultant | Apr 2010 (16y) | |
| Ryan Peter Smith | Registered representative | Chartered Financial Consultant | Apr 2010 (16y) | |
| Tod Randolph Phillips | Registered representative | Chartered Financial Consultant | Apr 2010 (16y) | |
| Biju Suseelan | Registered representative | Apr 2010 (16y) | ||
| Gary Martin Townshend | Registered representative | Apr 2010 (16y) | ||
| James Thomas Sinclair | Registered representative | Apr 2010 (16y) | ||
| Martin Stewart Schlissberg | Registered representative | CFP | Apr 2010 (16y) | |
| Robert Cornelius Hinshon | Registered representative | CFP | Apr 2010 (16y) | |
| Dorothy Carol Wozny | Registered representative | Apr 2010 (16y) | ||
| Bradley Thomas Stipp | Registered representative | Apr 2010 (16y) | ||
| Gary Lee Zent | Registered representative | Apr 2010 (16y) | ||
| John Michael Woodruff | Registered representative | Apr 2010 (16y) | ||
| Luz Elia Meraz Johnson | Registered representative | Apr 2010 (16y) | ||
| Matthew Frederick Haley | Registered representative | Apr 2010 (16y) | ||
| Mark Gilbert Zitzelsberger | Registered representative | Chartered Financial Consultant | Apr 2010 (16y) | |
| Matthew David Peterman | Registered representative | Apr 2010 (16y) | ||
| Randall Scott Koenes | Registered representative | CFP | Apr 2010 (16y) | |
| Ronald Benjamin Cramer | Registered representative | CFP | Apr 2010 (16y) | |
| Daniel Clay Mclaughlin | Registered representative | Apr 2010 (16y) | ||
| David Matthew Walker | Registered representative | Apr 2010 (16y) | ||
| Howard B Rosenblatt | Registered representative | Apr 2010 (16y) | ||
| John Harold Gifford | Registered representative | Chartered Financial Consultant | Apr 2010 (16y) | |
| Mark Wiliama Mckeague | Registered representative | Apr 2010 (16y) | ||
| Stephen Michael Dillender | Registered representative | Apr 2010 (16y) | ||
| Marc Allen Moore | Registered representative | Apr 2010 (16y) | ||
| Stewart Dean Campbell | Registered representative | CFP | Apr 2010 (16y) | |
| Doug John Griffith | Registered representative | Apr 2010 (16y) | ||
| Eugene Ronald Price | Registered representative | Apr 2010 (16y) | ||
| Andrew Brett Lewis | Registered representative | Apr 2010 (16y) | ||
| Christi Staib | Registered representative | Apr 2010 (16y) | ||
| Frank Givens | Registered representative | Apr 2010 (16y) | ||
| Alan Jay Levine | Registered representative | CFP | May 2010 (16y) | |
| Graham Charles Green | Registered representative | May 2010 (16y) | ||
| Mira Mizrahi | Registered representative | CFP | May 2010 (16y) | |
| Tracey Lynn Sudo | Registered representative | May 2010 (16y) | ||
| Jeffrey Alan Dieringer | Registered representative | May 2010 (16y) | ||
| Richard Edward Doyle | Registered representative | Chartered Financial Consultant | May 2010 (16y) | |
| Sunwook Jin | Registered representative | CFP | May 2010 (16y) | |
| Frederick Mitchell Magenheimer | Registered representative | May 2010 (16y) | ||
| Michael Kelly Sharples | Registered representative | CFP | May 2010 (16y) | |
| Angelo Rosario Imbrogno | Registered representative | May 2010 (16y) | ||
| Chad Adrian Deckard | Registered representative | May 2010 (16y) | ||
| Kenneth Marc Segal | Registered representative | May 2010 (16y) | ||
| Michael E Muhareb | Registered representative | CFP | May 2010 (16y) | |
| Brian Matthew Cooke | Registered representative | May 2010 (16y) | ||
| Richard George Gankofskie | Registered representative | May 2010 (16y) | ||
| Richard Allan Hill | Registered representative | May 2010 (16y) | ||
| John Anthony Ehardt | Registered representative | CFP | May 2010 (16y) | |
| James Edward Wolf | Registered representative | May 2010 (16y) | ||
| Annmarie Rose Mikolajczak | Registered representative | May 2010 (16y) | ||
| David Marvin Muilenberg | Registered representative | May 2010 (16y) | ||
| Douglas Edward Baim | Registered representative | Chartered Financial Consultant | May 2010 (16y) | |
| Edward Joseph Lambert | Registered representative | CFP | May 2010 (16y) | |
| Gina Marie Cetnar | Registered representative | CFP | May 2010 (16y) | |
| Jason Van Duyn | Registered representative | May 2010 (16y) | ||
| Lawrence Henry Avery | Registered representative | May 2010 (16y) | ||
| Lawrence Rosenberg | Registered representative | May 2010 (16y) | ||
| Roger James Houston | Registered representative | CFP | May 2010 (16y) | |
| Thomas Roy Picardy | Registered representative | CFP | May 2010 (16y) | |
| Timothy Robert Lenhard | Registered representative | May 2010 (16y) | ||
| Walter Richard Kadell | Registered representative | Chartered Financial Consultant | May 2010 (16y) | |
| Michael Fuk Hung Chang | Registered representative | May 2010 (16y) | ||
| Douglas James Canna | Registered representative | May 2010 (16y) | ||
| Brooke Justine Simmons | Registered representative | May 2010 (16y) | ||
| Drew David Patterson | Registered representative | May 2010 (16y) | ||
| Ray Dean Mize | Registered representative | May 2010 (16y) | ||
| Salvatore Patrick Ventimiglia | Registered representative | May 2010 (16y) | ||
| Thomas Edward Vermeulen | Registered representative | May 2010 (16y) | ||
| Thomas John Sanneman | Registered representative | May 2010 (16y) | ||
| William Earl Moran | Registered representative | May 2010 (16y) | ||
| Danielle Renee Holmes | Registered representative | May 2010 (16y) | ||
| Peter Martin Smith | Registered representative | May 2010 (16y) | ||
| Richard Neil Rosenberg | Registered representative | May 2010 (16y) | ||
| Craig William Strassell | Registered representative | May 2010 (16y) | ||
| Gaye Rosa (Masopust) Erwin | Registered representative | May 2010 (16y) | ||
| Martin Daniel Reid | Registered representative | May 2010 (16y) | ||
| Michael G Zamboni | Registered representative | May 2010 (16y) | ||
| Gregory Allen Kateff | Registered representative | Personal Financial Specialist | Jun 2010 (16y) | |
| John Ollie Leatherwood | Registered representative | CFP | Jun 2010 (16y) | |
| Kean O Boucher | Registered representative | Jun 2010 (16y) | ||
| Paul Rodney Chase | Registered representative | Jun 2010 (16y) | ||
| Lisa Marie Mcgrath | Registered representative | Jun 2010 (16y) | ||
| Patrick Gerald Mcgrath | Registered representative | CFP | Jun 2010 (16y) | |
| Randall Kinsel Chapman | Registered representative | Jun 2010 (16y) | ||
| Ronald Steven Barlow | Registered representative | CFP | Jun 2010 (16y) | |
| Christopher S Freehill | Registered representative | Jun 2010 (16y) | ||
| Mark Alan Swartzendruber | Registered representative | Chartered Financial Consultant | Jun 2010 (16y) | |
| Ilan Cuellar | Registered representative | CFP | Jun 2010 (16y) | |
| Brian Chingwei Chan | Registered representative | Jun 2010 (16y) | ||
| Mathew Dailey | Registered representative | Jun 2010 (16y) | ||
| Gregory Scott Lindahl | Registered representative | Jun 2010 (16y) | ||
| Shannon Murphy Hannon | Registered representative | Jun 2010 (16y) | ||
| Gregory Paul Farrall | Registered representative | Jun 2010 (16y) | ||
| Dennis Joseph Watzke | Registered representative | Jun 2010 (16y) | ||
| Kurt Kelly Schuster | Registered representative | CFP | Jun 2010 (16y) | |
| Stephen Brent Sutter | Registered representative | CFP | Jun 2010 (16y) | |
| Stephen Gerard Brennan | Registered representative | CFP | Jun 2010 (16y) | |
| Erik Frick Gotaas | Registered representative | Chartered Financial Consultant | Jun 2010 (16y) | |
| Jody Brady Delvechio | Registered representative | Jun 2010 (16y) | ||
| Steve Rother Weers | Registered representative | Jun 2010 (16y) | ||
| Therese Hatzes Anderson | Registered representative | Jun 2010 (16y) | ||
| Steven Scott Karmazin | Registered representative | Jun 2010 (16y) | ||
| Todd David Carlson | Registered representative | Jun 2010 (16y) | ||
| Dodi Lynn Vicknair | Registered representative | Jul 2010 (16y) | ||
| Emory Roy Guest | Registered representative | CFP | Jul 2010 (16y) | |
| Jeffrey Dennis Roe | Registered representative | Jul 2010 (16y) | ||
| Michael J Simonds | Registered representative | Jul 2010 (16y) | ||
| Oliver Milnes Kramer | Registered representative | Jul 2010 (16y) | ||
| Albert Christopher Engle | Registered representative | CFP | Jul 2010 (16y) | |
| Gregory Louis Garl | Registered representative | Jul 2010 (16y) | ||
| Lee Alan Schaeffer | Registered representative | CFP | Jul 2010 (16y) | |
| Richard Paul Probst | Registered representative | CFP | Jul 2010 (16y) | |
| Steven Thomas Marlette | Registered representative | CFP | Jul 2010 (16y) | |
| Anne E. Macintyre | Registered representative | Jul 2010 (16y) | ||
| Gary D Copi | Registered representative | CFP | Jul 2010 (16y) | |
| Gerald Edward Long | Registered representative | CFP Chartered Financial Consultant | Jul 2010 (16y) | |
| Janet Lee Mlynar | Registered representative | CFP | Jul 2010 (16y) | |
| Kevin Edwin Jarchow | Registered representative | Jul 2010 (16y) | ||
| William Hoedl Monteith | Registered representative | Jul 2010 (16y) | ||
| Alexander Gregory Elkin | Registered representative | Jul 2010 (16y) | ||
| Andrew S. Wesner | Registered representative | Jul 2010 (16y) | ||
| Charles Lawrence Hayden | Registered representative | Jul 2010 (16y) | ||
| Christopher Robin Mollan | Registered representative | Jul 2010 (16y) | ||
| Dmitry Arshansky | Registered representative | Jul 2010 (16y) | ||
| Lord Byran Degraffenreid | Registered representative | Jul 2010 (16y) | ||
| Maureen Jane Brading | Registered representative | Jul 2010 (16y) | ||
| Wayne Michael Mc Bride | Registered representative | Jul 2010 (16y) | ||
| David Glasgow Hibbard | Registered representative | Jul 2010 (16y) | ||
| David Wayne Lewis | Registered representative | Jul 2010 (16y) | ||
| Eric Michael Bonner | Registered representative | Jul 2010 (16y) | ||
| J David George | Registered representative | Jul 2010 (16y) | ||
| Mark A Geraci | Registered representative | Jul 2010 (16y) | ||
| William Wayne Bissell | Registered representative | Jul 2010 (16y) | ||
| Peter Byounghan Oh | Registered representative | Jul 2010 (16y) | ||
| Steven Andre Lone | Registered representative | CFA | Jul 2010 (16y) | |
| James Joseph Scully | Registered representative | Jul 2010 (16y) | ||
| Jared Wieland Anderson | Registered representative | CFP Chartered Financial Consultant | Jul 2010 (16y) | |
| Richard Douglas Johnston | Registered representative | Chartered Financial Consultant | Jul 2010 (16y) | |
| William Barry Willes | Registered representative | Jul 2010 (16y) | ||
| David Allan Grooters | Registered representative | Chartered Financial Consultant | Jul 2010 (16y) | |
| Jack Joseph Rothenberg, Cfs | Registered representative | Jul 2010 (16y) | ||
| Michael A Justin | Registered representative | CFP | Jul 2010 (16y) | |
| Michael Marvin Balagna | Registered representative | CFP | Jul 2010 (16y) | |
| R. Bruce Kramer | Registered representative | Jul 2010 (16y) | ||
| Gregg Nicholas Gonzalez | Registered representative | Jul 2010 (16y) | ||
| Robert Kratzer Everett | Registered representative | Jul 2010 (16y) | ||
| Babajide Adeniyi Oluyemi | Registered representative | Jul 2010 (16y) | ||
| Renata Barbara Jaskiewicz | Registered representative | Jul 2010 (16y) | ||
| Michael Joseph Massengale | Registered representative | CFP | Jul 2010 (16y) | |
| Robert Lyle Hull | Registered representative | Jul 2010 (16y) | ||
| Carol Lynn Badstebner | Registered representative | CFP | Aug 2010 (16y) | |
| Anne Marie Straus | Registered representative | CFP | Aug 2010 (16y) | |
| Thomas Joseph Korzon | Registered representative | Aug 2010 (16y) | ||
| Christopher Leonard Dardeau | Registered representative | Aug 2010 (16y) | ||
| Linda Jody | Registered representative | CFP | Aug 2010 (16y) | |
| Douglas Robert Orifice | Registered representative | Aug 2010 (16y) | ||
| James Lowell Brackett | Registered representative | Aug 2010 (16y) | ||
| John William Lewis | Registered representative | Aug 2010 (16y) | ||
| Tony T. Carpenter | Registered representative | Aug 2010 (16y) | ||
| Bryan Scott Foster | Registered representative | Aug 2010 (16y) | ||
| James Mifflin Allen | Registered representative | Aug 2010 (16y) | ||
| Robert James Reaume | Registered representative | Aug 2010 (16y) | ||
| Joseph Domenic Longo | Registered representative | Aug 2010 (16y) | ||
| Steven James Sonday | Registered representative | Aug 2010 (16y) | ||
| Nicole Marie Davis | Registered representative | Aug 2010 (16y) | ||
| William Logan Hardie | Registered representative | Aug 2010 (16y) | ||
| Melvin Elmer Rutkoske | Registered representative | Sep 2010 (16y) | ||
| John Paul Houda | Registered representative | Sep 2010 (16y) | ||
| Renee Whiteford Underwood | Registered representative | Sep 2010 (16y) | ||
| Anthony D Ries | Registered representative | CFP | Sep 2010 (16y) | |
| Gregory Alan Hagbom | Registered representative | Chartered Financial Consultant | Sep 2010 (16y) | |
| James Frederick Burden | Registered representative | Sep 2010 (16y) | ||
| Matthew Todd Mieske | Registered representative | CFP | Sep 2010 (16y) | |
| Robert Alan Rutkoske | Registered representative | Sep 2010 (16y) | ||
| Robert Milon Whitcomb | Registered representative | Sep 2010 (16y) | ||
| Roy Jeffrey Stewart | Registered representative | CFP | Sep 2010 (16y) | |
| Joshua Farmer | Registered representative | CFP | Sep 2010 (16y) | |
| Jeffrey Robert Harrold | Registered representative | Sep 2010 (16y) | ||
| Jordan John Boyle | Registered representative | CFP | Sep 2010 (16y) | |
| Joseph Byron Collins | Registered representative | Sep 2010 (16y) | ||
| Clifton F Powell | Registered representative | CFP | Sep 2010 (16y) | |
| Michael Jason Maynes | Registered representative | CFP | Sep 2010 (16y) | |
| Nicole Jolley | Registered representative | Sep 2010 (16y) | ||
| Cleaton Melvin Lindsey | Registered representative | Sep 2010 (16y) | ||
| Nathan Lee Monroe | Registered representative | Sep 2010 (16y) | ||
| Steven Robert Monroe | Registered representative | Sep 2010 (16y) | ||
| Daniel Roswell Ortt | Registered representative | Sep 2010 (16y) | ||
| David Keith Bate | Registered representative | Sep 2010 (16y) | ||
| Michael Brian Mcginley | Registered representative | Sep 2010 (16y) | ||
| Lisa Marie Sorrentino | Registered representative | Sep 2010 (16y) | ||
| Gerald Lee Vannoord | Registered representative | Sep 2010 (16y) | ||
| Lynn Rose Habrowski | Registered representative | Sep 2010 (16y) | ||
| Jason R Sherman | Registered representative | CFP | Sep 2010 (16y) | |
| Matthew C Davis | Registered representative | CFP | Sep 2010 (16y) | |
| David Robert Balok | Registered representative | Sep 2010 (16y) | ||
| Carey Lee Koele | Registered representative | Sep 2010 (16y) | ||
| Joseph Michael Banaszewski | Registered representative | Sep 2010 (16y) | ||
| Trina Jacqleen Cisneros | Registered representative | Sep 2010 (16y) | ||
| Daniel Melvin Whitehead | Registered representative | CFP | Sep 2010 (16y) | |
| Ellis M O'tuel | Registered representative | Sep 2010 (16y) | ||
| Gidget Marie Rowe | Registered representative | Sep 2010 (16y) | ||
| Lawrence Edward Chaon | Registered representative | CFP | Sep 2010 (16y) | |
| Ryan Scott Ostrowski | Registered representative | CFP | Sep 2010 (16y) | |
| Thomas Glenn Schulz | Registered representative | Sep 2010 (16y) | ||
| Brent Allen Lyons | Registered representative | Oct 2010 (16y) | ||
| Jing Huang O'brien | Registered representative | Oct 2010 (16y) | ||
| Harlan Ashley Page | Registered representative | Oct 2010 (16y) | ||
| Patrick Francis Lapensee | Registered representative | Oct 2010 (16y) | ||
| Frank Warren Hones | Registered representative | CFP | Oct 2010 (16y) | |
| John Anthony Meuse | Registered representative | Oct 2010 (16y) | ||
| Randolph Craig Byrd | Registered representative | Oct 2010 (16y) | ||
| Joshua M Westerfield | Registered representative | Oct 2010 (16y) | ||
| Steven Nelson Schrader | Registered representative | Oct 2010 (16y) | ||
| Torrey Douglas Jewett | Registered representative | Oct 2010 (16y) | ||
| Arthur F Onyx | Registered representative | Oct 2010 (16y) | ||
| Gregory Rush Ratchuk | Registered representative | Oct 2010 (16y) | ||
| Daniel Robert Wallach | Registered representative | Oct 2010 (16y) | ||
| Janet Sausen Foley | Registered representative | Oct 2010 (16y) | ||
| Susan Ellen Haffey | Registered representative | Oct 2010 (16y) | ||
| Donald G Coggins | Registered representative | Oct 2010 (16y) | ||
| James Michael O'leary | Registered representative | Chartered Financial Consultant | Oct 2010 (16y) | |
| William Christopher French | Registered representative | Oct 2010 (16y) | ||
| Kimberly Biller | Registered representative | Oct 2010 (16y) | ||
| Kris Alan Iverson | Registered representative | Oct 2010 (16y) | ||
| Robert John Lavanco | Registered representative | Oct 2010 (16y) | ||
| Amy Booher Taylor | Registered representative | Oct 2010 (16y) | ||
| Christopher Scott Durr | Registered representative | Oct 2010 (16y) | ||
| Eric John Beerensson | Registered representative | Oct 2010 (16y) | ||
| Kalpana Dilip Shah | Registered representative | Oct 2010 (16y) | ||
| Lawrence H Mjovig | Registered representative | Oct 2010 (16y) | ||
| William Jeffrey | Registered representative | Oct 2010 (16y) | ||
| Brendan Patrick O'brien | Registered representative | Oct 2010 (16y) | ||
| David Scott Fernquist | Registered representative | CFP | Oct 2010 (16y) | |
| Jacob Stanley Mann | Registered representative | Oct 2010 (16y) | ||
| Stephen Roque | Registered representative | Oct 2010 (16y) | ||
| Kyle Lane Hubers | Registered representative | Oct 2010 (16y) | ||
| G Thomas Butler | Registered representative | Oct 2010 (16y) | ||
| Janice Adelaide Rathman | Registered representative | Oct 2010 (16y) | ||
| Kevin Michael Priddy | Registered representative | Oct 2010 (16y) | ||
| David Daniel Yonker | Registered representative | CFP | Oct 2010 (16y) | |
| Saxton W Barrett | Registered representative | Nov 2010 (16y) | ||
| Bryon Mecrey Brust | Registered representative | Nov 2010 (16y) | ||
| Joey D. Lundry | Registered representative | Nov 2010 (16y) | ||
| Kellie A Perrault | Registered representative | Nov 2010 (16y) | ||
| Robert Regis Franskousky | Registered representative | CFP | Nov 2010 (16y) | |
| Robin R. Saar | Registered representative | Nov 2010 (16y) | ||
| David Alan Hatton | Registered representative | CFP | Nov 2010 (16y) | |
| Kimberly Kay Muzquiz | Registered representative | CFP | Nov 2010 (16y) | |
| Lisa L Emling | Registered representative | Nov 2010 (16y) | ||
| Caitlin Aliza Harrison | Registered representative | Nov 2010 (16y) | ||
| James Robert Fairweather | Registered representative | Nov 2010 (16y) | ||
| William George Creamer | Registered representative | Nov 2010 (16y) | ||
| Stephen Joseph Ciaccio | Registered representative | Nov 2010 (16y) | ||
| Hans Peter Smith | Registered representative | Nov 2010 (16y) | ||
| Patrick James Rice | Registered representative | Nov 2010 (16y) | ||
| Christine Cannarsa Archer | Registered representative | Nov 2010 (16y) | ||
| Doredda Marie Grossman | Registered representative | Nov 2010 (16y) | ||
| Fredrik Gilman Borstad | Registered representative | Nov 2010 (16y) | ||
| Gregory Ronald Lewis | Registered representative | Nov 2010 (16y) | ||
| Jonathan Dean Fabrizio | Registered representative | Nov 2010 (16y) | ||
| Timothy Alexander Leveroni | Registered representative | Nov 2010 (16y) | ||
| Timothy Daniel Lambert | Registered representative | Nov 2010 (16y) | ||
| Irina Vasil Bolotin | Registered representative | Nov 2010 (16y) | ||
| Kenneth Kanji Kaneshiro | Registered representative | CFP | Nov 2010 (16y) | |
| Chad P Zitzelsberger | Registered representative | Nov 2010 (16y) | ||
| Charles Hobert Maher | Registered representative | Nov 2010 (16y) | ||
| James Byron Nielsen | Registered representative | CFP | Nov 2010 (16y) | |
| Chad E Goodman | Registered representative | CFP | Nov 2010 (16y) | |
| Adam Joseph Smit | Registered representative | CFP | Nov 2010 (16y) | |
| Christopher Lorenz Steer | Registered representative | Nov 2010 (16y) | ||
| Daniel Ross Helf | Registered representative | Nov 2010 (16y) | ||
| David M Byers | Registered representative | Nov 2010 (16y) | ||
| Julienne Buxton | Registered representative | Nov 2010 (16y) | ||
| Kenneth Boyd Ulrich | Registered representative | Nov 2010 (16y) | ||
| Michael James Driscoll | Registered representative | Nov 2010 (16y) | ||
| M Ichael Maurice Kane | Registered representative | Nov 2010 (16y) | ||
| Mary Adelle George | Registered representative | Nov 2010 (16y) | ||
| Nicole Kristine Link | Registered representative | Nov 2010 (16y) | ||
| Paul Christopher Krueger | Registered representative | Nov 2010 (16y) | ||
| Richard Quigley | Registered representative | Nov 2010 (16y) | ||
| Robert Daniel Salazar | Registered representative | CFP | Nov 2010 (16y) | |
| Stephen Carl Raupp | Registered representative | Nov 2010 (16y) | ||
| Steven Michael Grutzius | Registered representative | Nov 2010 (16y) | ||
| Todd Carlton Thomasy | Registered representative | Nov 2010 (16y) | ||
| Kenneth Wayne Worley | Registered representative | CFP | Dec 2010 (16y) | |
| Ryan R Purkiss | Registered representative | Dec 2010 (16y) | ||
| Aaron Ray Strawderman | Registered representative | Dec 2010 (16y) | ||
| Christopher Joel Key | Registered representative | Dec 2010 (16y) | ||
| David Karl Wright | Registered representative | Dec 2010 (16y) | ||
| Gino Michael Petitta | Registered representative | Dec 2010 (16y) | ||
| James Clark Jamison | Registered representative | Dec 2010 (16y) | ||
| Richard Henry Sharp | Registered representative | Dec 2010 (16y) | ||
| Chadwick Paul Henderson | Registered representative | Dec 2010 (16y) | ||
| Clinton Hancock Coleman | Registered representative | Dec 2010 (16y) | ||
| Patrick Donald Pepper | Registered representative | Dec 2010 (16y) | ||
| Kathryn Redmond Romeis | Registered representative | Dec 2010 (16y) | ||
| Larry Joseph Gwin | Registered representative | Dec 2010 (16y) | ||
| Brenta Lea Bevis | Registered representative | Dec 2010 (16y) | ||
| Bryce Roman Wergeland | Registered representative | Dec 2010 (16y) | ||
| Joe Luke Cuturilo | Registered representative | Dec 2010 (16y) | ||
| Steve Wesley Hose | Registered representative | Dec 2010 (16y) | ||
| Ian Hartley | Registered representative | Dec 2010 (16y) | ||
| James Curtis Knapp | Registered representative | Dec 2010 (16y) | ||
| Richard Allen Baird | Registered representative | Dec 2010 (16y) | ||
| Chad Dilday | Registered representative | Dec 2010 (16y) | ||
| Eric Vincent Wasson | Registered representative | CFP | Dec 2010 (16y) | |
| John P Clarke | Registered representative | Dec 2010 (16y) | ||
| Craig Raymond Strauss | Registered representative | Dec 2010 (16y) | ||
| David George Hanson | Registered representative | CFP Chartered Financial Consultant | Dec 2010 (16y) | |
| Angela Kilgo Moss | Registered representative | Dec 2010 (16y) | ||
| Bobby Lewis Moss | Registered representative | Dec 2010 (16y) | ||
| Jerilyn Michele Blue | Registered representative | CFP | Dec 2010 (16y) | |
| Randy Lee Martin | Registered representative | Dec 2010 (16y) | ||
| Aaron Michael Puckett | Registered representative | CFP | Dec 2010 (16y) | |
| Geoffrey Thompson | Registered representative | CFP | Dec 2010 (16y) | |
| Kathryn Ann Supko | Registered representative | Chartered Financial Consultant | Dec 2010 (16y) | |
| Creighton Richard Gary | Registered representative | Dec 2010 (16y) | ||
| Steven Quinn Adamski | Registered representative | Dec 2010 (16y) | ||
| Todd Alan Simpson | Registered representative | CFP | Dec 2010 (16y) | |
| Alex Holguin | Registered representative | Dec 2010 (16y) | ||
| Andrew G Zale | Registered representative | CFP | Dec 2010 (16y) | |
| Jason Richard Nicastro | Registered representative | Dec 2010 (16y) | ||
| Julian Brett Morris | Registered representative | Chartered Financial Consultant | Dec 2010 (16y) | |
| Lizabeth Mara Durrell | Registered representative | CFP | Dec 2010 (16y) | |
| Preston Walter Zale | Registered representative | Dec 2010 (16y) | ||
| Steven John Weitzel | Registered representative | Dec 2010 (16y) | ||
| Thomas Joseph Dyer | Registered representative | Dec 2010 (16y) | ||
| David Shane Parker | Registered representative | Dec 2010 (16y) | ||
| Stephen Joseph Salley | Registered representative | Dec 2010 (16y) | ||
| Matthew Burt Jarrell | Registered representative | Dec 2010 (16y) | ||
| William Joseph Irish | Registered representative | Dec 2010 (16y) | ||
| Christopher Deegan Vincent | Registered representative | Chartered Financial Consultant | Jan 2011 (16y) | |
| Garrett Boice Rustand | Registered representative | Jan 2011 (16y) | ||
| Kambiz Amirzafari | Registered representative | Jan 2011 (16y) | ||
| Matthew Edward Phillips | Registered representative | CFP | Jan 2011 (16y) | |
| Robert S. Shapiro | Registered representative | Jan 2011 (16y) | ||
| Sherry Ellen Maclean Maurer | Registered representative | Jan 2011 (16y) | ||
| Brad Hess | Registered representative | CFP | Jan 2011 (16y) | |
| Jude Stambone | Registered representative | Jan 2011 (16y) | ||
| Susan Tanner Cummings | Registered representative | Jan 2011 (16y) | ||
| Michael Wayne Scruggs | Registered representative | Jan 2011 (16y) | ||
| Jessica Lee Tretter | Registered representative | Jan 2011 (16y) | ||
| James Walter Bochenek | Registered representative | CFP | Jan 2011 (16y) | |
| Michael Robert Gatrell | Registered representative | Jan 2011 (16y) | ||
| William Robert Paton | Registered representative | Jan 2011 (16y) | ||
| D Kent Bilbrey | Registered representative | Jan 2011 (16y) | ||
| Roderick Roxas Uy | Registered representative | Jan 2011 (16y) | ||
| David J Thomas | Registered representative | Jan 2011 (16y) | ||
| Kerry Mason Cowan | Registered representative | CFP | Jan 2011 (16y) | |
| William Edward Thal | Registered representative | Jan 2011 (16y) | ||
| Felicia Deatrette Erwin Sanders | Registered representative | Jan 2011 (16y) | ||
| Trent Kealii Santos | Registered representative | Jan 2011 (16y) | ||
| John Newton Peacock | Registered representative | Feb 2011 (15y) | ||
| Cassandra Nicole Painter | Registered representative | Feb 2011 (15y) | ||
| Joshua James Sparacino | Registered representative | Feb 2011 (15y) | ||
| Belinda Anne Petshow | Registered representative | Feb 2011 (15y) | ||
| Jack Brent Godfrey | Registered representative | Feb 2011 (15y) | ||
| Jan Marie Zaccanini Hughes | Registered representative | Chartered Financial Consultant | Feb 2011 (15y) | |
| Benjamin Heath Stroud | Registered representative | Feb 2011 (15y) | ||
| Jordan Christian Norley | Registered representative | Feb 2011 (15y) | ||
| Robert Michael Sorge | Registered representative | Feb 2011 (15y) | ||
| Brian Campbell | Registered representative | Feb 2011 (15y) | ||
| Dominick David Santoro | Registered representative | Feb 2011 (15y) | ||
| Rachel Marian Gibson | Registered representative | Feb 2011 (15y) | ||
| Reza Dekhani | Registered representative | Feb 2011 (15y) | ||
| Joseph Joshua Smey | Registered representative | Mar 2011 (15y) | ||
| Michelle Catherine Gravelle | Registered representative | CFP | Mar 2011 (15y) | |
| David Brent Gough | Registered representative | CFP | Mar 2011 (15y) | |
| Maarten Rietveld | Registered representative | Mar 2011 (15y) | ||
| Michelle Ann Kruhm | Registered representative | Mar 2011 (15y) | ||
| William Gerard Bergin | Registered representative | Mar 2011 (15y) | ||
| Brad Douglas Stein | Registered representative | CFP | Mar 2011 (15y) | |
| Stephen Girard Trottier | Registered representative | Mar 2011 (15y) | ||
| William Vincent Sheehy | Registered representative | Mar 2011 (15y) | ||
| Weston Charles Reinbolt | Registered representative | Mar 2011 (15y) | ||
| Richard Ober Middleton | Registered representative | Mar 2011 (15y) | ||
| Michael Arthur Crouch | Registered representative | Mar 2011 (15y) | ||
| Matthew Stephenson Mclean | Registered representative | Mar 2011 (15y) | ||
| William B Cannon | Registered representative | Mar 2011 (15y) | ||
| William Brennan Thomas | Registered representative | CFP | Mar 2011 (15y) | |
| David Milton Tuxhorn | Registered representative | Mar 2011 (15y) | ||
| Anthony Joseph Dibello | Registered representative | Mar 2011 (15y) | ||
| Scott Justin Leishear | Registered representative | Mar 2011 (15y) | ||
| Stephanie Christina Fuller | Registered representative | Mar 2011 (15y) | ||
| Xavier Marquezdelaplata | Registered representative | Mar 2011 (15y) | ||
| Joshua Neal Gerik | Registered representative | Mar 2011 (15y) | ||
| Lance Kenji Nekota | Registered representative | Mar 2011 (15y) | ||
| Steven J Frith | Registered representative | Mar 2011 (15y) | ||
| Jeffrey Carter Malas | Registered representative | Mar 2011 (15y) | ||
| Nicholas George Photiadis | Registered representative | Mar 2011 (15y) | ||
| Roger Dean Behymer | Registered representative | Mar 2011 (15y) | ||
| Sheri G Rovner | Registered representative | Apr 2011 (15y) | ||
| Barbara Jean Horvath | Registered representative | Apr 2011 (15y) | ||
| Diane Gardner | Registered representative | CFP | Apr 2011 (15y) | |
| Franz Michael Vaiarello | Registered representative | Apr 2011 (15y) | ||
| Herbert Allen Andrew | Registered representative | Apr 2011 (15y) | ||
| Noelle Hitchcock Daniel | Registered representative | CFP | Apr 2011 (15y) | |
| Gary Robert Burghdorf | Registered representative | Apr 2011 (15y) | ||
| Jason Michael Richart | Registered representative | Apr 2011 (15y) | ||
| Shirley Chan | Registered representative | Apr 2011 (15y) | ||
| Matthew Delaney | Registered representative | Apr 2011 (15y) | ||
| Paul Stephen Mcnulty | Registered representative | CFP | Apr 2011 (15y) | |
| David Owen Maupin | Registered representative | Apr 2011 (15y) | ||
| Stephen Mark Stackhouse | Registered representative | CFP | Apr 2011 (15y) | |
| Harold Gene Shields Jr. | Registered representative | Apr 2011 (15y) | ||
| Sarah Elizabeth Barish | Registered representative | Apr 2011 (15y) | ||
| Tommy W Pietsch | Registered representative | Apr 2011 (15y) | ||
| Mark Norman Miller | Registered representative | CFP | Apr 2011 (15y) | |
| Richard F Emerson | Registered representative | Apr 2011 (15y) | ||
| David Espinoza | Registered representative | Apr 2011 (15y) | ||
| Donald Peter Boucher | Registered representative | Chartered Financial Consultant | Apr 2011 (15y) | |
| Sharon Elizabeth Boucher | Registered representative | Chartered Financial Consultant | Apr 2011 (15y) | |
| Justin Phillip Hulett | Registered representative | CFP Chartered Financial Consultant | Apr 2011 (15y) | |
| Thomas Morris Martin | Registered representative | CFP | Apr 2011 (15y) | |
| Timothy Jon Finkelston | Registered representative | May 2011 (15y) | ||
| Jeffrey Patrick Vincent | Registered representative | May 2011 (15y) | ||
| Marc Douglas Fishman | Registered representative | May 2011 (15y) | ||
| Paul Pratto | Registered representative | May 2011 (15y) | ||
| Eric Shannon Smith | Registered representative | CFP | May 2011 (15y) | |
| T. Matt Nichols | Registered representative | May 2011 (15y) | ||
| William Mathew Walters | Registered representative | May 2011 (15y) | ||
| Chuck Dewayne Blanton | Registered representative | May 2011 (15y) | ||
| Robert Michael Willauer | Registered representative | May 2011 (15y) | ||
| Austin D Babb | Registered representative | May 2011 (15y) | ||
| Michael Patrick Vallely | Registered representative | May 2011 (15y) | ||
| Christopher W. Schwendimann | Registered representative | May 2011 (15y) | ||
| Thomas William Hickman | Registered representative | May 2011 (15y) | ||
| Matthew Christian Smith | Registered representative | May 2011 (15y) | ||
| Mitchell Joseph Harris | Registered representative | CFP | May 2011 (15y) | |
| David Thomas Ryan | Registered representative | May 2011 (15y) | ||
| George Christopher Scarborough | Registered representative | CFP | May 2011 (15y) | |
| Michael J. Crews | Registered representative | CFP | May 2011 (15y) | |
| Ann Marie Costigan | Registered representative | Jun 2011 (15y) | ||
| Bryan Edward Smith | Registered representative | CFP Chartered Financial Consultant | Jun 2011 (15y) | |
| Nicholas Kakas | Registered representative | Jun 2011 (15y) | ||
| Brent Scott Smith | Registered representative | Jun 2011 (15y) | ||
| Paulo Roberto Moraes | Registered representative | Jun 2011 (15y) | ||
| Ryan Mark Cassidy | Registered representative | Jun 2011 (15y) | ||
| Tamra Sheri Gann Curry | Registered representative | Jun 2011 (15y) | ||
| James Joseph Kinsey | Registered representative | Jun 2011 (15y) | ||
| Michael Patrick Sullivan | Registered representative | Jun 2011 (15y) | ||
| Daniel Velazquez | Registered representative | Jun 2011 (15y) | ||
| Timothy James Dierkes | Registered representative | Jun 2011 (15y) | ||
| Brian Anthony Paulson | Registered representative | Jun 2011 (15y) | ||
| Erick Moniz De Castro | Registered representative | Jun 2011 (15y) | ||
| Jane Avedikian Tamberi | Registered representative | Jun 2011 (15y) | ||
| Theodore Rosean | Registered representative | Jun 2011 (15y) | ||
| David Mathew Fryer | Registered representative | Jun 2011 (15y) | ||
| Larry M Newell | Registered representative | Jun 2011 (15y) | ||
| Lisle Max Ramsey | Registered representative | Jun 2011 (15y) | ||
| Brian Scott Graf | Registered representative | Jun 2011 (15y) | ||
| Joshua Peter Kozel | Registered representative | Jun 2011 (15y) | ||
| Wilko Schutzendorf | Registered representative | Jun 2011 (15y) | ||
| Emilio Jose Solorzano | Registered representative | Jun 2011 (15y) | ||
| Eric Mathew Stoffel | Registered representative | Jun 2011 (15y) | ||
| Marshall Ryan Darby | Registered representative | Jun 2011 (15y) | ||
| Randy Mark Matthews | Registered representative | Jun 2011 (15y) | ||
| Patrick Mazzarella | Registered representative | Jul 2011 (15y) | ||
| Alan R Corliss | Registered representative | Jul 2011 (15y) | ||
| Brent Clark Barker | Registered representative | Jul 2011 (15y) | ||
| Brent Dale Keith | Registered representative | Chartered Financial Consultant | Jul 2011 (15y) | |
| Chad G Nicklaus | Registered representative | Jul 2011 (15y) | ||
| Chrissie Eugene Martin | Registered representative | Jul 2011 (15y) | ||
| Christopher Ryan Horne | Registered representative | CFP | Jul 2011 (15y) | |
| Daniel J Sommers | Registered representative | Jul 2011 (15y) | ||
| Davin Todd Schuler | Registered representative | Jul 2011 (15y) | ||
| Edward Dominguez | Registered representative | CFP | Jul 2011 (15y) | |
| James D Potter | Registered representative | Jul 2011 (15y) | ||
| John Edward Dawson | Registered representative | Jul 2011 (15y) | ||
| John Richard Morris | Registered representative | Jul 2011 (15y) | ||
| Leslie Danielle Crabill | Registered representative | Jul 2011 (15y) | ||
| Mark Anthony Henderson | Registered representative | Jul 2011 (15y) | ||
| Scott Wesley Foster | Registered representative | Jul 2011 (15y) | ||
| William Christopher Strafford | Registered representative | CFP | Jul 2011 (15y) | |
| William Patrick Rohwer | Registered representative | Jul 2011 (15y) | ||
| Travis Ryan Knutson | Registered representative | Jul 2011 (15y) | ||
| Sean Alfred Omalley | Registered representative | Jul 2011 (15y) | ||
| Seth Kovensky | Registered representative | CFP | Jul 2011 (15y) | |
| Michael P Cahill | Registered representative | CFP | Jul 2011 (15y) | |
| Margaret Susan English | Registered representative | Jul 2011 (15y) | ||
| K. Denise Green | Registered representative | Jul 2011 (15y) | ||
| Eugene Harvey Hines | Registered representative | CFP | Jul 2011 (15y) | |
| Richard L Corbin | Registered representative | Jul 2011 (15y) | ||
| Russell Evans Towne | Registered representative | Jul 2011 (15y) | ||
| William Wang | Registered representative | Jul 2011 (15y) | ||
| Jeffery J Johnson | Registered representative | Aug 2011 (15y) | ||
| Matthew Quinn Carpinelli | Registered representative | Aug 2011 (15y) | ||
| Dejan Tasich | Registered representative | Aug 2011 (15y) | ||
| Lev Yefim Revutsky | Registered representative | Aug 2011 (15y) | ||
| Christopher Morgan Lambrecht | Registered representative | Aug 2011 (15y) | ||
| Kashif Ashiq Ahmed | Registered representative | CFP | Aug 2011 (15y) | |
| Jeffrey J Donahue | Registered representative | Aug 2011 (15y) | ||
| Leo Thomas Landry | Registered representative | Aug 2011 (15y) | ||
| Margaret Mary Gugliotta | Registered representative | Aug 2011 (15y) | ||
| David Hamilton Gaynes | Registered representative | CFP Chartered Financial Consultant | Aug 2011 (15y) | |
| Dennis Alan Roodman | Registered representative | Aug 2011 (15y) | ||
| John Michael Massoglia | Registered representative | Aug 2011 (15y) | ||
| Joshua Robert Donley | Registered representative | CFP | Aug 2011 (15y) | |
| Kevin James Sandin | Registered representative | Aug 2011 (15y) | ||
| Matthew Paul Noll | Registered representative | Aug 2011 (15y) | ||
| Michael Dean Stokes | Registered representative | Personal Financial Specialist | Aug 2011 (15y) | |
| Mickey Lee Smith | Registered representative | CFP | Aug 2011 (15y) | |
| Richard John Lombardi | Registered representative | Aug 2011 (15y) | ||
| Christopher Alan Uglum | Registered representative | Aug 2011 (15y) | ||
| David Lee Crew | Registered representative | Chartered Financial Consultant | Aug 2011 (15y) | |
| James Kevin Garrett | Registered representative | Aug 2011 (15y) | ||
| James Stephen Callaham | Registered representative | Aug 2011 (15y) | ||
| Mark Joseph Stevens | Registered representative | Aug 2011 (15y) | ||
| Paul Reviere Peeler | Registered representative | Aug 2011 (15y) | ||
| Bradley Levon Butler | Registered representative | Aug 2011 (15y) | ||
| Seth A Salomon | Registered representative | Aug 2011 (15y) | ||
| Travis R Cambern | Registered representative | Aug 2011 (15y) | ||
| Nicola Louise Drury | Registered representative | Aug 2011 (15y) | ||
| Timothy Warren Evans | Registered representative | Aug 2011 (15y) | ||
| Andrew Hawson | Registered representative | Aug 2011 (15y) | ||
| Donna Marie Mckeon | Registered representative | Aug 2011 (15y) | ||
| Richard Vincent Dellisola | Registered representative | Aug 2011 (15y) | ||
| Eric Everett Terrill | Registered representative | Aug 2011 (15y) | ||
| Gabriel Josias Barrantes | Registered representative | Aug 2011 (15y) | ||
| John Erceill Meinert | Registered representative | Aug 2011 (15y) | ||
| Mark Jeffrey Porter | Registered representative | CFP | Aug 2011 (15y) | |
| Austin J Green | Registered representative | CFP | Aug 2011 (15y) | |
| Anthony Raymond Przechera | Registered representative | Aug 2011 (15y) | ||
| Danielle Guzman | Registered representative | Aug 2011 (15y) | ||
| Ray W Nishikawa | Registered representative | Aug 2011 (15y) | ||
| George Edward Diamantis | Registered representative | Aug 2011 (15y) | ||
| Roy Charles Woehrman | Registered representative | Aug 2011 (15y) | ||
| Jon Frederick Weidenbach | Registered representative | Aug 2011 (15y) | ||
| Jose Juan Torres | Registered representative | Aug 2011 (15y) | ||
| Kyle Louis Kranzley | Registered representative | Aug 2011 (15y) | ||
| Connie Sue Weems Scott | Registered representative | CFP | Sep 2011 (15y) | |
| Edward Garruto | Registered representative | CFP | Sep 2011 (15y) | |
| Jaime Elizabeth Barretta | Registered representative | Sep 2011 (15y) | ||
| Kelly Ann Huff | Registered representative | Sep 2011 (15y) | ||
| Timothy Ray Mccarley | Registered representative | Sep 2011 (15y) | ||
| William Edward Pollak | Registered representative | Sep 2011 (15y) | ||
| Jeffrey Curtis Roskelley | Registered representative | Sep 2011 (15y) | ||
| Kelly Marie Perry | Registered representative | Sep 2011 (15y) | ||
| James Joseph Robinson | Registered representative | Sep 2011 (15y) | ||
| Cynthia Lynn Skaggs | Registered representative | CFP | Sep 2011 (15y) | |
| Jared Lee Sterr | Registered representative | Sep 2011 (15y) | ||
| Karen Judith Lee | Registered representative | CFP Chartered Financial Consultant | Sep 2011 (15y) | |
| Michael Wilson Morelock | Registered representative | Sep 2011 (15y) | ||
| Corey Alan Scrupps | Registered representative | Sep 2011 (15y) | ||
| Jeffrey Allen Keessen | Registered representative | Sep 2011 (15y) | ||
| Scott William Altman | Registered representative | Sep 2011 (15y) | ||
| James Dimitriou | Registered representative | Sep 2011 (15y) | ||
| Daniel K Russell | Registered representative | Sep 2011 (15y) | ||
| Jane Iademarco | Registered representative | Sep 2011 (15y) | ||
| Kenneth Edward Clark | Registered representative | CFP | Sep 2011 (15y) | |
| Adam K Kanell Mangs | Registered representative | Oct 2011 (15y) | ||
| Christian M Holt | Registered representative | Oct 2011 (15y) | ||
| Joshua William Stratton | Registered representative | Oct 2011 (15y) | ||
| Karin Jo Nilsson | Registered representative | Oct 2011 (15y) | ||
| Ann M Kienast | Registered representative | Oct 2011 (15y) | ||
| Bobbie Dean Bascombe | Registered representative | Oct 2011 (15y) | ||
| Brian Lee Coles | Registered representative | Oct 2011 (15y) | ||
| Brian Tucker Davis | Registered representative | Oct 2011 (15y) | ||
| Carina Dee Alt | Registered representative | Oct 2011 (15y) | ||
| Christopher Joseph Cashell | Registered representative | Oct 2011 (15y) | ||
| Diane Mary Brett | Registered representative | Oct 2011 (15y) | ||
| Douglas Lee Hartz | Registered representative | Oct 2011 (15y) | ||
| Douglas Lynwood Cash | Registered representative | Oct 2011 (15y) | ||
| Erik C Pinter | Registered representative | Oct 2011 (15y) | ||
| Gregory Steven Henning | Registered representative | Oct 2011 (15y) | ||
| Lisa Marie Haushalter | Registered representative | Oct 2011 (15y) | ||
| Michael Anthony Goncalves | Registered representative | Oct 2011 (15y) | ||
| Michael Edward Lavatori | Registered representative | Oct 2011 (15y) | ||
| Michael James Henschel | Registered representative | Oct 2011 (15y) | ||
| Michael Jonathan Schoeder | Registered representative | Oct 2011 (15y) | ||
| Patricia Michelle Mcdonough | Registered representative | Oct 2011 (15y) | ||
| Patrick Lane Johnson | Registered representative | Oct 2011 (15y) | ||
| Patrick William Naughton | Registered representative | Oct 2011 (15y) | ||
| Paul Lloyd Edwards | Registered representative | Oct 2011 (15y) | ||
| Phillip Ralph Kesler | Registered representative | Oct 2011 (15y) | ||
| Raymond Edward Beloin | Registered representative | CFP Chartered Financial Consultant | Oct 2011 (15y) | |
| Ricky Andrew Kalanish | Registered representative | Chartered Financial Consultant | Oct 2011 (15y) | |
| Robert James Lewandowski | Registered representative | Oct 2011 (15y) | ||
| Samuel Thomas Dubose | Registered representative | Oct 2011 (15y) | ||
| Sandra Cerqueira | Registered representative | Oct 2011 (15y) | ||
| Trisha Howse | Registered representative | CFP | Oct 2011 (15y) | |
| William Edward Marley | Registered representative | Oct 2011 (15y) | ||
| John William Kendall | Registered representative | Oct 2011 (15y) | ||
| Andrew Gerard Starosta | Registered representative | Oct 2011 (15y) | ||
| Jason Yong Pang | Registered representative | Oct 2011 (15y) | ||
| Ellen Rose Schriver | Registered representative | Oct 2011 (15y) | ||
| Thomas Lyonel Davila | Registered representative | Oct 2011 (15y) | ||
| Keith Carl Lund | Registered representative | Oct 2011 (15y) | ||
| Kirk Anthony Lombard | Registered representative | CFP | Oct 2011 (15y) | |
| Elena V. Gomelauri | Registered representative | Oct 2011 (15y) | ||
| Holly Diane Hagle | Registered representative | Oct 2011 (15y) | ||
| Phillip Earl Wepking | Registered representative | Oct 2011 (15y) | ||
| Robert Brian Nix | Registered representative | Oct 2011 (15y) | ||
| Lauren Fairley Nassau | Registered representative | Nov 2011 (15y) | ||
| Michael Lien Liang | Registered representative | Nov 2011 (15y) | ||
| Kurt Christopher Gruenberger | Registered representative | Nov 2011 (15y) | ||
| Thomas Glenn Lewis | Registered representative | Nov 2011 (15y) | ||
| Paul Michael Bukta | Registered representative | CFP | Nov 2011 (15y) | |
| Stephen Lynn Wade | Registered representative | Nov 2011 (15y) | ||
| Michael William Victory | Registered representative | Nov 2011 (15y) | ||
| Hope Marie Laycock | Registered representative | Nov 2011 (15y) | ||
| Jeffrey Michael Thompson | Registered representative | Nov 2011 (15y) | ||
| Gloria Rotner | Registered representative | Nov 2011 (15y) | ||
| Robert Henry Jerger | Registered representative | Nov 2011 (15y) | ||
| Bradley Shawn Staton | Registered representative | Nov 2011 (15y) | ||
| Christopher David Tuck | Registered representative | CFP | Nov 2011 (15y) | |
| Devin Burton Tweed | Registered representative | Dec 2011 (15y) | ||
| Bryan Anton Stephen | Registered representative | Dec 2011 (15y) | ||
| Kent William Crawford | Registered representative | CFP | Dec 2011 (15y) | |
| Daniel Paul Mccarthy | Registered representative | Dec 2011 (15y) | ||
| Tandy Kay Ervin | Registered representative | Dec 2011 (15y) | ||
| Jason S Crowell | Registered representative | Dec 2011 (15y) | ||
| James Denis Pafundi | Registered representative | Dec 2011 (15y) | ||
| Mai Quynh Vu | Registered representative | Dec 2011 (15y) | ||
| Douglas Lee Vangilder | Registered representative | Dec 2011 (15y) | ||
| James Bradley Dismukes | Registered representative | Dec 2011 (15y) | ||
| Michael James Delia | Registered representative | Dec 2011 (15y) | ||
| Steven Patton Grant | Registered representative | Dec 2011 (15y) | ||
| Charles Edward Schembri | Registered representative | Dec 2011 (15y) | ||
| Joseph Edward Ciesinski | Registered representative | Dec 2011 (15y) | ||
| Kevin Joseph Parker | Registered representative | Dec 2011 (15y) | ||
| Lee Russell Applebaum | Registered representative | Dec 2011 (15y) | ||
| Peter Michael Gillespie | Registered representative | Dec 2011 (15y) | ||
| Michael Larry Davis | Registered representative | Dec 2011 (15y) | ||
| David Peter Bartz | Registered representative | Dec 2011 (15y) | ||
| Paul Gregory Marx | Registered representative | Dec 2011 (15y) | ||
| Travis L. Withers | Registered representative | Dec 2011 (15y) | ||
| Christopher Mark Baughan | Registered representative | Dec 2011 (15y) | ||
| John George Persa | Registered representative | Dec 2011 (15y) | ||
| Scott Anthony Schaubhut | Registered representative | Dec 2011 (15y) | ||
| Alan Frank Hark | Registered representative | Dec 2011 (15y) | ||
| George Popov | Registered representative | Dec 2011 (15y) | ||
| James Thomas Adcock | Registered representative | Dec 2011 (15y) | ||
| Larry Fousie Ii | Registered representative | Dec 2011 (15y) | ||
| Jessica Ferguson Morel | Registered representative | Jan 2012 (15y) | ||
| Lynn George Frehner | Registered representative | CFP | Jan 2012 (15y) | |
| Gina Marie Pafundi | Registered representative | Jan 2012 (15y) | ||
| Lance Lynden Graber | Registered representative | Jan 2012 (15y) | ||
| Kathryn Anne Lindfelt | Registered representative | CFP | Jan 2012 (15y) | |
| Jaime Genaro Carmona | Registered representative | Jan 2012 (15y) | ||
| Craig Stephen Ketcham | Registered representative | Jan 2012 (15y) | ||
| Jonathan David Hoskins | Registered representative | CFP | Jan 2012 (15y) | |
| Martin James Flores | Registered representative | Jan 2012 (15y) | ||
| Russell William Jordan | Registered representative | CFP | Jan 2012 (15y) | |
| Joseph John Szela | Registered representative | Jan 2012 (15y) | ||
| Charles Stanley Wagner | Registered representative | Jan 2012 (15y) | ||
| Michael Anthony Rich | Registered representative | CFP | Jan 2012 (15y) | |
| Nancy Lee Knight | Registered representative | Jan 2012 (15y) | ||
| Rebecca Scheier Dreyer | Registered representative | Jan 2012 (15y) | ||
| Steven Arthur Kernahan | Registered representative | Jan 2012 (15y) | ||
| Loran F. Graham | Registered representative | CFP | Jan 2012 (15y) | |
| Monica Alicia Schmitt | Registered representative | Jan 2012 (15y) | ||
| Jacob Earl Bauchmann | Registered representative | CFP CFA | Jan 2012 (15y) | |
| Adam James Turner | Registered representative | Jan 2012 (15y) | ||
| Maryanne Virginia Bessler | Registered representative | Jan 2012 (15y) | ||
| Steven Paul Lakso | Registered representative | CFP | Feb 2012 (14y) | |
| Michele Lugiano | Registered representative | Feb 2012 (14y) | ||
| Deane Y Endo | Registered representative | Feb 2012 (14y) | ||
| Daniel Louis Kramer | Registered representative | CFP | Feb 2012 (14y) | |
| Julia Judith Smith | Registered representative | Feb 2012 (14y) | ||
| Christian Hernani Johnson | Registered representative | CFP | Feb 2012 (14y) | |
| Peggy Lee Lawhorne | Registered representative | Feb 2012 (14y) | ||
| Dwayne Lynn Clendaniel | Registered representative | Feb 2012 (14y) | ||
| Jennifer Lynn Green | Registered representative | Feb 2012 (14y) | ||
| Tristan Shane Lawrie | Registered representative | Feb 2012 (14y) | ||
| Jerry Ruben Fischer | Registered representative | Feb 2012 (14y) | ||
| Eric A Morgan | Registered representative | Feb 2012 (14y) | ||
| Joseph David Carpenter | Registered representative | Feb 2012 (14y) | ||
| Philip Joel Kavesh | Registered representative | CFP Chartered Financial Consultant | Feb 2012 (14y) | |
| James Isamu King | Registered representative | Feb 2012 (14y) | ||
| Keith Brofsky | Registered representative | Feb 2012 (14y) | ||
| Charles Devilleneuve Allain | Registered representative | Feb 2012 (14y) | ||
| James Michael Irvin | Registered representative | Feb 2012 (14y) | ||
| Ekua Opokuaa Anyanful | Registered representative | CFP | Feb 2012 (14y) | |
| Jeffrey Tabb Thomas | Registered representative | Feb 2012 (14y) | ||
| Michael Graham Haire | Registered representative | Mar 2012 (14y) | ||
| Andrew David Clark | Registered representative | CFP | Mar 2012 (14y) | |
| Brian Scott Lesley | Registered representative | CFP | Mar 2012 (14y) | |
| Fei Kuo Chiang | Registered representative | Mar 2012 (14y) | ||
| Robin Lynette Larue Beasley | Registered representative | Mar 2012 (14y) | ||
| Scott Jay Kleiman | Registered representative | Mar 2012 (14y) | ||
| Scott Gene Jasman | Registered representative | CFP | Mar 2012 (14y) | |
| Angela Rena Curtis | Registered representative | CFP | Mar 2012 (14y) | |
| Jeremy Patrick Marshall | Registered representative | Mar 2012 (14y) | ||
| Justin R Schrinel | Registered representative | CFP | Mar 2012 (14y) | |
| Keith Mitchell Cox | Registered representative | Mar 2012 (14y) | ||
| Alexander Antonio Dacunha | Registered representative | CFP | Mar 2012 (14y) | |
| Mark Edward Sperandio | Registered representative | Mar 2012 (14y) | ||
| Gordon Edward Tiner | Registered representative | Mar 2012 (14y) | ||
| John William Snowden | Registered representative | CFP | Mar 2012 (14y) | |
| Adam Joseph Williams | Registered representative | Mar 2012 (14y) | ||
| David J Guardia | Registered representative | Mar 2012 (14y) | ||
| Bryan Keith Holoman | Registered representative | Apr 2012 (14y) | ||
| Kulvinder K Rai | Registered representative | Apr 2012 (14y) | ||
| Raleigh James Galiano | Registered representative | CFP | Apr 2012 (14y) | |
| Richard Scott Nohelty | Registered representative | CFP | Apr 2012 (14y) | |
| Erik Durand Boyme | Registered representative | Apr 2012 (14y) | ||
| Matthew John Day | Registered representative | Apr 2012 (14y) | ||
| Jon Guy Kimball | Registered representative | Apr 2012 (14y) | ||
| Stephen William Skokos | Registered representative | Apr 2012 (14y) | ||
| Clayton L Guthrie | Registered representative | Apr 2012 (14y) | ||
| Kenneth Leroy Kendall | Registered representative | CFP | Apr 2012 (14y) | |
| Amanda Jane Roland | Registered representative | Apr 2012 (14y) | ||
| Jared Lee Haslam | Registered representative | Apr 2012 (14y) | ||
| Steven Anthony Antinucci | Registered representative | Apr 2012 (14y) | ||
| Lisa Courtney Wagoner | Registered representative | Apr 2012 (14y) | ||
| Anthony P. Ragusa | Registered representative | Apr 2012 (14y) | ||
| Joseph Jakob Vidmar | Registered representative | Apr 2012 (14y) | ||
| Kevin Klingbeil | Registered representative | Apr 2012 (14y) | ||
| Matthew John Ruppe | Registered representative | Apr 2012 (14y) | ||
| Cassandra N. F. Dorn | Registered representative | CFP | Apr 2012 (14y) | |
| Graham Garrett Hemelt | Registered representative | Apr 2012 (14y) | ||
| Barbara S Neal | Registered representative | Apr 2012 (14y) | ||
| Lorraine Dawn Wilson | Registered representative | Apr 2012 (14y) | ||
| Michael Bruce Bagley | Registered representative | CFP | Apr 2012 (14y) | |
| Greg Dufala | Registered representative | Apr 2012 (14y) | ||
| Richard Domenick Capannola | Registered representative | Apr 2012 (14y) | ||
| Jeremy William Blackburn | Registered representative | Apr 2012 (14y) | ||
| Domenick Giovanni Juliano | Registered representative | Apr 2012 (14y) | ||
| Howard Justin Helms | Registered representative | Apr 2012 (14y) | ||
| Jose Dejesus Gonzalez | Registered representative | Apr 2012 (14y) | ||
| Johnpaul Lonardo | Registered representative | Apr 2012 (14y) | ||
| Larry Wayne Price | Registered representative | May 2012 (14y) | ||
| Steven J Kim | Registered representative | May 2012 (14y) | ||
| Brent Russell Guthrie | Registered representative | May 2012 (14y) | ||
| Jerry Lynn Toney | Registered representative | CFP | May 2012 (14y) | |
| Amber R Stream | Registered representative | May 2012 (14y) | ||
| John Anthony Scarabino | Registered representative | May 2012 (14y) | ||
| Mark Anthony Naprstek | Registered representative | May 2012 (14y) | ||
| David Thomas Larson | Registered representative | CFP | May 2012 (14y) | |
| David Lee Starkey | Registered representative | May 2012 (14y) | ||
| Grant Harris Butson | Registered representative | May 2012 (14y) | ||
| Noel Richardson Sherry | Registered representative | May 2012 (14y) | ||
| Thomas J Balchik | Registered representative | May 2012 (14y) | ||
| Eliezer B Lopez | Registered representative | May 2012 (14y) | ||
| Harry Eugene Butson | Registered representative | CFP | May 2012 (14y) | |
| Todd Alan Overbeek | Registered representative | May 2012 (14y) | ||
| Evan Hudson Walker | Registered representative | May 2012 (14y) | ||
| Scott Anthony Yates | Registered representative | May 2012 (14y) | ||
| Thomas Mack Pearson | Registered representative | CFP | May 2012 (14y) | |
| Chad James Larsen | Registered representative | Chartered Financial Consultant | May 2012 (14y) | |
| Harry Russell Headrick | Registered representative | May 2012 (14y) | ||
| Thomas Ray Geving | Registered representative | May 2012 (14y) | ||
| Eric Clyde Lyons | Registered representative | May 2012 (14y) | ||
| Gregory Scott Kuehl | Registered representative | May 2012 (14y) | ||
| Kenneth Laurence Cortright | Registered representative | May 2012 (14y) | ||
| Kevin Michael Kruse | Registered representative | May 2012 (14y) | ||
| Richard Brian Welsh | Registered representative | May 2012 (14y) | ||
| Brandon M Olson | Registered representative | Jun 2012 (14y) | ||
| David G Domian | Registered representative | Jun 2012 (14y) | ||
| Jeremy Robert Cole | Registered representative | Jun 2012 (14y) | ||
| Scott Lee Webb | Registered representative | Jun 2012 (14y) | ||
| Richard Scott Whelpley | Registered representative | Jun 2012 (14y) | ||
| Samuel J Flaherty | Registered representative | CFP Chartered Financial Consultant | Jun 2012 (14y) | |
| Stephen Thomas Neirinck | Registered representative | Jun 2012 (14y) | ||
| Andrew Scott Copulsky | Registered representative | Jun 2012 (14y) | ||
| Glen L Diehm | Registered representative | CFP | Jun 2012 (14y) | |
| Kyle Max | Registered representative | Jun 2012 (14y) | ||
| Richard Haig Maloyan | Registered representative | Jun 2012 (14y) | ||
| John Y Kim | Registered representative | Jun 2012 (14y) | ||
| Kelly Coffield Perkins | Registered representative | Jun 2012 (14y) | ||
| Reece A Cernoch | Registered representative | Jun 2012 (14y) | ||
| Sean Patrick Ray | Registered representative | Jun 2012 (14y) | ||
| Brian Scott Field | Registered representative | Jun 2012 (14y) | ||
| Silveria Sanchez Hufstedler | Registered representative | Jun 2012 (14y) | ||
| Christopher Kevin Martin | Registered representative | Jun 2012 (14y) | ||
| Jeffrey Dean Erwin | Registered representative | Jun 2012 (14y) | ||
| Joshua Daniel Goldsmith | Registered representative | CFP | Jun 2012 (14y) | |
| Victor Leo Daprile | Registered representative | Jun 2012 (14y) | ||
| Christopher John Talbert | Registered representative | CFP | Jun 2012 (14y) | |
| Richard Michael Gerbracht | Registered representative | Jun 2012 (14y) | ||
| Dawn M Rosa | Registered representative | Jun 2012 (14y) | ||
| Matthew Carroll Mueller | Registered representative | Jun 2012 (14y) | ||
| Annette Hassan | Registered representative | Jun 2012 (14y) | ||
| Charlotte S Adcock | Registered representative | Jun 2012 (14y) | ||
| Katherine Marie Williams | Registered representative | Jun 2012 (14y) | ||
| Gabriel Martinez | Registered representative | Jun 2012 (14y) | ||
| Jason Michael Jeandron | Registered representative | Jun 2012 (14y) | ||
| Jonathan Christian Bridges | Registered representative | CFP | Jun 2012 (14y) | |
| David Jon Nastri | Registered representative | Jul 2012 (14y) | ||
| Steven Randolph Jung | Registered representative | Jul 2012 (14y) | ||
| Thomas John Ritten | Registered representative | Jul 2012 (14y) | ||
| Boyce Michael Tollison | Registered representative | Jul 2012 (14y) | ||
| Michael Stuart Mcneily | Registered representative | Jul 2012 (14y) | ||
| Aaron James Rohrbaugh | Registered representative | Jul 2012 (14y) | ||
| Glenn Steven Schnell | Registered representative | Jul 2012 (14y) | ||
| Jeffry Lawrence Pittman | Registered representative | Jul 2012 (14y) | ||
| Marylynne Price | Registered representative | Jul 2012 (14y) | ||
| Shannon Barrow Rowan | Registered representative | CFP | Jul 2012 (14y) | |
| Justin Wade Flowers | Registered representative | Jul 2012 (14y) | ||
| Shane Bueno | Registered representative | Jul 2012 (14y) | ||
| John Francis Lawlor | Registered representative | Jul 2012 (14y) | ||
| Elias Samir Shiheiber | Registered representative | Jul 2012 (14y) | ||
| Louise Clare Fung | Registered representative | Jul 2012 (14y) | ||
| Stephen Yong Cho | Registered representative | Jul 2012 (14y) | ||
| Aimee Black | Registered representative | Jul 2012 (14y) | ||
| Gary Anthony Richter | Registered representative | Jul 2012 (14y) | ||
| Andrew Edwin Beversdorf | Registered representative | Jul 2012 (14y) | ||
| Mark Chester Hegstrom | Registered representative | Jul 2012 (14y) | ||
| Bryan James Flanagan | Registered representative | CFP | Jul 2012 (14y) | |
| David Frederick Kelton | Registered representative | Jul 2012 (14y) | ||
| Igor G Kuprin | Registered representative | Jul 2012 (14y) | ||
| Philip D Brown | Registered representative | Jul 2012 (14y) | ||
| Isaac Frederick Gowin | Registered representative | Jul 2012 (14y) | ||
| Jessica L. Bicoll | Registered representative | CFP Chartered Financial Consultant | Aug 2012 (14y) | |
| Lawrence Ming Hoey | Registered representative | Aug 2012 (14y) | ||
| Chad Edward Burns | Registered representative | Aug 2012 (14y) | ||
| Tony Russell Wooten | Registered representative | Aug 2012 (14y) | ||
| Mark Neil Levin | Registered representative | CFP | Aug 2012 (14y) | |
| Brent Alan Richards | Registered representative | Aug 2012 (14y) | ||
| Michael G Sisney | Registered representative | Aug 2012 (14y) | ||
| Christopher David St. Laurent | Registered representative | Aug 2012 (14y) | ||
| Karmen K Gearhart | Registered representative | Aug 2012 (14y) | ||
| Brenton Alan Silano | Registered representative | Aug 2012 (14y) | ||
| Camille Altair Harrison | Registered representative | Aug 2012 (14y) | ||
| David Crance Haraway | Registered representative | Aug 2012 (14y) | ||
| Carl D Marsh | Registered representative | Chartered Financial Consultant | Aug 2012 (14y) | |
| Kelli Moran Winslow | Registered representative | Aug 2012 (14y) | ||
| M. Kevin Carrier | Registered representative | Aug 2012 (14y) | ||
| Mark G Comyns | Registered representative | Aug 2012 (14y) | ||
| Mark Edward Lawrence | Registered representative | Aug 2012 (14y) | ||
| Bradley Scott Johannes | Registered representative | Aug 2012 (14y) | ||
| Adam Steven Cooper | Registered representative | Aug 2012 (14y) | ||
| Brent Allen Teague | Registered representative | Aug 2012 (14y) | ||
| Laura Lee Provost | Registered representative | Aug 2012 (14y) | ||
| Thomas Richard Morgan | Registered representative | Aug 2012 (14y) | ||
| Kimberly Yun Choi Lindley | Registered representative | Aug 2012 (14y) | ||
| Trenton Dale Mcghee | Registered representative | Aug 2012 (14y) | ||
| Jay Leslie Walker | Registered representative | Aug 2012 (14y) | ||
| Judith Alejandra Cantua Phillips | Registered representative | Aug 2012 (14y) | ||
| Lance Allen Browning | Registered representative | Aug 2012 (14y) | ||
| Dirk Matthew Dixon | Registered representative | Sep 2012 (14y) | ||
| Tod Glenn Byrd | Registered representative | Sep 2012 (14y) | ||
| Corey Matthew Wilson | Registered representative | Sep 2012 (14y) | ||
| James Trevor Oshaughnessy | Registered representative | Sep 2012 (14y) | ||
| Kevin Ross Moore | Registered representative | Sep 2012 (14y) | ||
| Pauletta Jane Bonner | Registered representative | Sep 2012 (14y) | ||
| Steven Conway Spanton | Registered representative | Sep 2012 (14y) | ||
| Neil Ira Gordon | Registered representative | Chartered Financial Consultant | Sep 2012 (14y) | |
| Jason Scott Christmas | Registered representative | Sep 2012 (14y) | ||
| John Emmanuel Simone | Registered representative | Sep 2012 (14y) | ||
| Aaron Michael Lawry | Registered representative | Sep 2012 (14y) | ||
| Stephen Patrick Dault | Registered representative | Sep 2012 (14y) | ||
| Sobhna Maan Magana | Registered representative | Sep 2012 (14y) | ||
| Thomas Sean Lanahan | Registered representative | Sep 2012 (14y) | ||
| William Joseph Pacheco | Registered representative | Sep 2012 (14y) | ||
| Jason Michael Hennessy | Registered representative | Sep 2012 (14y) | ||
| Robert Francis Claussen | Registered representative | Sep 2012 (14y) | ||
| John Thomas Harten | Registered representative | Sep 2012 (14y) | ||
| Martin William Minder | Registered representative | CFP Chartered Financial Consultant | Sep 2012 (14y) | |
| Patricia Jones | Registered representative | Sep 2012 (14y) | ||
| David Edward Siegel | Registered representative | Sep 2012 (14y) | ||
| Joshua Andrew Barron | Registered representative | Sep 2012 (14y) | ||
| Marioleni Mandelis | Registered representative | Sep 2012 (14y) | ||
| Cynthia A Kuettner | Registered representative | Sep 2012 (14y) | ||
| Jeffrey Tucker Stevens | Registered representative | Sep 2012 (14y) | ||
| April Story Richardson | Registered representative | Oct 2012 (14y) | ||
| Lorenzo Ruiz | Registered representative | Oct 2012 (14y) | ||
| Anthony Macaluso | Registered representative | Oct 2012 (14y) | ||
| Andrew Irwin Wright | Registered representative | Oct 2012 (14y) | ||
| David E King | Registered representative | Oct 2012 (14y) | ||
| Jerome Maurice Newbill | Registered representative | Oct 2012 (14y) | ||
| Nicholas Joseph Smith | Registered representative | Oct 2012 (14y) | ||
| Bruno Francis Mark | Registered representative | Chartered Financial Consultant | Oct 2012 (14y) | |
| Gianna Claire Cuda | Registered representative | CFP | Oct 2012 (14y) | |
| Michael Thomas Mills | Registered representative | Oct 2012 (14y) | ||
| Douglas Paul Hasler | Registered representative | Oct 2012 (14y) | ||
| Erika Hernandez Marin | Registered representative | Oct 2012 (14y) | ||
| Kevin Luke Price | Registered representative | Oct 2012 (14y) | ||
| Jorge Armando Morales | Registered representative | Oct 2012 (14y) | ||
| Kyle Andrew Mawhorr | Registered representative | Oct 2012 (14y) | ||
| Todd Alan Shobert | Registered representative | Nov 2012 (14y) | ||
| Joseph Benjamin Horstmann | Registered representative | Nov 2012 (14y) | ||
| Paul Carl Sterk | Registered representative | Nov 2012 (14y) | ||
| Robert Nelson Nix | Registered representative | CFP Chartered Financial Consultant | Nov 2012 (14y) | |
| Djemal Eyup Araniti | Registered representative | CFP | Nov 2012 (14y) | |
| Randy Lynn Leslie | Registered representative | Nov 2012 (14y) | ||
| Bernell D Baker | Registered representative | Nov 2012 (14y) | ||
| Lisa L Micklevitz | Registered representative | Nov 2012 (14y) | ||
| Nicholas Kearney Hamilton | Registered representative | Nov 2012 (14y) | ||
| Susan Lynn Mitcham | Registered representative | Nov 2012 (14y) | ||
| Christie Shaw | Registered representative | Nov 2012 (14y) | ||
| Shaun B Floresca | Registered representative | Nov 2012 (14y) | ||
| Tracy Lynn Helmer | Registered representative | Nov 2012 (14y) | ||
| Jeffrey James Layhew | Registered representative | Nov 2012 (14y) | ||
| Gregory Kent Hansen | Registered representative | Nov 2012 (14y) | ||
| Patrick Jordan Conger | Registered representative | Nov 2012 (14y) | ||
| Melissa Stark | Registered representative | Nov 2012 (14y) | ||
| Nancy Arboleda Ward | Registered representative | Nov 2012 (14y) | ||
| Elliott Crispin Fell | Registered representative | Nov 2012 (14y) | ||
| Judith Watkins Blaising | Registered representative | Nov 2012 (14y) | ||
| Bradley N Eads | Registered representative | Nov 2012 (14y) | ||
| Shu Chi Liu Ouk | Registered representative | Nov 2012 (14y) | ||
| David Joseph Dieal | Registered representative | Nov 2012 (14y) | ||
| Charles Allen Goldie | Registered representative | Nov 2012 (14y) | ||
| Charles Russell Pound | Registered representative | Dec 2012 (14y) | ||
| Darryl Scott Benfield | Registered representative | Dec 2012 (14y) | ||
| Frederic Stacer Cox | Registered representative | Dec 2012 (14y) | ||
| Allan Robert Jones | Registered representative | Dec 2012 (14y) | ||
| Deborah Ann Williams | Registered representative | CFP | Dec 2012 (14y) | |
| Natalie Ann Brinkman | Registered representative | Dec 2012 (14y) | ||
| Todd E Holquist | Registered representative | Dec 2012 (14y) | ||
| Anthony Wayne Manning | Registered representative | Dec 2012 (14y) | ||
| Albert S Heaton | Registered representative | Dec 2012 (14y) | ||
| Case Michael Terrebonne | Registered representative | Dec 2012 (14y) | ||
| Charles A Coveney | Registered representative | Dec 2012 (14y) | ||
| John Michael Ludwig | Registered representative | Chartered Financial Consultant | Dec 2012 (14y) | |
| Jillian Cale Wermling | Registered representative | Dec 2012 (14y) | ||
| Keri Vogel Daniel | Registered representative | Dec 2012 (14y) | ||
| David Alan Kaiser | Registered representative | Dec 2012 (14y) | ||
| Christian Xander Loeb | Registered representative | Dec 2012 (14y) | ||
| Jesse Melvin Etter | Registered representative | Dec 2012 (14y) | ||
| Keith Inman Wilson | Registered representative | Dec 2012 (14y) | ||
| Bart Hideo Fujimoto | Registered representative | CFP | Dec 2012 (14y) | |
| David Boyd Wagstaff | Registered representative | Dec 2012 (14y) | ||
| Matthew Jay Lehman | Registered representative | Dec 2012 (14y) | ||
| Robert Bruce Crawford | Registered representative | Chartered Financial Consultant | Dec 2012 (14y) | |
| Conor Francis Delaney | Registered representative | Dec 2012 (14y) | ||
| Dane Lee Klintworth | Registered representative | Dec 2012 (14y) | ||
| Floyd Freeman Pate | Registered representative | Dec 2012 (14y) | ||
| Gregory Warner Randall | Registered representative | CFP | Dec 2012 (14y) | |
| Paul Anthony Sullivan | Registered representative | CFP | Dec 2012 (14y) | |
| David Andrew Mcdermott | Registered representative | Dec 2012 (14y) | ||
| Ethan David Schuchman | Registered representative | Dec 2012 (14y) | ||
| Jeffrey Harting Mcmahon | Registered representative | Dec 2012 (14y) | ||
| Patrick Edwin Dowlin | Registered representative | CFP | Dec 2012 (14y) | |
| Divpreet Kaur | Registered representative | Dec 2012 (14y) | ||
| Patrick Daniel Perfitt | Registered representative | Dec 2012 (14y) | ||
| Thomas Lynch Ford | Registered representative | Jan 2013 (14y) | ||
| Jim Casey | Registered representative | CFP | Jan 2013 (14y) | |
| Stephen Edward Gray | Registered representative | Jan 2013 (14y) | ||
| Erick Arndt | Registered representative | Jan 2013 (14y) | ||
| Nicholas Jr. Andrew Canuso | Registered representative | Jan 2013 (14y) | ||
| Sandra Gilpatrick | Registered representative | CFP | Jan 2013 (14y) | |
| Richard Deane Lytle | Registered representative | Jan 2013 (14y) | ||
| Richard Lee Martin | Registered representative | Jan 2013 (14y) | ||
| Joseph Anthony Brittingham | Registered representative | CFP | Jan 2013 (14y) | |
| Travis Hunter Clarke | Registered representative | Jan 2013 (14y) | ||
| Kevin Daniel Christensen | Registered representative | Jan 2013 (14y) | ||
| Janet Lee De Vries | Registered representative | Jan 2013 (14y) | ||
| Scott A Stanley | Registered representative | CFP | Jan 2013 (14y) | |
| William P Stillman | Registered representative | Jan 2013 (14y) | ||
| Sheri Pamela Benjamin | Registered representative | Chartered Financial Consultant | Jan 2013 (14y) | |
| Anthony Robert Phillips | Registered representative | Jan 2013 (14y) | ||
| Thomas Philip Greuner | Registered representative | Jan 2013 (14y) | ||
| Daniel Michael Sanborn | Registered representative | Jan 2013 (14y) | ||
| William Anthony Henderson | Registered representative | Jan 2013 (14y) | ||
| Xu Wang | Registered representative | CFP | Jan 2013 (14y) | |
| Courtnie Elizabeth Gray | Registered representative | Jan 2013 (14y) | ||
| Diane Susan Winner | Registered representative | Jan 2013 (14y) | ||
| Jason Daniel Jones | Registered representative | Jan 2013 (14y) | ||
| David Semelsberger | Registered representative | Jan 2013 (14y) | ||
| John Richard Stinson | Registered representative | Jan 2013 (14y) | ||
| Matthew Harvey Minter | Registered representative | Jan 2013 (14y) | ||
| Yoko Mochizuki Wickersham | Registered representative | CFP | Jan 2013 (14y) | |
| Brian Christopher Seitz | Registered representative | Jan 2013 (14y) | ||
| James Harris Burns | Registered representative | Jan 2013 (14y) | ||
| Kevin Lee Couch | Registered representative | Feb 2013 (14y) | ||
| Michelle Kay Demand | Registered representative | Feb 2013 (14y) | ||
| Michael Joe Furrer | Registered representative | Chartered Financial Consultant | Feb 2013 (13y) | |
| Therese Erin Shardlow | Registered representative | Feb 2013 (13y) | ||
| David Carter Owen | Registered representative | Feb 2013 (13y) | ||
| Peter A Scelfo | Registered representative | Feb 2013 (13y) | ||
| Yeukhei Chan | Registered representative | Feb 2013 (13y) | ||
| John Booren | Registered representative | Feb 2013 (13y) | ||
| Leonard Mark Housel | Registered representative | Feb 2013 (13y) | ||
| Ron Alan Silva | Registered representative | CFP | Feb 2013 (13y) | |
| Thomas Carter Coffin | Registered representative | Feb 2013 (13y) | ||
| Glenn Steven Stempler | Registered representative | Feb 2013 (13y) | ||
| Gregory Peter Horn | Registered representative | Feb 2013 (13y) | ||
| John Sicat | Registered representative | Feb 2013 (13y) | ||
| Brian David Williams | Registered representative | Feb 2013 (13y) | ||
| Miyoko Segawa | Registered representative | CFP | Feb 2013 (13y) | |
| David Christopher Cothron | Registered representative | Feb 2013 (13y) | ||
| Everett Lyle Johnson | Registered representative | CFA | Feb 2013 (13y) | |
| Timothy J. Herlihy | Registered representative | CFP | Feb 2013 (13y) | |
| Brent Michael Buehler | Registered representative | Feb 2013 (13y) | ||
| Timothy Andrew Menzies | Registered representative | Feb 2013 (13y) | ||
| Gregory Taub Osborn | Registered representative | Feb 2013 (13y) | ||
| Thomas Edward Brunelle | Registered representative | Feb 2013 (13y) | ||
| Beverly Madison Currin | Registered representative | Feb 2013 (13y) | ||
| Lewis Bobby Walker | Registered representative | Feb 2013 (13y) | ||
| Brannon Neal Brown | Registered representative | CFP | Feb 2013 (13y) | |
| Chelsea Baumann Miller | Registered representative | Feb 2013 (13y) | ||
| Henry Zabarsky | Registered representative | Mar 2013 (13y) | ||
| Michelle Stover Prok | Registered representative | Mar 2013 (13y) | ||
| David Richard Priore | Registered representative | Mar 2013 (13y) | ||
| Stephen Patrick Kester | Registered representative | Mar 2013 (13y) | ||
| Brent Erik Carlson | Registered representative | Mar 2013 (13y) | ||
| William John Horn | Registered representative | Mar 2013 (13y) | ||
| Kristi K Parsons | Registered representative | Mar 2013 (13y) | ||
| Ledion Isufi | Registered representative | Mar 2013 (13y) | ||
| William Edward Bernarduci | Registered representative | Mar 2013 (13y) | ||
| Tracie Ann Shardez | Registered representative | Mar 2013 (13y) | ||
| Chris Scott Soucheck | Registered representative | Mar 2013 (13y) | ||
| Jeremy Tyler Sabo | Registered representative | Mar 2013 (13y) | ||
| Robert Louis Franer | Registered representative | Mar 2013 (13y) | ||
| Andrew Ross Fairbanks | Registered representative | Mar 2013 (13y) | ||
| Michael Glenn Aquino | Registered representative | Mar 2013 (13y) | ||
| Patricia Ann Paulik | Registered representative | Mar 2013 (13y) | ||
| Robert Lester Waring | Registered representative | Mar 2013 (13y) | ||
| Brenda Lynn Rolli | Registered representative | Mar 2013 (13y) | ||
| Lawrence D Kaplan | Registered representative | Mar 2013 (13y) | ||
| Michael Adam Davis | Registered representative | Mar 2013 (13y) | ||
| Marc Louis Pushkin | Registered representative | Mar 2013 (13y) | ||
| Michael Lee Jerkatis | Registered representative | Mar 2013 (13y) | ||
| Steven Michael Reents | Registered representative | CFP | Mar 2013 (13y) | |
| George Leonidas Camberis | Registered representative | Mar 2013 (13y) | ||
| Mark Anzo Tonelli | Registered representative | Mar 2013 (13y) | ||
| Brian Ray Shackleford | Registered representative | Mar 2013 (13y) | ||
| Gary Floyd Seybold | Registered representative | Mar 2013 (13y) | ||
| Robert Patrick Engel | Registered representative | CFP | Mar 2013 (13y) | |
| Robert Patrick Gillard | Registered representative | CFP | Mar 2013 (13y) | |
| Steven Wayne Schindler | Registered representative | Mar 2013 (13y) | ||
| William Ambrose Kelly | Registered representative | Mar 2013 (13y) | ||
| Ryan J Talbot | Registered representative | Apr 2013 (13y) | ||
| Stuart Joel Kahn | Registered representative | Apr 2013 (13y) | ||
| David Leo Connor | Registered representative | Apr 2013 (13y) | ||
| Derek Duane Gowan | Registered representative | Apr 2013 (13y) | ||
| Gregory Scott Tobey | Registered representative | Apr 2013 (13y) | ||
| Reem H Moussa | Registered representative | Apr 2013 (13y) | ||
| Megan Edwards | Registered representative | Apr 2013 (13y) | ||
| Thomas Richard Lofy | Registered representative | Apr 2013 (13y) | ||
| Allen Roy Ernst | Registered representative | Apr 2013 (13y) | ||
| Robert James Darragh | Registered representative | CFP | Apr 2013 (13y) | |
| Brendan Lawrence Collins | Registered representative | CFA | Apr 2013 (13y) | |
| David Albert Neiman | Registered representative | Apr 2013 (13y) | ||
| John G Molinelli | Registered representative | CFP | Apr 2013 (13y) | |
| Julia Mae Thorman | Registered representative | CFP | Apr 2013 (13y) | |
| Theodore Dennis Woytowicz | Registered representative | Apr 2013 (13y) | ||
| Cassandre Rae Mlakar | Registered representative | Apr 2013 (13y) | ||
| Robert Sanford Wade | Registered representative | CFP | May 2013 (13y) | |
| Susan Elizabeth Lennon | Registered representative | May 2013 (13y) | ||
| Kathleen Morgan Futey | Registered representative | May 2013 (13y) | ||
| Dwana Antonio Baumann | Registered representative | May 2013 (13y) | ||
| Jeffrey Gus Carlos | Registered representative | May 2013 (13y) | ||
| Gabriel Ayala | Registered representative | May 2013 (13y) | ||
| Ronald Keith Akers | Registered representative | May 2013 (13y) | ||
| Trudy Lynn Benton | Registered representative | May 2013 (13y) | ||
| Brian Jacob Kidwell | Registered representative | May 2013 (13y) | ||
| Sonya Joo Stocks Phillips | Registered representative | May 2013 (13y) | ||
| William Henry Bryan | Registered representative | May 2013 (13y) | ||
| Darren Martin Tosetto | Registered representative | May 2013 (13y) | ||
| Joseph Anthony Donovan | Registered representative | May 2013 (13y) | ||
| Daren Scott Friedle | Registered representative | May 2013 (13y) | ||
| Lucas M Ring | Registered representative | May 2013 (13y) | ||
| Mackenzie E Marshall Flynn | Registered representative | May 2013 (13y) | ||
| David William Mccollum | Registered representative | May 2013 (13y) | ||
| Sarah Sharee Marshall | Registered representative | May 2013 (13y) | ||
| Stephen Michael Fagas | Registered representative | May 2013 (13y) | ||
| Marilyn Suey | Registered representative | CFP | May 2013 (13y) | |
| James Eric Weaver | Registered representative | May 2013 (13y) | ||
| Scott Allen Webb | Registered representative | May 2013 (13y) | ||
| Robert D. Cano | Registered representative | May 2013 (13y) | ||
| Stephen Philip Fuller | Registered representative | CFP Chartered Financial Consultant | Jun 2013 (13y) | |
| William Gerhard Siegert | Registered representative | Jun 2013 (13y) | ||
| Christophe Francois Palabe | Registered representative | Jun 2013 (13y) | ||
| Bruce Craig Hodgins | Registered representative | Jun 2013 (13y) | ||
| John Tyler Wain | Registered representative | Jun 2013 (13y) | ||
| Michael Wayne Jolie | Registered representative | Jun 2013 (13y) | ||
| Barbara Ann Ginty | Registered representative | Jun 2013 (13y) | ||
| Kevin M Mcveigh | Registered representative | Jun 2013 (13y) | ||
| James Brian Hussey | Registered representative | Jun 2013 (13y) | ||
| Sean Christian Bjork | Registered representative | Jun 2013 (13y) | ||
| Brent Douglas Neal | Registered representative | Jun 2013 (13y) | ||
| Denise Yvonne Scharfenberger | Registered representative | Jun 2013 (13y) | ||
| Peter Efstathios Drakatos | Registered representative | Jun 2013 (13y) | ||
| David Lee Bryant | Registered representative | Jun 2013 (13y) | ||
| John Thomas Jawor | Registered representative | Jun 2013 (13y) | ||
| Rebecca J Gill | Registered representative | Jun 2013 (13y) | ||
| Darwin Tongson Aguilo | Registered representative | Jun 2013 (13y) | ||
| Jean Lydia Murphy | Registered representative | Jun 2013 (13y) | ||
| Jeffrey James Schmeltekopf | Registered representative | CFP Chartered Financial Consultant | Jun 2013 (13y) | |
| Joel Leslie Rohn | Registered representative | Jun 2013 (13y) | ||
| Steven Kenneth Heger | Registered representative | Jun 2013 (13y) | ||
| James Hunter Strother | Registered representative | Jun 2013 (13y) | ||
| Daniel Henry Weninger | Registered representative | Jun 2013 (13y) | ||
| Stephanie Ann Stano | Registered representative | Jun 2013 (13y) | ||
| Zachary Fuchs | Registered representative | Jun 2013 (13y) | ||
| Mark Aubrey Langdon | Registered representative | Jul 2013 (13y) | ||
| Kenneth Brian Heck | Registered representative | Jul 2013 (13y) | ||
| Kenneth Martin Wince | Registered representative | Jul 2013 (13y) | ||
| Francois Patrik Marquis | Registered representative | Jul 2013 (13y) | ||
| Stephen Roy Ferrell | Registered representative | Jul 2013 (13y) | ||
| Joseph Bennett Frost | Registered representative | Jul 2013 (13y) | ||
| Kelly Alexandria Markowitz | Registered representative | Jul 2013 (13y) | ||
| Wesley Ray Whitehead | Registered representative | Jul 2013 (13y) | ||
| Steven S Leshner | Registered representative | Chartered Financial Consultant | Jul 2013 (13y) | |
| Ali Ramazan Arik | Registered representative | Jul 2013 (13y) | ||
| Victoria P Christensen | Registered representative | Jul 2013 (13y) | ||
| Frank Anthony Mularz Iii | Registered representative | Jul 2013 (13y) | ||
| Nicolas Paul Tabellion | Registered representative | Jul 2013 (13y) | ||
| Matthew Jay Johnson | Registered representative | CFP | Jul 2013 (13y) | |
| Jordan Lindsay Phillips | Registered representative | Jul 2013 (13y) | ||
| Mark Francis Poslajko | Registered representative | Jul 2013 (13y) | ||
| Jami Ann Lunde | Registered representative | Jul 2013 (13y) | ||
| Karla Rene Barker | Registered representative | Jul 2013 (13y) | ||
| Jennifer Lynn Akins | Registered representative | CFP | Jul 2013 (13y) | |
| Daniel Allen Doughty | Registered representative | Aug 2013 (13y) | ||
| Douglas James Cooper | Registered representative | Aug 2013 (13y) | ||
| Frank Bert Bruno | Registered representative | CFP | Aug 2013 (13y) | |
| Claude William Allen | Registered representative | Aug 2013 (13y) | ||
| Justin Stuart Moore | Registered representative | Aug 2013 (13y) | ||
| Scott Joseph Bancroft | Registered representative | Aug 2013 (13y) | ||
| Joseph Francis Gaspari | Registered representative | Aug 2013 (13y) | ||
| Stephen Bragg Riley | Registered representative | Aug 2013 (13y) | ||
| Michael Stephen Jilling | Registered representative | Aug 2013 (13y) | ||
| Randal Thomas Eveland | Registered representative | CFP | Aug 2013 (13y) | |
| Stephen Anthony Jordan | Registered representative | CFP | Aug 2013 (13y) | |
| Heath Layton Courtright | Registered representative | Aug 2013 (13y) | ||
| Joseph D Palombi | Registered representative | Aug 2013 (13y) | ||
| Ralph Michaels Slocum | Registered representative | Aug 2013 (13y) | ||
| Michael Ibrahim Shalhoub | Registered representative | Aug 2013 (13y) | ||
| Thomas Charles Corcimiglia | Registered representative | CFP | Aug 2013 (13y) | |
| Gina Renee Johnston | Registered representative | Aug 2013 (13y) | ||
| Noah Louis Destefano | Registered representative | Aug 2013 (13y) | ||
| Eduardo Gimenez | Registered representative | CFP | Aug 2013 (13y) | |
| Eric Hartmann Hansen | Registered representative | Aug 2013 (13y) | ||
| Jared Russell Cornelius | Registered representative | Aug 2013 (13y) | ||
| Carolyn Patricia Menker | Registered representative | Sep 2013 (13y) | ||
| Charles Franklin Brown | Registered representative | Sep 2013 (13y) | ||
| Michael Anthony Abramo | Registered representative | Sep 2013 (13y) | ||
| Rebecca Lyn Sequeira | Registered representative | Sep 2013 (13y) | ||
| Michael Hall Robinson | Registered representative | CFP | Sep 2013 (13y) | |
| Charles F Orngard | Registered representative | Sep 2013 (13y) | ||
| Leah Beth Thomas Williams | Registered representative | Sep 2013 (13y) | ||
| Brett R Gillespie | Registered representative | Sep 2013 (13y) | ||
| David R Andrew | Registered representative | Sep 2013 (13y) | ||
| Marvin Dermot Waider | Registered representative | CFP | Sep 2013 (13y) | |
| Nicholas Paul Spiratos | Registered representative | Sep 2013 (13y) | ||
| William Aaron Irving | Registered representative | CFP | Sep 2013 (13y) | |
| Gregory Theodore Degray | Registered representative | Sep 2013 (13y) | ||
| Michael Shane Patton | Registered representative | CFP | Sep 2013 (13y) | |
| Nicholas C Brown | Registered representative | Sep 2013 (13y) | ||
| James Keith Wilkins | Registered representative | Sep 2013 (13y) | ||
| Shane Patrick Smith | Registered representative | CFP Chartered Financial Consultant | Sep 2013 (13y) | |
| Daniel Arney | Registered representative | Sep 2013 (13y) | ||
| Louis Thomas Robertson | Registered representative | CFP | Sep 2013 (13y) | |
| Michael P. Mccarthy | Registered representative | Sep 2013 (13y) | ||
| Amanda Dunaway Schween | Registered representative | Oct 2013 (13y) | ||
| Amanda Kong Phimmachack | Registered representative | CFP | Oct 2013 (13y) | |
| Bradley Christopher Towers | Registered representative | Oct 2013 (13y) | ||
| James Maurice Farmer | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| John Jin Otto | Registered representative | Oct 2013 (13y) | ||
| Karry Jean Maciak | Registered representative | Oct 2013 (13y) | ||
| Christopher Robin Rainer | Registered representative | Oct 2013 (13y) | ||
| Jennifer Sue Darvis | Registered representative | Oct 2013 (13y) | ||
| Matthew Adam Stroup | Registered representative | Oct 2013 (13y) | ||
| Susan Joy Merrick | Registered representative | Oct 2013 (13y) | ||
| John Curtis Floyd | Registered representative | CFP | Oct 2013 (13y) | |
| Michael James Parsons | Registered representative | Oct 2013 (13y) | ||
| Michael J Frechette | Registered representative | Oct 2013 (13y) | ||
| Anton R Brog | Registered representative | Oct 2013 (13y) | ||
| Blake Jason Greiter | Registered representative | Oct 2013 (13y) | ||
| James Vincent Billman Golemme | Registered representative | Oct 2013 (13y) | ||
| Connie Winokur | Registered representative | Oct 2013 (13y) | ||
| Debbie Winokur | Registered representative | Oct 2013 (13y) | ||
| John Wesley Holler | Registered representative | Oct 2013 (13y) | ||
| Carlos Alberto Romero | Registered representative | Nov 2013 (13y) | ||
| David Wayne Plouse | Registered representative | Nov 2013 (13y) | ||
| Michael John Emerson | Registered representative | Nov 2013 (13y) | ||
| Christopher Alan Swanson | Registered representative | CFP | Nov 2013 (13y) | |
| Joseph Anthony Latona | Registered representative | CFP | Nov 2013 (13y) | |
| Kevin E. Mcgillivray | Registered representative | Nov 2013 (13y) | ||
| Chadwick Shull | Registered representative | Nov 2013 (13y) | ||
| James Anthony Brewer | Registered representative | Nov 2013 (13y) | ||
| Lara W. Burgess | Registered representative | Nov 2013 (13y) | ||
| Steven Frederick Rau | Registered representative | Nov 2013 (13y) | ||
| April Annette Mastey | Registered representative | Nov 2013 (13y) | ||
| Christopher Lee Stiver | Registered representative | Nov 2013 (13y) | ||
| William Neilson Wheeler | Registered representative | Nov 2013 (13y) | ||
| Paul David Childress | Registered representative | Nov 2013 (13y) | ||
| David Neyland Alford | Registered representative | Nov 2013 (13y) | ||
| Patrick John Gillis | Registered representative | Nov 2013 (13y) | ||
| Andrea Danielle Edwards | Registered representative | Nov 2013 (13y) | ||
| Thomas Sidney Holland | Registered representative | Nov 2013 (13y) | ||
| John Louis Goldsmith | Registered representative | Nov 2013 (13y) | ||
| Young Hoon Yoo | Registered representative | Nov 2013 (13y) | ||
| Antonio Americo Ciocca | Registered representative | Nov 2013 (13y) | ||
| James Francis Dubnansky | Registered representative | Nov 2013 (13y) | ||
| Mark Andrew Estante | Registered representative | Dec 2013 (13y) | ||
| Paul Michael Hendrickson | Registered representative | Dec 2013 (13y) | ||
| Andrew Hale Slankster | Registered representative | Dec 2013 (13y) | ||
| Thomas J Kelly | Registered representative | Dec 2013 (13y) | ||
| Christopher Robert Owen | Registered representative | Dec 2013 (13y) | ||
| Michelle Uyen Vu | Registered representative | Dec 2013 (13y) | ||
| Jason Daniel Lawrence | Registered representative | CFP | Dec 2013 (13y) | |
| Craig Robert Nett | Registered representative | Dec 2013 (13y) | ||
| Kevin Grant Nichols | Registered representative | Dec 2013 (13y) | ||
| Rand Lewis Rodgers | Registered representative | Dec 2013 (13y) | ||
| Gregory Thomas Cimmino | Registered representative | CFP Chartered Financial Consultant | Dec 2013 (13y) | |
| Daniel Harlan Boone | Registered representative | Dec 2013 (13y) | ||
| Derek L Johnson | Registered representative | Dec 2013 (13y) | ||
| Marc Thomas Mattarochia | Registered representative | Dec 2013 (13y) | ||
| Thomas Patrick Nee | Registered representative | Dec 2013 (13y) | ||
| Art He | Registered representative | Dec 2013 (13y) | ||
| Byron C. Williamson | Registered representative | Dec 2013 (13y) | ||
| Stanley Dean Milne | Registered representative | Dec 2013 (13y) | ||
| Tara Lea Holthus | Registered representative | Dec 2013 (13y) | ||
| Frank A Orlando | Registered representative | Dec 2013 (13y) | ||
| Jason Michael Stephens | Registered representative | Dec 2013 (13y) | ||
| Paul Richard Stephens | Registered representative | Dec 2013 (13y) | ||
| Rose Marie Cook | Registered representative | Dec 2013 (13y) | ||
| Tim J Rhoades | Registered representative | Dec 2013 (13y) | ||
| James Anthony Kreutzer | Registered representative | Dec 2013 (13y) | ||
| Khloe Uma Karova | Registered representative | CFP | Dec 2013 (13y) | |
| Andrew Gilbert Fraley | Registered representative | CFP | Dec 2013 (13y) | |
| Daniel R Peterson | Registered representative | Dec 2013 (13y) | ||
| James Clinton Kramer | Registered representative | CFP | Dec 2013 (13y) | |
| James Jonathan Rudnick | Registered representative | Dec 2013 (13y) | ||
| Jennifer Lynn Lownsbury | Registered representative | Dec 2013 (13y) | ||
| Michael David Arnold | Registered representative | Dec 2013 (13y) | ||
| Robert David Bayer | Registered representative | Chartered Financial Consultant | Dec 2013 (13y) | |
| Scott Christopher Hallett | Registered representative | CFP | Dec 2013 (13y) | |
| Vincent James Richtar | Registered representative | Dec 2013 (13y) | ||
| Willie Jefferson Price | Registered representative | CFP | Dec 2013 (13y) | |
| Aaron Eugene Larson | Registered representative | Dec 2013 (13y) | ||
| David Chalfant Toohey | Registered representative | CFP | Dec 2013 (13y) | |
| Gerald Lester Asplund | Registered representative | CFP | Dec 2013 (13y) | |
| Jeffrey Thomas Erpelding | Registered representative | Personal Financial Specialist CFA | Dec 2013 (13y) | |
| Kyle William Judd | Registered representative | Dec 2013 (13y) | ||
| Mark Ian Magnuson | Registered representative | CFP | Dec 2013 (13y) | |
| Nathan Michael Farrell | Registered representative | Dec 2013 (13y) | ||
| Patrick Lynn Goltz | Registered representative | Dec 2013 (13y) | ||
| Peter Preston Mullin | Registered representative | Dec 2013 (13y) | ||
| Warren Frederick Ludford | Registered representative | CFP | Dec 2013 (13y) | |
| Janel Marie Goff | Registered representative | Dec 2013 (13y) | ||
| W. Skyler Harrison | Registered representative | Dec 2013 (13y) | ||
| Benjamin E. Casner | Registered representative | Jan 2014 (13y) | ||
| Carl Edwin Smith | Registered representative | Jan 2014 (13y) | ||
| Kirby Charles Brown | Registered representative | Jan 2014 (13y) | ||
| Lisa Lea Moser | Registered representative | Jan 2014 (13y) | ||
| Pamela Ann Blodgett | Registered representative | CFP | Jan 2014 (13y) | |
| Landon B Hopson | Registered representative | Jan 2014 (13y) | ||
| Patrick Michael Reagan | Registered representative | Jan 2014 (13y) | ||
| James William Filippi | Registered representative | Jan 2014 (13y) | ||
| Darren Douglas Horejsi | Registered representative | Jan 2014 (13y) | ||
| John Carroll Farley | Registered representative | Jan 2014 (13y) | ||
| Leslie C Montana | Registered representative | CFP | Jan 2014 (13y) | |
| Angela Newman Blanks | Registered representative | Jan 2014 (13y) | ||
| Adam J Chaney | Registered representative | Jan 2014 (13y) | ||
| Juan Pablo Bejarano | Registered representative | Jan 2014 (13y) | ||
| Benjamin Andrew Fanning | Registered representative | CFP | Jan 2014 (13y) | |
| Nathanial Martin Phillips | Registered representative | CFP | Jan 2014 (13y) | |
| Jason H Harris | Registered representative | Jan 2014 (13y) | ||
| Kara Wilburn Burkholder | Registered representative | Jan 2014 (13y) | ||
| Kris V Stockhammer | Registered representative | Jan 2014 (13y) | ||
| Lindsay Jo Dockter Holub | Registered representative | Jan 2014 (13y) | ||
| Lorilee Pearl Wells | Registered representative | Jan 2014 (13y) | ||
| David C Kirchfeld | Registered representative | Jan 2014 (13y) | ||
| Stephan Vasilios Choulos | Registered representative | Jan 2014 (13y) | ||
| Amy Loraine O'keefe | Registered representative | Jan 2014 (13y) | ||
| Annette Sue Conley | Registered representative | Jan 2014 (13y) | ||
| Brandon Loring Strangis | Registered representative | Jan 2014 (13y) | ||
| Brian Chance Hooper | Registered representative | CFP | Jan 2014 (13y) | |
| Brian Jackie Thorsten | Registered representative | Jan 2014 (13y) | ||
| Christian Paul Nelson | Registered representative | Jan 2014 (13y) | ||
| Christopher Ryan Sieg | Registered representative | Jan 2014 (13y) | ||
| Dale Gregory Schoenberg | Registered representative | Jan 2014 (13y) | ||
| Daniel Alan Gieseke | Registered representative | Jan 2014 (13y) | ||
| Darin Dale Rokke | Registered representative | Jan 2014 (13y) | ||
| David Leonard White | Registered representative | CFP | Jan 2014 (13y) | |
| David Wayne Boniface | Registered representative | Jan 2014 (13y) | ||
| Gregg Kenneth Burrell | Registered representative | Jan 2014 (13y) | ||
| Heather Marian Harden | Registered representative | Jan 2014 (13y) | ||
| James William Kalina | Registered representative | Jan 2014 (13y) | ||
| Jeffrey Scott Hagen | Registered representative | CFP | Jan 2014 (13y) | |
| Kenneth Russell Quist | Registered representative | Jan 2014 (13y) | ||
| Kevin Joseph Huseth | Registered representative | Jan 2014 (13y) | ||
| Lance Mitchell Wagner | Registered representative | Jan 2014 (13y) | ||
| Lawrence John Donna | Registered representative | Jan 2014 (13y) | ||
| Leif Martin Hagen | Registered representative | Jan 2014 (13y) | ||
| Mark Edwin Strangis | Registered representative | Jan 2014 (13y) | ||
| Mark Owen Stephan | Registered representative | Jan 2014 (13y) | ||
| Michael Duane Haverkamp | Registered representative | CFP | Jan 2014 (13y) | |
| Natalie Jo Merkley | Registered representative | Jan 2014 (13y) | ||
| Randy Allen Asmus | Registered representative | Jan 2014 (13y) | ||
| Richard Craig Johnston | Registered representative | CFP | Jan 2014 (13y) | |
| Ronald Peter Kosel | Registered representative | Jan 2014 (13y) | ||
| Scott D Mundal | Registered representative | Jan 2014 (13y) | ||
| Terry Jon Hjort | Registered representative | Jan 2014 (13y) | ||
| Thomas Norbert Spanier | Registered representative | Jan 2014 (13y) | ||
| Todd Edward Songstad | Registered representative | Jan 2014 (13y) | ||
| Todd Russell Ustby | Registered representative | Jan 2014 (13y) | ||
| Wendy Jean Kuntz | Registered representative | Jan 2014 (13y) | ||
| William Joseph Lagoo | Registered representative | Jan 2014 (13y) | ||
| Carolyn Thigpen Hodge | Registered representative | CFP | Jan 2014 (13y) | |
| William Richard Hennessey | Registered representative | Jan 2014 (13y) | ||
| James Ray Sands | Registered representative | Jan 2014 (13y) | ||
| James Emory Garr | Registered representative | Jan 2014 (13y) | ||
| Brandon Charles Brinkman | Registered representative | Jan 2014 (13y) | ||
| Erin Klisser Arellano | Registered representative | Jan 2014 (13y) | ||
| Andrew Timothy Doughty | Registered representative | CFP | Feb 2014 (12y) | |
| Kim Hank Lim | Registered representative | Feb 2014 (12y) | ||
| Susan Jennifer Helm | Registered representative | Feb 2014 (12y) | ||
| Michelle Marie Bissler | Registered representative | Feb 2014 (12y) | ||
| Alan Joseph Becker | Registered representative | Feb 2014 (12y) | ||
| Kyle Lawrence Viehl | Registered representative | Feb 2014 (12y) | ||
| Stacy Wade Spearman | Registered representative | Feb 2014 (12y) | ||
| Joel S Vergel De Dios | Registered representative | Feb 2014 (12y) | ||
| Leeann Barron | Registered representative | Feb 2014 (12y) | ||
| Christopher James Downey | Registered representative | Feb 2014 (12y) | ||
| Mark Teague | Registered representative | CFP | Feb 2014 (12y) | |
| Jessica L Duncklee | Registered representative | Feb 2014 (12y) | ||
| James Troy Tuttle | Registered representative | Feb 2014 (12y) | ||
| Caroline Carrie Pezzano | Registered representative | Feb 2014 (12y) | ||
| Curtis Lee Morrison | Registered representative | Feb 2014 (12y) | ||
| Robert Gray Davis | Registered representative | Feb 2014 (12y) | ||
| Kevin Ray Wilson | Registered representative | Feb 2014 (12y) | ||
| Matthew Paul Stutes | Registered representative | Feb 2014 (12y) | ||
| Jennifer Lynn Kreutzer | Registered representative | CFP | Feb 2014 (12y) | |
| Daniel Lee Weishaar | Registered representative | Feb 2014 (12y) | ||
| Jeffrey Obermeyer Parker | Registered representative | Feb 2014 (12y) | ||
| Kimberly C Sutton | Registered representative | Feb 2014 (12y) | ||
| Marie Christina Loyd | Registered representative | Feb 2014 (12y) | ||
| Russell Lew Warye | Registered representative | Feb 2014 (12y) | ||
| Daniel Gregory Strauss | Registered representative | Feb 2014 (12y) | ||
| Joseph Randall Miller | Registered representative | Feb 2014 (12y) | ||
| Mary Ellen Twigg | Registered representative | Feb 2014 (12y) | ||
| George Gregory Bernhard | Registered representative | CFP | Feb 2014 (12y) | |
| James Vincent Burns | Registered representative | Chartered Financial Consultant | Feb 2014 (12y) | |
| Sarah Lee Keefer | Registered representative | Feb 2014 (12y) | ||
| Trina Nachea Duhon Aams | Registered representative | Feb 2014 (12y) | ||
| Timothy Alan Niebel | Registered representative | Mar 2014 (12y) | ||
| Jeffery Allan Wehri | Registered representative | Mar 2014 (12y) | ||
| Steven Douglas Jillson | Registered representative | Mar 2014 (12y) | ||
| Sean Patrick Thomas Tobin | Registered representative | Mar 2014 (12y) | ||
| Brett Wayne Ginn | Registered representative | Mar 2014 (12y) | ||
| Nathan Vanderford | Registered representative | Mar 2014 (12y) | ||
| Sean B Rosean | Registered representative | Mar 2014 (12y) | ||
| Trisha C Kent White | Registered representative | Mar 2014 (12y) | ||
| William Lewis Eccles | Registered representative | Mar 2014 (12y) | ||
| Denava Brooke Horn | Registered representative | Mar 2014 (12y) | ||
| Karen Sue Hermerath Harvey | Registered representative | Mar 2014 (12y) | ||
| Jennifer Crisologo | Registered representative | Mar 2014 (12y) | ||
| Thomas Scott Teasck | Registered representative | Mar 2014 (12y) | ||
| Eric Scott Gregson | Registered representative | Mar 2014 (12y) | ||
| Joseph Francis Koehler | Registered representative | CFP | Mar 2014 (12y) | |
| Lisa Chaffin Abbott | Registered representative | Mar 2014 (12y) | ||
| Cynthia Louise Frazier | Registered representative | Mar 2014 (12y) | ||
| Doris Ann Dollar Kuretich | Registered representative | Mar 2014 (12y) | ||
| John S Curls | Registered representative | Mar 2014 (12y) | ||
| Richard Douglas Chiarenza | Registered representative | Mar 2014 (12y) | ||
| Stephen Wallace Kowitski | Registered representative | Mar 2014 (12y) | ||
| Davida Mcguire Carter | Registered representative | Mar 2014 (12y) | ||
| Joshua Lee Hoisington | Registered representative | CFP | Mar 2014 (12y) | |
| Gregory M Stahl | Registered representative | CFP | Mar 2014 (12y) | |
| Mia Elyse Wallack | Registered representative | Mar 2014 (12y) | ||
| Nathaniel Robert Dutko | Registered representative | Apr 2014 (12y) | ||
| John Robert Milder | Registered representative | Apr 2014 (12y) | ||
| Bridget Mahoney Grella | Registered representative | Apr 2014 (12y) | ||
| Christa N Ballew | Registered representative | Apr 2014 (12y) | ||
| Bradley Shane Davis | Registered representative | Apr 2014 (12y) | ||
| Lori Ann Wickes | Registered representative | Apr 2014 (12y) | ||
| Welthon Antonio Perez | Registered representative | Apr 2014 (12y) | ||
| Adam Scott Vartanyan | Registered representative | Apr 2014 (12y) | ||
| Gregory Ellis Gann | Registered representative | Apr 2014 (12y) | ||
| Elian Euric Levatino | Registered representative | CFP | Apr 2014 (12y) | |
| Robert Francis Cunningham | Registered representative | Apr 2014 (12y) | ||
| Grant Aaron Ternes | Registered representative | Apr 2014 (12y) | ||
| Karl James Nicholas Thoeni | Registered representative | Apr 2014 (12y) | ||
| Anthony R Lombardi | Registered representative | Apr 2014 (12y) | ||
| Brian James Mclaughlin | Registered representative | Apr 2014 (12y) | ||
| Kelsey Lynn Wonser | Registered representative | Apr 2014 (12y) | ||
| Brian David Pedroza | Registered representative | May 2014 (12y) | ||
| Matthew Joseph Ferris | Registered representative | May 2014 (12y) | ||
| Edward Jerome Bullano | Registered representative | May 2014 (12y) | ||
| Claudia M Vecchi | Registered representative | May 2014 (12y) | ||
| Ryan Brett Reeves | Registered representative | CFP | May 2014 (12y) | |
| Timothy Blane Sease | Registered representative | CFP | May 2014 (12y) | |
| Andrew A Dalrymple | Registered representative | CFP | May 2014 (12y) | |
| Heather Mckinney Venrick | Registered representative | May 2014 (12y) | ||
| Kristina Page Campbell | Registered representative | May 2014 (12y) | ||
| Neal Webb | Registered representative | May 2014 (12y) | ||
| Treze J Beasley | Registered representative | CFP | May 2014 (12y) | |
| Zachary Ryan Volousky | Registered representative | May 2014 (12y) | ||
| Robert Clements | Registered representative | Chartered Financial Consultant | May 2014 (12y) | |
| Stephen Michael Thomas | Registered representative | May 2014 (12y) | ||
| Stephen Albert Shake | Registered representative | May 2014 (12y) | ||
| Jason Adam Trzcinski | Registered representative | May 2014 (12y) | ||
| Timothy Lee Kinsinger | Registered representative | May 2014 (12y) | ||
| Joseph D Christopoulos | Registered representative | May 2014 (12y) | ||
| Jon C Williams | Registered representative | May 2014 (12y) | ||
| Michael Scott Boss | Registered representative | May 2014 (12y) | ||
| Mitchell Hutto Hesen | Registered representative | CFP Chartered Financial Consultant | May 2014 (12y) | |
| Mark Alan Steen | Registered representative | May 2014 (12y) | ||
| Ryan O Haslam | Registered representative | CFP | May 2014 (12y) | |
| Margaret Egan Benjamin | Registered representative | May 2014 (12y) | ||
| Stefanie Spranley Childs | Registered representative | May 2014 (12y) | ||
| Paul Angelo Curnutte | Registered representative | May 2014 (12y) | ||
| John Joseph Dardis | Registered representative | CFP | Jun 2014 (12y) | |
| Mason Graham Couvillon | Registered representative | Jun 2014 (12y) | ||
| Scott Akiyo Nishida | Registered representative | Jun 2014 (12y) | ||
| Justin Michael Sanders | Registered representative | CFP | Jun 2014 (12y) | |
| Ryan James Smith | Registered representative | Jun 2014 (12y) | ||
| Courtney Michael Wood | Registered representative | Jun 2014 (12y) | ||
| Courtney Sue Sparks | Registered representative | Jun 2014 (12y) | ||
| Sean Scott Francisco | Registered representative | Jun 2014 (12y) | ||
| Robert Ray Ross | Registered representative | Jun 2014 (12y) | ||
| Emilio John Morrone | Registered representative | CFP | Jun 2014 (12y) | |
| Colby J Young | Registered representative | CFP | Jun 2014 (12y) | |
| Todd German | Registered representative | Jun 2014 (12y) | ||
| Eric Douglas Taylor | Registered representative | Jun 2014 (12y) | ||
| Michael Frederick Myers | Registered representative | Personal Financial Specialist | Jun 2014 (12y) | |
| Jerald T Pawlowicz | Registered representative | Jun 2014 (12y) | ||
| Kent Schmidt | Registered representative | Jun 2014 (12y) | ||
| Wendy Katherine Malas | Registered representative | Jun 2014 (12y) | ||
| Brandi A Hoover | Registered representative | Jun 2014 (12y) | ||
| Stacey Serafini Pittman | Registered representative | CFP | Jun 2014 (12y) | |
| Stacer Elizabeth Varga | Registered representative | CFP | Jun 2014 (12y) | |
| Billy J Cox | Registered representative | Jun 2014 (12y) | ||
| Donalee Marie Gonzales | Registered representative | CFP | Jun 2014 (12y) | |
| Molly Jo Miller | Registered representative | Jun 2014 (12y) | ||
| Jeffrey George Waldron | Registered representative | Jun 2014 (12y) | ||
| James Michael Mrdjenovich | Registered representative | CFP | Jun 2014 (12y) | |
| Bart Alan Emig | Registered representative | Jun 2014 (12y) | ||
| Iliana Kline | Registered representative | Jul 2014 (12y) | ||
| Jessica Lynn Dunning | Registered representative | Jul 2014 (12y) | ||
| Keith Anthony Digregorio | Registered representative | Jul 2014 (12y) | ||
| Jennifer Dexter Dipietro | Registered representative | Jul 2014 (12y) | ||
| Deborah R Swank | Registered representative | Jul 2014 (12y) | ||
| Rena Windsor Mcneal | Registered representative | Jul 2014 (12y) | ||
| Steven Clyde Edwards | Registered representative | Jul 2014 (12y) | ||
| Robert Scott Stillman | Registered representative | Jul 2014 (12y) | ||
| Steven Shaotsung Chang | Registered representative | Jul 2014 (12y) | ||
| John Carlos Sarlat | Registered representative | Aug 2014 (12y) | ||
| Shaun Michael Crawley | Registered representative | CFP | Aug 2014 (12y) | |
| Dennis D Richardson | Registered representative | Aug 2014 (12y) | ||
| Derek Philip Mathison | Registered representative | CFP | Aug 2014 (12y) | |
| Jeffery Scott Uselton | Registered representative | CFP | Aug 2014 (12y) | |
| Julie Renee Bates | Registered representative | CFP Chartered Financial Consultant | Aug 2014 (12y) | |
| Steven C Gillespie | Registered representative | CFP | Aug 2014 (12y) | |
| Gabriel Rangel | Registered representative | Aug 2014 (12y) | ||
| Gary Todd Pancoast | Registered representative | Aug 2014 (12y) | ||
| Michael John Kenison | Registered representative | Aug 2014 (12y) | ||
| Alfonso Anguiano | Registered representative | Aug 2014 (12y) | ||
| John Scott Williams | Registered representative | Aug 2014 (12y) | ||
| Mauricio Guadarrama | Registered representative | Aug 2014 (12y) | ||
| James Louis Houston | Registered representative | Aug 2014 (12y) | ||
| Julie Joyce Riemer | Registered representative | Aug 2014 (12y) | ||
| Larry Gregg Adams | Registered representative | Aug 2014 (12y) | ||
| Thomas Joseph Cammisa | Registered representative | CFP | Aug 2014 (12y) | |
| Stephanie Lee Ring | Registered representative | Aug 2014 (12y) | ||
| Joseph Allen Mcclung | Registered representative | Aug 2014 (12y) | ||
| Daniel Joseph Gandolph | Registered representative | Aug 2014 (12y) | ||
| David Russell Neterer | Registered representative | Aug 2014 (12y) | ||
| Evelyn Kay Young | Registered representative | CFP | Aug 2014 (12y) | |
| Joseph Leonard Jimenez | Registered representative | Aug 2014 (12y) | ||
| Joshua David Elmore | Registered representative | CFP | Aug 2014 (12y) | |
| Shawnda Marie Sparks | Registered representative | Aug 2014 (12y) | ||
| Richard Dean Mitchell | Registered representative | CFP | Aug 2014 (12y) | |
| Robert Claude Norman | Registered representative | CFP | Aug 2014 (12y) | |
| Brian James Koch | Registered representative | Aug 2014 (12y) | ||
| Christopher Charles Keen | Registered representative | Aug 2014 (12y) | ||
| Jonathan Robert Benner | Registered representative | Aug 2014 (12y) | ||
| Krystal Kathryn Emge | Registered representative | Sep 2014 (12y) | ||
| Laura Mae Depergola | Registered representative | Sep 2014 (12y) | ||
| Rebecca Dolva Jean Watson | Registered representative | Sep 2014 (12y) | ||
| Amber Tamora Phoenix | Registered representative | Sep 2014 (12y) | ||
| Wendy Louise Marshall | Registered representative | Sep 2014 (12y) | ||
| Lori Beth Marion | Registered representative | Sep 2014 (12y) | ||
| Nathan Douglas Jarman | Registered representative | CFP | Sep 2014 (12y) | |
| Jack Anthony Biedebach | Registered representative | CFP | Sep 2014 (12y) | |
| Giuseppe Pannarale | Registered representative | Sep 2014 (12y) | ||
| Kevin John Alcaro | Registered representative | Sep 2014 (12y) | ||
| David Paul Doane | Registered representative | Sep 2014 (12y) | ||
| Antenielle Marie Bell | Registered representative | Sep 2014 (12y) | ||
| Stephanie Ann Nocerini | Registered representative | Sep 2014 (12y) | ||
| Vincent Mastro | Registered representative | Sep 2014 (12y) | ||
| Angela Marie Sergent | Registered representative | Sep 2014 (12y) | ||
| Kristal Gail Waybright | Registered representative | Sep 2014 (12y) | ||
| Tia L Marrano | Registered representative | Oct 2014 (12y) | ||
| Beth Lynn Deklewa | Registered representative | Oct 2014 (12y) | ||
| Boyd C. Blair | Registered representative | Oct 2014 (12y) | ||
| Barbara Ann Stroup | Registered representative | Oct 2014 (12y) | ||
| Todd Lawrence Schuster | Registered representative | Oct 2014 (12y) | ||
| James Reimold | Registered representative | Oct 2014 (12y) | ||
| Ross Edward Shull | Registered representative | Oct 2014 (12y) | ||
| William E Reimold | Registered representative | Chartered Financial Consultant | Oct 2014 (12y) | |
| Matthew John Lucadano | Registered representative | Oct 2014 (12y) | ||
| Shane Patrick Terry | Registered representative | Oct 2014 (12y) | ||
| David Herman Tepper | Registered representative | Oct 2014 (12y) | ||
| Kendra Elizabeth Deal | Registered representative | Oct 2014 (12y) | ||
| Kristopher H Wilson | Registered representative | Oct 2014 (12y) | ||
| William Thomas Manolopoulos | Registered representative | CFP | Oct 2014 (12y) | |
| Daniel W Wood | Registered representative | Oct 2014 (12y) | ||
| Daryl Allan Salcedo | Registered representative | Oct 2014 (12y) | ||
| Clark M Hostetter | Registered representative | Oct 2014 (12y) | ||
| Cole Leroy Schmelzer | Registered representative | Oct 2014 (12y) | ||
| Michael Taylor Cohen | Registered representative | Oct 2014 (12y) | ||
| Christine Kazuko Masuda | Registered representative | Oct 2014 (12y) | ||
| Justin D Novara | Registered representative | CFP | Oct 2014 (12y) | |
| Dallas Preston Garner | Registered representative | Oct 2014 (12y) | ||
| Cesar Macedo | Registered representative | CFP | Nov 2014 (12y) | |
| Nathaniel Ihm | Registered representative | Nov 2014 (12y) | ||
| Kevin M Raftery | Registered representative | Nov 2014 (12y) | ||
| Paul Carmen Panuccio | Registered representative | Nov 2014 (12y) | ||
| Denika L Tokunaga | Registered representative | Nov 2014 (12y) | ||
| Paul William Zander | Registered representative | Nov 2014 (12y) | ||
| Miguel Lozano | Registered representative | Nov 2014 (12y) | ||
| Philip B Hayes | Registered representative | Nov 2014 (12y) | ||
| Olimpo Salinas | Registered representative | Nov 2014 (12y) | ||
| Robert Charles Beck | Registered representative | Nov 2014 (12y) | ||
| Christina A White | Registered representative | Nov 2014 (12y) | ||
| Benjamin Levine | Registered representative | Nov 2014 (12y) | ||
| Kristopher Kidwell | Registered representative | Nov 2014 (12y) | ||
| Aaron Scott Colby | Registered representative | Nov 2014 (12y) | ||
| Jeff Jafolla | Registered representative | Nov 2014 (12y) | ||
| Phillip Andrew Curtis | Registered representative | CFP | Nov 2014 (12y) | |
| Wendy Ann Vanantwerp | Registered representative | CFP | Nov 2014 (12y) | |
| Jess William Degabriele | Registered representative | Dec 2014 (12y) | ||
| Andrew David Campbell | Registered representative | Dec 2014 (12y) | ||
| Emmanuel James Tsesmelis | Registered representative | Dec 2014 (12y) | ||
| Raymond Marcus Hrin | Registered representative | Dec 2014 (12y) | ||
| Kelsey Christopher Bengoa | Registered representative | Dec 2014 (12y) | ||
| Michael Scott Neal | Registered representative | Dec 2014 (12y) | ||
| Pablo Folco | Registered representative | Dec 2014 (12y) | ||
| James William Garrity | Registered representative | Dec 2014 (12y) | ||
| Christopher Connell Barton | Registered representative | Dec 2014 (12y) | ||
| John P Rudningen | Registered representative | Dec 2014 (12y) | ||
| Carrie E Harth | Registered representative | Dec 2014 (12y) | ||
| Jennifer D Campbell | Registered representative | Dec 2014 (12y) | ||
| Joseph Dee Bua | Registered representative | Dec 2014 (12y) | ||
| Matthew Timothy Mullenneaux | Registered representative | Dec 2014 (12y) | ||
| Kari Lynne Arrasmith | Registered representative | CFP | Dec 2014 (12y) | |
| Milton Oliver Booth | Registered representative | Dec 2014 (12y) | ||
| Man Chung Chau | Registered representative | Dec 2014 (12y) | ||
| Andrew Daniel Voeltner | Registered representative | CFP | Dec 2014 (12y) | |
| Brian Scott Simmons | Registered representative | Dec 2014 (12y) | ||
| Stephen C Ziblut | Registered representative | Dec 2014 (12y) | ||
| Bradley John Augustine | Registered representative | Dec 2014 (12y) | ||
| Geoffrey Charles Sadek | Registered representative | Dec 2014 (12y) | ||
| Michael F Kent | Registered representative | Dec 2014 (12y) | ||
| Jason Thomas Free | Registered representative | Dec 2014 (12y) | ||
| Robert Henry Junge | Registered representative | CFP | Dec 2014 (12y) | |
| Jared Douglas Whittey | Registered representative | Jan 2015 (12y) | ||
| Jason Michael Lindholm | Registered representative | Jan 2015 (12y) | ||
| William George Lethemon | Registered representative | Jan 2015 (12y) | ||
| James Daniel Longe | Registered representative | Jan 2015 (12y) | ||
| Steven Johnson | Registered representative | Jan 2015 (12y) | ||
| Jeffrey Michael Meiling | Registered representative | Jan 2015 (12y) | ||
| Jonathan Edward Peirson | Registered representative | CFP | Jan 2015 (12y) | |
| Julie Lynn Rice | Registered representative | Jan 2015 (12y) | ||
| Michael Anthony Santoro | Registered representative | Jan 2015 (12y) | ||
| Michael Joseph Kelley | Registered representative | Jan 2015 (12y) | ||
| Roosevelt Emanual Grayson | Registered representative | Jan 2015 (12y) | ||
| Sharon Gail Joseph | Registered representative | Jan 2015 (12y) | ||
| James Bradford Lee | Registered representative | Jan 2015 (12y) | ||
| Bethany Brie Colflesh | Registered representative | Jan 2015 (12y) | ||
| David Alan Fink | Registered representative | Jan 2015 (12y) | ||
| Benjamin Benzaken | Registered representative | Jan 2015 (12y) | ||
| Joel Warren Malakoff | Registered representative | CFP | Jan 2015 (12y) | |
| Jacques Ariel Bolivar | Registered representative | CFP | Jan 2015 (12y) | |
| Nicholas Hensley | Registered representative | Jan 2015 (12y) | ||
| Amber Nicole Drinkwater | Registered representative | Jan 2015 (12y) | ||
| John Paul Miller | Registered representative | Jan 2015 (12y) | ||
| Kenneth Christopher Lindner | Registered representative | Jan 2015 (12y) | ||
| Nicholas Adam Abelow | Registered representative | Jan 2015 (12y) | ||
| Noah James Mazur | Registered representative | Jan 2015 (12y) | ||
| Stephen Eric Devlin | Registered representative | CFP | Jan 2015 (12y) | |
| Craig Peter Rochin | Registered representative | Jan 2015 (12y) | ||
| Shelley Harris Moncrief | Registered representative | CFP | Jan 2015 (12y) | |
| Jennifer Jo Siefring | Registered representative | Jan 2015 (12y) | ||
| Neil Arthur Cain | Registered representative | CFP | Jan 2015 (12y) | |
| Tina Lee Brannan | Registered representative | CFP | Jan 2015 (12y) | |
| Allen Kent Broyles | Registered representative | Feb 2015 (11y) | ||
| Kevin Yuan Zhong Tang | Registered representative | CFP | Feb 2015 (11y) | |
| David L. Kent | Registered representative | Feb 2015 (11y) | ||
| Helen Cooper Pratt Thomas | Registered representative | Feb 2015 (11y) | ||
| James Thomas Albert | Registered representative | Feb 2015 (11y) | ||
| Jeannette Michelle Williams | Registered representative | Feb 2015 (11y) | ||
| Jacob L Sturgill | Registered representative | CFP | Feb 2015 (11y) | |
| Julie Ellen Groulx | Registered representative | Feb 2015 (11y) | ||
| Gregory Jason Mclean | Registered representative | Feb 2015 (11y) | ||
| Samir K Shah | Registered representative | Feb 2015 (11y) | ||
| Cheri S Keene | Registered representative | Feb 2015 (11y) | ||
| David Shipley | Registered representative | CFP | Feb 2015 (11y) | |
| Lisa Michele Evans | Registered representative | Chartered Financial Consultant | Feb 2015 (11y) | |
| Kody Eugene Seibold | Registered representative | Feb 2015 (11y) | ||
| Brian Ronald Nelson | Registered representative | Feb 2015 (11y) | ||
| Edwin Lemuel Cunningham | Registered representative | Feb 2015 (11y) | ||
| Eugene Berg | Registered representative | Feb 2015 (11y) | ||
| Monte Michael Meier | Registered representative | Feb 2015 (11y) | ||
| Kathy Lynn Phillips | Registered representative | Feb 2015 (11y) | ||
| Tami Lyn Tingey | Registered representative | Feb 2015 (11y) | ||
| Reagan Pollock Pettey | Registered representative | Mar 2015 (11y) | ||
| Jacob Joseph Gronewold | Registered representative | CFP | Mar 2015 (11y) | |
| Andrew Joseph Zimmer | Registered representative | Mar 2015 (11y) | ||
| Dianne Francine Jones | Registered representative | Mar 2015 (11y) | ||
| June Alison Chow | Registered representative | Mar 2015 (11y) | ||
| Spencer Nils Olson | Registered representative | Mar 2015 (11y) | ||
| Douglas Arthur Heal | Registered representative | Mar 2015 (11y) | ||
| Joel Keller Chaney | Registered representative | Mar 2015 (11y) | ||
| John Paul Saylor | Registered representative | Mar 2015 (11y) | ||
| Mark Nellis Foster | Registered representative | Mar 2015 (11y) | ||
| James Stephen Cruise | Registered representative | Mar 2015 (11y) | ||
| Perry Alan Silverman | Registered representative | Mar 2015 (11y) | ||
| Julia Katherine Earle | Registered representative | Mar 2015 (11y) | ||
| John Kanaday Carter | Registered representative | Mar 2015 (11y) | ||
| Kyle Frederick Hodges | Registered representative | CFP | Mar 2015 (11y) | |
| Paul W Solie | Registered representative | Mar 2015 (11y) | ||
| Seth Jason Kell | Registered representative | Mar 2015 (11y) | ||
| Matthew William Victory | Registered representative | Mar 2015 (11y) | ||
| Jeffrey Peter Stephan | Registered representative | Mar 2015 (11y) | ||
| Teresa K Wong | Registered representative | Mar 2015 (11y) | ||
| Brian David Slater | Registered representative | Apr 2015 (11y) | ||
| Daniel A Huegi | Registered representative | Apr 2015 (11y) | ||
| Thomas John Engen | Registered representative | Apr 2015 (11y) | ||
| Alec Tyson Horley | Registered representative | Apr 2015 (11y) | ||
| Olabisi Olugbenga Oduguwa | Registered representative | Apr 2015 (11y) | ||
| Neill Grant Simmons | Registered representative | Apr 2015 (11y) | ||
| Azhar Abbas Shah | Registered representative | Apr 2015 (11y) | ||
| Thomas Mathiesen | Registered representative | Apr 2015 (11y) | ||
| Geoffrey Adam Balkcom | Registered representative | Apr 2015 (11y) | ||
| Michelle L Wheeler | Registered representative | Apr 2015 (11y) | ||
| Mark Lynn Dennis | Registered representative | Apr 2015 (11y) | ||
| Kevin Joseph Miller | Registered representative | CFP | Apr 2015 (11y) | |
| Amy Marie Cooper | Registered representative | CFP | Apr 2015 (11y) | |
| Peter Robert Kaloustian | Registered representative | Apr 2015 (11y) | ||
| Suzanne Schmitz Laese | Registered representative | Apr 2015 (11y) | ||
| Adam E Hartzell | Registered representative | Apr 2015 (11y) | ||
| John William Lang | Registered representative | Apr 2015 (11y) | ||
| Nancy Elaine Loar | Registered representative | Apr 2015 (11y) | ||
| Stephen Theodore Clark | Registered representative | Apr 2015 (11y) | ||
| Tamara C King | Registered representative | Apr 2015 (11y) | ||
| Mark Adam Lebovitz | Registered representative | Apr 2015 (11y) | ||
| Mark Jeffrey Freilich | Registered representative | Apr 2015 (11y) | ||
| George Edward Borinski | Registered representative | Apr 2015 (11y) | ||
| Michael Howard Greenspun | Registered representative | Apr 2015 (11y) | ||
| Troy V Zerveskes | Registered representative | Apr 2015 (11y) | ||
| Patricia Ann Collins | Registered representative | Apr 2015 (11y) | ||
| Susan Cox Small | Registered representative | Apr 2015 (11y) | ||
| Jill Kirsten Singer | Registered representative | Apr 2015 (11y) | ||
| Charles Thomas Wimbish | Registered representative | May 2015 (11y) | ||
| Jason Morgan | Registered representative | May 2015 (11y) | ||
| Thomas Edward Jahn | Registered representative | CFP | May 2015 (11y) | |
| Danielle Marie Hennesen | Registered representative | CFP | May 2015 (11y) | |
| Diana Georgena Persaud | Registered representative | May 2015 (11y) | ||
| Linda A Herman | Registered representative | May 2015 (11y) | ||
| Margareth Rabelo Patino | Registered representative | May 2015 (11y) | ||
| Jerod Keith Cook | Registered representative | May 2015 (11y) | ||
| Matthew Earl Beagle | Registered representative | CFP | May 2015 (11y) | |
| Michael Terry Hofmann | Registered representative | May 2015 (11y) | ||
| Thomas Reagen Hurford | Registered representative | May 2015 (11y) | ||
| Byron Beene Boyd | Registered representative | May 2015 (11y) | ||
| Byron David Tapp | Registered representative | May 2015 (11y) | ||
| Daniel Shek Tung Moy | Registered representative | May 2015 (11y) | ||
| Francis Anthony Kenia | Registered representative | May 2015 (11y) | ||
| Christopher James Bruder | Registered representative | May 2015 (11y) | ||
| John Beehner | Registered representative | May 2015 (11y) | ||
| Kevin Lee Slocum | Registered representative | May 2015 (11y) | ||
| Michael Hayes Beck | Registered representative | May 2015 (11y) | ||
| Todd Wayne Welch | Registered representative | May 2015 (11y) | ||
| Bruce Craig Greening | Registered representative | May 2015 (11y) | ||
| Louis C. Rizzo | Registered representative | CFP | May 2015 (11y) | |
| Bruce Graev | Registered representative | CFP | May 2015 (11y) | |
| Ashley Michelle Anderson | Registered representative | May 2015 (11y) | ||
| Bradley Keith Hill | Registered representative | May 2015 (11y) | ||
| David Francis Schmidt | Registered representative | May 2015 (11y) | ||
| Ashli Elizabeth Estes | Registered representative | Jun 2015 (11y) | ||
| Mark Lawrence Helphinstine | Registered representative | Jun 2015 (11y) | ||
| Kelly L. Francis | Registered representative | Chartered Financial Consultant | Jun 2015 (11y) | |
| Thomas Ray Medlin | Registered representative | Jun 2015 (11y) | ||
| Jason Paul Kuhnle | Registered representative | Jun 2015 (11y) | ||
| Wilbur Earl Kline | Registered representative | Jun 2015 (11y) | ||
| Tyler Mikel Atkinson | Registered representative | CFP | Jun 2015 (11y) | |
| Tiffany Saites | Registered representative | Jun 2015 (11y) | ||
| Daniel Jack Jacoby | Registered representative | Jun 2015 (11y) | ||
| David Edward Casey | Registered representative | CFP | Jun 2015 (11y) | |
| Vincent Stephen Thomas | Registered representative | Jun 2015 (11y) | ||
| Matthew Cory Egner | Registered representative | Jun 2015 (11y) | ||
| Robert Mathew Dietrich | Registered representative | Jun 2015 (11y) | ||
| William Edward Knudsen | Registered representative | Jun 2015 (11y) | ||
| David Logan Mcphail | Registered representative | Jul 2015 (11y) | ||
| Emily Anne Manganaro | Registered representative | Jul 2015 (11y) | ||
| Gerald James Owsianny | Registered representative | Jul 2015 (11y) | ||
| Todd William Shimshock | Registered representative | Jul 2015 (11y) | ||
| William Cody Giles | Registered representative | Jul 2015 (11y) | ||
| Edward Lyle Miller | Registered representative | Jul 2015 (11y) | ||
| Michael Chuang | Registered representative | Jul 2015 (11y) | ||
| Richard S Sentnor | Registered representative | Jul 2015 (11y) | ||
| Shannon Krista Acosta | Registered representative | Jul 2015 (11y) | ||
| Iliza Schmertz Bartels | Registered representative | Jul 2015 (11y) | ||
| Nancy Huval Kinchen | Registered representative | Jul 2015 (11y) | ||
| Samuel Colton Sharples | Registered representative | Jul 2015 (11y) | ||
| Carlos Rafael Benavides | Registered representative | Jul 2015 (11y) | ||
| Robert Raymond Rule | Registered representative | Jul 2015 (11y) | ||
| David Robert Brochu | Registered representative | Jul 2015 (11y) | ||
| Jack Donald Mcguff | Registered representative | CFP | Jul 2015 (11y) | |
| Amy W Morgan | Registered representative | Jul 2015 (11y) | ||
| Dennis Lee Bell | Registered representative | CFP | Jul 2015 (11y) | |
| Paul Edward Watko | Registered representative | Jul 2015 (11y) | ||
| Jordan Nash Greene | Registered representative | Jul 2015 (11y) | ||
| Mario Fernando Contreras | Registered representative | Jul 2015 (11y) | ||
| Melissa Nicole Kledis | Registered representative | Jul 2015 (11y) | ||
| Monte Gene Teneyck | Registered representative | Jul 2015 (11y) | ||
| Bradley Troy Hackler | Registered representative | Aug 2015 (11y) | ||
| Bradley Kyle Scott | Registered representative | CFA | Aug 2015 (11y) | |
| Ronnie Russell Rushing | Registered representative | CFP | Aug 2015 (11y) | |
| Matthew Thomas Marjama | Registered representative | Aug 2015 (11y) | ||
| Brian John Falls | Registered representative | Aug 2015 (11y) | ||
| Bobby Mitchell Taylor | Registered representative | Aug 2015 (11y) | ||
| Dustin George Delauer Buck | Registered representative | Aug 2015 (11y) | ||
| Ryan Paul Kelly | Registered representative | Aug 2015 (11y) | ||
| Mark Henry Odendahl | Registered representative | Aug 2015 (11y) | ||
| Ryan Philip Dezwarte | Registered representative | Aug 2015 (11y) | ||
| Kenneth Hans Teksten Olson | Registered representative | Aug 2015 (11y) | ||
| Lawrence Christopher Calhoun | Registered representative | Aug 2015 (11y) | ||
| Jessyca R. Miller | Registered representative | Aug 2015 (11y) | ||
| Brian Scott Urie | Registered representative | CFP | Aug 2015 (11y) | |
| Michael David Rosenthal | Registered representative | Aug 2015 (11y) | ||
| Ethan Drew Jacobson | Registered representative | Aug 2015 (11y) | ||
| Matthew Ryan Galbraith | Registered representative | Aug 2015 (11y) | ||
| Vladimir Michael Greben | Registered representative | Sep 2015 (11y) | ||
| Ben Joseph Funk | Registered representative | Sep 2015 (11y) | ||
| Dragos Ioan Ilie | Registered representative | Sep 2015 (11y) | ||
| Michael Anthony Combs | Registered representative | Sep 2015 (11y) | ||
| Michael Steven Nash | Registered representative | Sep 2015 (11y) | ||
| Scott Christopher Fritz | Registered representative | Sep 2015 (11y) | ||
| Kirk Michael Feret | Registered representative | Sep 2015 (11y) | ||
| Lisa Ann Schomer | Registered representative | CFP | Sep 2015 (11y) | |
| R. Paul Moroukian | Registered representative | Sep 2015 (11y) | ||
| Sean Michael Nelson | Registered representative | Sep 2015 (11y) | ||
| Christine M Schroeder | Registered representative | Sep 2015 (11y) | ||
| Mark Adam Opp | Registered representative | Sep 2015 (11y) | ||
| Tab Barry Mak | Registered representative | Sep 2015 (11y) | ||
| Annette Michelle Walters | Registered representative | Sep 2015 (11y) | ||
| Courtney Elizabeth Mcharg | Registered representative | Sep 2015 (11y) | ||
| Ryan N Melucci | Registered representative | Sep 2015 (11y) | ||
| Lamar Simpson | Registered representative | Sep 2015 (11y) | ||
| John Christopher Fair | Registered representative | Sep 2015 (11y) | ||
| Scott Brad Dean | Registered representative | Sep 2015 (11y) | ||
| David Lee Brown | Registered representative | Sep 2015 (11y) | ||
| Susanne Theresa Zito | Registered representative | Oct 2015 (11y) | ||
| James Thomas Hopper | Registered representative | Oct 2015 (11y) | ||
| Leo Iacobelli | Registered representative | Oct 2015 (11y) | ||
| Linda Anita Odegaard | Registered representative | Oct 2015 (11y) | ||
| Joshua R Brewer | Registered representative | Oct 2015 (11y) | ||
| Gerald Todd Tidwell | Registered representative | Oct 2015 (11y) | ||
| Blake Jared Nelson | Registered representative | CFP | Oct 2015 (11y) | |
| Michele Ann Steinberg | Registered representative | Oct 2015 (11y) | ||
| Ryan Allen Mackinder | Registered representative | Oct 2015 (11y) | ||
| Michael Phillip Clark | Registered representative | Oct 2015 (11y) | ||
| Morgan Matthew Baum | Registered representative | Oct 2015 (11y) | ||
| Justin Michael Faulkner | Registered representative | Oct 2015 (11y) | ||
| Michael Scott Riddell | Registered representative | Oct 2015 (11y) | ||
| Kim Mabey Burgon | Registered representative | Oct 2015 (11y) | ||
| Ronald James Case | Registered representative | CFP | Oct 2015 (11y) | |
| Christopher Joseph Davis | Registered representative | Oct 2015 (11y) | ||
| R. Paul Johnson | Registered representative | Oct 2015 (11y) | ||
| Evan Lunsford | Registered representative | Oct 2015 (11y) | ||
| Robert Paul Moyes | Registered representative | Oct 2015 (11y) | ||
| Joey Sergio Soto | Registered representative | Nov 2015 (11y) | ||
| Robert Michael Rynes | Registered representative | Nov 2015 (11y) | ||
| Joel Harmon Everett | Registered representative | CFP Chartered Financial Consultant | Nov 2015 (11y) | |
| Linda Lee Ledzian | Registered representative | Nov 2015 (11y) | ||
| Mark Steven Hayek | Registered representative | CFP | Nov 2015 (11y) | |
| Trace Reagan Dennis | Registered representative | Nov 2015 (11y) | ||
| Sven Francisco Meza | Registered representative | Nov 2015 (11y) | ||
| Daniel P Poole | Registered representative | Nov 2015 (11y) | ||
| Max James Hangartner | Registered representative | Nov 2015 (11y) | ||
| Daniel Frank Trerotola | Registered representative | Nov 2015 (11y) | ||
| Manuel Calderon | Registered representative | Nov 2015 (11y) | ||
| Diane Marie Bardon | Registered representative | Nov 2015 (11y) | ||
| Etta Christene Hearn | Registered representative | Nov 2015 (11y) | ||
| Paul Vanecek | Registered representative | Nov 2015 (11y) | ||
| Adam Jason Rick | Registered representative | Nov 2015 (11y) | ||
| Kimberly Ann Daniels | Registered representative | Nov 2015 (11y) | ||
| Lauren Marie Gage | Registered representative | Nov 2015 (11y) | ||
| Ryan M Namiotka | Registered representative | Nov 2015 (11y) | ||
| Zach Smith | Registered representative | CFP | Nov 2015 (11y) | |
| Gerald Charles Hughes | Registered representative | Nov 2015 (11y) | ||
| Jordan Paul Staheli | Registered representative | Nov 2015 (11y) | ||
| Ashley Marie Lavoie | Registered representative | CFP | Nov 2015 (11y) | |
| Scott Titone Kilian | Registered representative | CFP | Nov 2015 (11y) | |
| Anagha Arun Madrigal | Registered representative | Nov 2015 (11y) | ||
| Gregory Michael Wassey | Registered representative | Nov 2015 (11y) | ||
| Jack Ray Perry | Registered representative | CFP | Nov 2015 (11y) | |
| Zachary Ziad Alkhamis | Registered representative | Nov 2015 (11y) | ||
| Tracy Don Russell | Registered representative | CFP | Nov 2015 (11y) | |
| Brandon Joseph Leblanc | Registered representative | Dec 2015 (11y) | ||
| Casey Lee Wayne Roberson | Registered representative | Dec 2015 (11y) | ||
| Jacob Simon Bill | Registered representative | Dec 2015 (11y) | ||
| Ryan Rene Gill | Registered representative | Dec 2015 (11y) | ||
| Peter Martin Gabriel | Registered representative | Dec 2015 (11y) | ||
| Ralph A Sirignano | Registered representative | Dec 2015 (11y) | ||
| Michael Lance Mayeux | Registered representative | Dec 2015 (11y) | ||
| Michael Russell Huerta | Registered representative | Dec 2015 (11y) | ||
| Ashley Nichole Haroldson | Registered representative | Dec 2015 (11y) | ||
| Emmett John Worth | Registered representative | Dec 2015 (11y) | ||
| Gloria Patterson Dubose | Registered representative | Dec 2015 (11y) | ||
| Jeremy Lee Misek | Registered representative | Dec 2015 (11y) | ||
| Jonathan Christopher Farens | Registered representative | Dec 2015 (11y) | ||
| Joseph Edward Hanstad | Registered representative | Dec 2015 (11y) | ||
| Peter Bart Pochily | Registered representative | Dec 2015 (11y) | ||
| Robert Alden Barber | Registered representative | Dec 2015 (11y) | ||
| Taylor Gregory Brynaert | Registered representative | CFP | Dec 2015 (11y) | |
| Todd David Olson | Registered representative | CFP | Dec 2015 (11y) | |
| Paul Bradley Hoogendoorn | Registered representative | CFP | Dec 2015 (11y) | |
| Cathy Jo Reynoso | Registered representative | Dec 2015 (11y) | ||
| Christopher Matthew Tostenson | Registered representative | Dec 2015 (11y) | ||
| Jarrod P Lege | Registered representative | Dec 2015 (11y) | ||
| Jeremy James Rufener | Registered representative | Dec 2015 (11y) | ||
| Tia Marie Berend | Registered representative | CFP | Dec 2015 (11y) | |
| Janet Fox | Registered representative | Dec 2015 (11y) | ||
| Steven Andrew Strum | Registered representative | Dec 2015 (11y) | ||
| Lauren N. Mundy | Registered representative | Jan 2016 (11y) | ||
| Mark Jerrod Gilbertson | Registered representative | Jan 2016 (11y) | ||
| Mark Joseph Zakoski | Registered representative | Jan 2016 (11y) | ||
| Mark W Jackson | Registered representative | Jan 2016 (11y) | ||
| Mel O | Registered representative | CFP | Jan 2016 (11y) | |
| Michael Leo Wemple | Registered representative | Jan 2016 (11y) | ||
| Gary Anthony Kozee | Registered representative | Jan 2016 (11y) | ||
| James Thomas Jones | Registered representative | Jan 2016 (11y) | ||
| John Albert Ayala | Registered representative | Jan 2016 (11y) | ||
| Kristopher James Morrow | Registered representative | Jan 2016 (11y) | ||
| Raymond Michael Saravitz | Registered representative | Jan 2016 (11y) | ||
| Rhonda L Mills | Registered representative | Jan 2016 (11y) | ||
| Joao A Rocha | Registered representative | Jan 2016 (11y) | ||
| Patrick Christopher Lysaght | Registered representative | Jan 2016 (11y) | ||
| Nicholas George Fieldson | Registered representative | Jan 2016 (11y) | ||
| Linda Stuart Rodosta | Registered representative | Jan 2016 (11y) | ||
| Angela H. Kuzmeskus | Registered representative | Jan 2016 (11y) | ||
| Brian Michael Sweeney | Registered representative | CFP | Jan 2016 (11y) | |
| Joseph R Ferreira | Registered representative | Jan 2016 (11y) | ||
| Philip John Ruggeri | Registered representative | Jan 2016 (11y) | ||
| Brian Windsor Johnson | Registered representative | CFP | Jan 2016 (11y) | |
| Christopher Joseph Michalek | Registered representative | Jan 2016 (11y) | ||
| Michael Joseph Branthover | Registered representative | CFP | Jan 2016 (11y) | |
| Kristen Marie Makari | Registered representative | Jan 2016 (11y) | ||
| Linda Denise Chappell | Registered representative | Jan 2016 (11y) | ||
| Mark Jacob Goldstein | Registered representative | Jan 2016 (11y) | ||
| Gerad Martin Thorell | Registered representative | Jan 2016 (11y) | ||
| Michael John Wiley | Registered representative | Jan 2016 (11y) | ||
| Dale Edgar Giem | Registered representative | Jan 2016 (11y) | ||
| Pamela Swiontek | Registered representative | Jan 2016 (11y) | ||
| Kevin Richard Sullivan | Registered representative | Feb 2016 (11y) | ||
| Robyn A Fain | Registered representative | Feb 2016 (11y) | ||
| Stephen Jay Martin | Registered representative | CFP | Feb 2016 (11y) | |
| Joseph Charles Lindner | Registered representative | CFP | Feb 2016 (10y) | |
| Brooks W Stevens | Registered representative | Feb 2016 (10y) | ||
| Kelly Ann Waring | Registered representative | CFP | Feb 2016 (10y) | |
| Eileen Lucile Blackburn | Registered representative | Feb 2016 (10y) | ||
| Stephen E Dilanian | Registered representative | Feb 2016 (10y) | ||
| James Farnham | Registered representative | Feb 2016 (10y) | ||
| Zachary W Richter | Registered representative | CFP | Feb 2016 (10y) | |
| Matthew Perkins | Registered representative | Feb 2016 (10y) | ||
| Robert Elvin Wilson | Registered representative | CFP | Feb 2016 (10y) | |
| Mark Alan Larimore | Registered representative | Feb 2016 (10y) | ||
| Christian Daly Smaistrla | Registered representative | Feb 2016 (10y) | ||
| Frederick Edward Wilke | Registered representative | Feb 2016 (10y) | ||
| Sean Phillip Mullen | Registered representative | Feb 2016 (10y) | ||
| Dawn Sheri West | Registered representative | Feb 2016 (10y) | ||
| Charles Dewitt Baker | Registered representative | Feb 2016 (10y) | ||
| Robert Vannorman Walsh | Registered representative | CFP | Mar 2016 (10y) | |
| Matthew Gene Meyers | Registered representative | CFP | Mar 2016 (10y) | |
| Anand Kumar Dookie | Registered representative | Mar 2016 (10y) | ||
| Michael Velzo | Registered representative | Mar 2016 (10y) | ||
| Joey Mckay Johnstun | Registered representative | Mar 2016 (10y) | ||
| Joyce Mary Tania Matz | Registered representative | Mar 2016 (10y) | ||
| Nancy Marie Pashnik | Registered representative | Mar 2016 (10y) | ||
| Todd Anthony Venturini | Registered representative | CFP | Mar 2016 (10y) | |
| Joerg (Nmn) Laudemann | Registered representative | Mar 2016 (10y) | ||
| Kathryn V. Carter | Registered representative | Mar 2016 (10y) | ||
| Laurel Kay Thompson | Registered representative | Mar 2016 (10y) | ||
| Seth Adam Riddle | Registered representative | CFP | Mar 2016 (10y) | |
| John Douglas Tabor | Registered representative | CFP | Mar 2016 (10y) | |
| Michael L Bain | Registered representative | Mar 2016 (10y) | ||
| Keith Edward Robertson | Registered representative | Mar 2016 (10y) | ||
| Jacob Kenneth Merk | Registered representative | CFP | Mar 2016 (10y) | |
| Jeana Sharon Salman | Registered representative | CFP | Mar 2016 (10y) | |
| Tyler Lane Conley | Registered representative | Mar 2016 (10y) | ||
| Steven Thomas Mcgovern | Registered representative | Mar 2016 (10y) | ||
| Emily Schultz Ridenhour | Registered representative | Mar 2016 (10y) | ||
| Alec Thomas Saunders | Registered representative | Apr 2016 (10y) | ||
| John Leroy Reakes | Registered representative | Apr 2016 (10y) | ||
| Pamela Jo Givens | Registered representative | Apr 2016 (10y) | ||
| Scott Korn | Registered representative | Apr 2016 (10y) | ||
| Daniel Paul Devine | Registered representative | Apr 2016 (10y) | ||
| Robert Granberry Tatum | Registered representative | CFP | Apr 2016 (10y) | |
| Roy E. Johansen | Registered representative | Apr 2016 (10y) | ||
| Adam Kelley Conway | Registered representative | Apr 2016 (10y) | ||
| Michael John Day | Registered representative | Apr 2016 (10y) | ||
| Michael David Beach | Registered representative | Apr 2016 (10y) | ||
| Amy Bogue Bond | Registered representative | Apr 2016 (10y) | ||
| Constantine Dean Mavrogianis | Registered representative | Apr 2016 (10y) | ||
| M Luisa Ehrig | Registered representative | Apr 2016 (10y) | ||
| Jason Robert Speich | Registered representative | Apr 2016 (10y) | ||
| Matthew James Hudson | Registered representative | Apr 2016 (10y) | ||
| H Brock Seibold | Registered representative | Apr 2016 (10y) | ||
| Angela Michelle Drake | Registered representative | Apr 2016 (10y) | ||
| Gregory Robert Pargas | Registered representative | Apr 2016 (10y) | ||
| Justin Russell Jaks | Registered representative | Apr 2016 (10y) | ||
| Thomas Albert Geraghty | Registered representative | Apr 2016 (10y) | ||
| Benjamin William Heiler | Registered representative | CFP | Apr 2016 (10y) | |
| Jason Ronald Baucom | Registered representative | Apr 2016 (10y) | ||
| Caleb Ellis Kennedy | Registered representative | May 2016 (10y) | ||
| Diana Leigh Wynn | Registered representative | May 2016 (10y) | ||
| Edie L Kelly | Registered representative | May 2016 (10y) | ||
| Tina Kay Taylor | Registered representative | May 2016 (10y) | ||
| Christopher James Lawyer | Registered representative | May 2016 (10y) | ||
| Marshall Marc Weinberg | Registered representative | May 2016 (10y) | ||
| Justin James Cole | Registered representative | CFA | May 2016 (10y) | |
| James Roy Chisholm | Registered representative | May 2016 (10y) | ||
| Thomas George Sandkamp | Registered representative | May 2016 (10y) | ||
| Daniel Linwood Livingston | Registered representative | CFP | May 2016 (10y) | |
| Caroline Kridle Korte | Registered representative | May 2016 (10y) | ||
| Nicholas Joseph Fazio | Registered representative | May 2016 (10y) | ||
| Stephanie Lynne | Registered representative | CFP | May 2016 (10y) | |
| Peter Gordon Marsh | Registered representative | May 2016 (10y) | ||
| Ronald Allan Thompson | Registered representative | May 2016 (10y) | ||
| James Kendrick Hardin | Registered representative | May 2016 (10y) | ||
| Lawrence Joseph Cherney | Registered representative | May 2016 (10y) | ||
| Brian Scott Miller | Registered representative | May 2016 (10y) | ||
| Anil Singh | Registered representative | May 2016 (10y) | ||
| Kevin Thomas Hoeft | Registered representative | May 2016 (10y) | ||
| Cody Eugene Bartlett | Registered representative | CFP | May 2016 (10y) | |
| Joshua William Willard | Registered representative | CFP | May 2016 (10y) | |
| Robert Lyndon Blackwell | Registered representative | May 2016 (10y) | ||
| Skyler James Dompier | Registered representative | May 2016 (10y) | ||
| Brian Edward Tokarik | Registered representative | May 2016 (10y) | ||
| Khristopher John Brooks Andrews | Registered representative | Jun 2016 (10y) | ||
| Peter Michael Tumbas | Registered representative | Jun 2016 (10y) | ||
| Brian Robert Pultro | Registered representative | Jun 2016 (10y) | ||
| Jason James Murphy | Registered representative | Jun 2016 (10y) | ||
| Cheryl Anne Baker | Registered representative | Jun 2016 (10y) | ||
| Jeanie Sung | Registered representative | Jun 2016 (10y) | ||
| Dennis Lamarr Blackwell | Registered representative | Jun 2016 (10y) | ||
| Richard Adam Kasparian | Registered representative | Jun 2016 (10y) | ||
| Bobby Kyle Ragan | Registered representative | Jun 2016 (10y) | ||
| Darrin Michael Conrad | Registered representative | Jun 2016 (10y) | ||
| Michael James Valudes | Registered representative | Jun 2016 (10y) | ||
| Michael Louis Kolojejchick | Registered representative | Jun 2016 (10y) | ||
| Joel Gray Clousing | Registered representative | Jun 2016 (10y) | ||
| Matthew Lynn Lowry | Registered representative | CFP | Jun 2016 (10y) | |
| Aaron Paul Kaiser | Registered representative | Jun 2016 (10y) | ||
| Scott Michael Campbell | Registered representative | Jun 2016 (10y) | ||
| Mark Robert Hayes | Registered representative | CFP | Jun 2016 (10y) | |
| Annette Marie Crowley | Registered representative | Jun 2016 (10y) | ||
| Todd J Baek | Registered representative | Jun 2016 (10y) | ||
| Brian J Laciak | Registered representative | Jun 2016 (10y) | ||
| Debra Lynn Nelson | Registered representative | CFP | Jun 2016 (10y) | |
| Larry Glen Brunell | Registered representative | Jun 2016 (10y) | ||
| Rodney James Hunke | Registered representative | Jun 2016 (10y) | ||
| Justin Michael Foley | Registered representative | Jun 2016 (10y) | ||
| Helen Marie Chang | Registered representative | Jun 2016 (10y) | ||
| Catherine Rowe Robinson | Registered representative | CFP | Jun 2016 (10y) | |
| James Bryant Hawryluk | Registered representative | Jun 2016 (10y) | ||
| Chad Conner | Registered representative | Jul 2016 (10y) | ||
| George Scott Johnson | Registered representative | Jul 2016 (10y) | ||
| Matthew James Stroud | Registered representative | Jul 2016 (10y) | ||
| John A Bantug | Registered representative | Jul 2016 (10y) | ||
| Michael R Garrison | Registered representative | Jul 2016 (10y) | ||
| Nathaniel B Neal | Registered representative | Jul 2016 (10y) | ||
| Vincent Michael Kubilus | Registered representative | Jul 2016 (10y) | ||
| Gail Preble Conley | Registered representative | Jul 2016 (10y) | ||
| William Harvey Conner | Registered representative | Jul 2016 (10y) | ||
| Ira Austin Candib | Registered representative | CFP | Jul 2016 (10y) | |
| Gary Edward Henderson | Registered representative | Jul 2016 (10y) | ||
| Roberta Keating Welsh | Registered representative | Jul 2016 (10y) | ||
| Rodney Hunter Schurg | Registered representative | Jul 2016 (10y) | ||
| Jereme Dewayne Brisco | Registered representative | Jul 2016 (10y) | ||
| Robert Andrews Shelton | Registered representative | CFA | Jul 2016 (10y) | |
| James Bryan Washburn | Registered representative | CFP | Jul 2016 (10y) | |
| David Om Setia | Registered representative | Jul 2016 (10y) | ||
| Ambler P Selway | Registered representative | Jul 2016 (10y) | ||
| Dustin Tyler Wilson | Registered representative | Jul 2016 (10y) | ||
| Justin Scott Scheckner | Registered representative | CFP | Jul 2016 (10y) | |
| Bryan O'connor | Registered representative | Jul 2016 (10y) | ||
| Ehren Gabriel Feldmeyer | Registered representative | Jul 2016 (10y) | ||
| Lynnette Kikuyo Fukuda | Registered representative | Jul 2016 (10y) | ||
| Teresa K Russell | Registered representative | Jul 2016 (10y) | ||
| Chad Rikio Kunihisa | Registered representative | CFP | Aug 2016 (10y) | |
| Jasen Masao Ishihara | Registered representative | Aug 2016 (10y) | ||
| Caryn Diane Kimble | Registered representative | Aug 2016 (10y) | ||
| Craig Thomas Lyman | Registered representative | Aug 2016 (10y) | ||
| Cameron Lee Stiles | Registered representative | Aug 2016 (10y) | ||
| Christopher Dow Pizzitola | Registered representative | Aug 2016 (10y) | ||
| Robert Charles Pizzitola | Registered representative | Aug 2016 (10y) | ||
| Terry J French | Registered representative | Aug 2016 (10y) | ||
| Keith Galicia | Registered representative | Aug 2016 (10y) | ||
| Robert Norman Hein | Registered representative | Aug 2016 (10y) | ||
| Andrew C Hall | Registered representative | CFP | Aug 2016 (10y) | |
| Mary Lynnette Jones | Registered representative | Aug 2016 (10y) | ||
| Ramin Ali Akbar Rouhbakhsh | Registered representative | Aug 2016 (10y) | ||
| Richard William Heagen | Registered representative | Aug 2016 (10y) | ||
| Joseph Christopher Walsh | Registered representative | Aug 2016 (10y) | ||
| Alison Marie Mccarthy | Registered representative | CFP | Aug 2016 (10y) | |
| James Harry Graham | Registered representative | Aug 2016 (10y) | ||
| Trevin J Panaia | Registered representative | Aug 2016 (10y) | ||
| Robert Eugene Vamos | Registered representative | Aug 2016 (10y) | ||
| Kevin Burton Fruechte | Registered representative | Sep 2016 (10y) | ||
| Travis Reid Messinger | Registered representative | Sep 2016 (10y) | ||
| Christina Denise Suchorabski | Registered representative | Sep 2016 (10y) | ||
| Steven Robert Swanson | Registered representative | CFP | Sep 2016 (10y) | |
| Cindy James Carraway | Registered representative | Sep 2016 (10y) | ||
| Charles Rush Fisher | Registered representative | CFP | Sep 2016 (10y) | |
| Fred Yale Goldfinger | Registered representative | Sep 2016 (10y) | ||
| John Alexander Callas | Registered representative | Sep 2016 (10y) | ||
| Jay Matthew Taylor | Registered representative | Sep 2016 (10y) | ||
| Jenna Louve Champion | Registered representative | Sep 2016 (10y) | ||
| George A Pierce | Registered representative | Sep 2016 (10y) | ||
| Joseph Eugene Krichten | Registered representative | Sep 2016 (10y) | ||
| Susan Kay Gross | Registered representative | Sep 2016 (10y) | ||
| Aaron Paul Garrett | Registered representative | Sep 2016 (10y) | ||
| James J Hughes | Registered representative | Sep 2016 (10y) | ||
| Jeffrey D Rimer | Registered representative | Sep 2016 (10y) | ||
| Vincent Eugene Martino | Registered representative | Sep 2016 (10y) | ||
| Robert Andrew Boyd | Registered representative | Sep 2016 (10y) | ||
| Greg Thomas Solaz | Registered representative | Sep 2016 (10y) | ||
| Kristen Diane Wasilewski | Registered representative | Sep 2016 (10y) | ||
| Anthony Alfieri | Registered representative | Sep 2016 (10y) | ||
| Arthur Edmund Walters | Registered representative | Sep 2016 (10y) | ||
| Arthur James Surridge | Registered representative | Sep 2016 (10y) | ||
| Brandon Turner | Registered representative | Sep 2016 (10y) | ||
| Brian Eugene Marsee | Registered representative | Sep 2016 (10y) | ||
| Brian Lenhardt | Registered representative | Sep 2016 (10y) | ||
| Chad Allen Ary | Registered representative | Sep 2016 (10y) | ||
| Christopher Thomas Grubb | Registered representative | Sep 2016 (10y) | ||
| Daniel Arnold | Registered representative | Sep 2016 (10y) | ||
| Darren Mark Champlin | Registered representative | Sep 2016 (10y) | ||
| Eric Brandon Montgomery | Registered representative | CFP | Sep 2016 (10y) | |
| Holly Alicia Vaezi | Registered representative | Sep 2016 (10y) | ||
| James Alexander Baker | Registered representative | Sep 2016 (10y) | ||
| Jarod Buford Reed | Registered representative | Sep 2016 (10y) | ||
| Jason Grgurina | Registered representative | Sep 2016 (10y) | ||
| Jeanna Gass Brandt | Registered representative | Sep 2016 (10y) | ||
| Jennifer Hope Lorick | Registered representative | Sep 2016 (10y) | ||
| Jennifer Marie Kasbek | Registered representative | Sep 2016 (10y) | ||
| Jerome Michael Baird | Registered representative | Sep 2016 (10y) | ||
| John Judson Violette | Registered representative | Sep 2016 (10y) | ||
| Katherine Moriah Chapman | Registered representative | Sep 2016 (10y) | ||
| Parker Griffith Dowd | Registered representative | Sep 2016 (10y) | ||
| Patrick David Murchison | Registered representative | Sep 2016 (10y) | ||
| Robert Brent Futrell | Registered representative | Sep 2016 (10y) | ||
| Roger Wiltse | Registered representative | Sep 2016 (10y) | ||
| Shaun Joseph Rashley | Registered representative | Sep 2016 (10y) | ||
| Shauna E Blake | Registered representative | Sep 2016 (10y) | ||
| Steven Matthew Dishman | Registered representative | CFP | Sep 2016 (10y) | |
| William Carlson Dedmon | Registered representative | Sep 2016 (10y) | ||
| Kevin Francis Sullivan | Registered representative | Sep 2016 (10y) | ||
| Chadwick Matthew Griggs | Registered representative | Sep 2016 (10y) | ||
| Darren Allen Edge | Registered representative | Sep 2016 (10y) | ||
| Richard Ramos | Registered representative | CFP | Oct 2016 (10y) | |
| Wendy Marie Oksness | Registered representative | Oct 2016 (10y) | ||
| Robert Benjamin Laville | Registered representative | Oct 2016 (10y) | ||
| Yasemin Tuzun | Registered representative | Oct 2016 (10y) | ||
| Matthew J Migliore | Registered representative | Oct 2016 (10y) | ||
| Cheryl Smith | Registered representative | Oct 2016 (10y) | ||
| Robert Howard Sager | Registered representative | Oct 2016 (10y) | ||
| Amal Benbrahim | Registered representative | Oct 2016 (10y) | ||
| David Allen Finui | Registered representative | Oct 2016 (10y) | ||
| Jonathan Blount | Registered representative | Oct 2016 (10y) | ||
| Leon Paul Rehak | Registered representative | Oct 2016 (10y) | ||
| Matthew Thomas Bryant | Registered representative | Oct 2016 (10y) | ||
| Melissa Ragsdale Holden | Registered representative | Oct 2016 (10y) | ||
| Crystal Robbins York | Registered representative | Oct 2016 (10y) | ||
| James David Mcmanus | Registered representative | Oct 2016 (10y) | ||
| Karee Ann Eliason | Registered representative | Oct 2016 (10y) | ||
| James Adam Bear | Registered representative | Oct 2016 (10y) | ||
| Sarah Patrica Puckett | Registered representative | Oct 2016 (10y) | ||
| Kathryn Embrey Kirchner | Registered representative | Oct 2016 (10y) | ||
| Steven Anthony Vansky | Registered representative | Oct 2016 (10y) | ||
| Brandon Lane Foreman | Registered representative | Oct 2016 (10y) | ||
| Christopher James Gervais | Registered representative | Oct 2016 (10y) | ||
| Kevin Anthony Foreman | Registered representative | Oct 2016 (10y) | ||
| Michael Scott Dubensky | Registered representative | Oct 2016 (10y) | ||
| Randall Norman Dean | Registered representative | Oct 2016 (10y) | ||
| Christopher A Liguori | Registered representative | Oct 2016 (10y) | ||
| Crey D Keitzer | Registered representative | Oct 2016 (10y) | ||
| Jon Thomas Thompson | Registered representative | CFP Chartered Financial Consultant | Oct 2016 (10y) | |
| Carol Helen Larson | Registered representative | CFP | Oct 2016 (10y) | |
| Rachel Elizabeth Walston | Registered representative | Oct 2016 (10y) | ||
| Mark Timothy Linnane | Registered representative | Oct 2016 (10y) | ||
| Joseph Phillip Roberts | Registered representative | Chartered Financial Consultant | Oct 2016 (10y) | |
| Anh Phuong Tran | Registered representative | CFP | Nov 2016 (10y) | |
| David Watters Graham | Registered representative | Nov 2016 (10y) | ||
| Geoffrey Neil Hodge | Registered representative | Nov 2016 (10y) | ||
| Robert Joseph Roberts | Registered representative | Nov 2016 (10y) | ||
| Charles James Reimers | Registered representative | Nov 2016 (10y) | ||
| Paul Crosby Smith | Registered representative | Nov 2016 (10y) | ||
| Ryan Christopher Higgins | Registered representative | Nov 2016 (10y) | ||
| Victor Paul Raigoza | Registered representative | Nov 2016 (10y) | ||
| Bryce Derek Holley | Registered representative | Nov 2016 (10y) | ||
| Pamela Kay Mckenzie | Registered representative | Nov 2016 (10y) | ||
| Elizabeth Rinder | Registered representative | Nov 2016 (10y) | ||
| Stephen Dale Craigmiles | Registered representative | Nov 2016 (10y) | ||
| Daniel J Robinson | Registered representative | Nov 2016 (10y) | ||
| Jeffrey G Lavezzi | Registered representative | Nov 2016 (10y) | ||
| Matthew Bondurant Wahlman | Registered representative | Nov 2016 (10y) | ||
| Rodger Alan Rutter | Registered representative | Nov 2016 (10y) | ||
| Aaron Alex Ames | Registered representative | Nov 2016 (10y) | ||
| Andrea Jean Wilson | Registered representative | Nov 2016 (10y) | ||
| Derek Alan Batz | Registered representative | Nov 2016 (10y) | ||
| Joseph Ralph Abbruzzi | Registered representative | Nov 2016 (10y) | ||
| Michael Dale Milton | Registered representative | Nov 2016 (10y) | ||
| Robert Abdul Mustafa | Registered representative | CFP | Nov 2016 (10y) | |
| Trung Kien Vu | Registered representative | Nov 2016 (10y) | ||
| David Lee Fowler | Registered representative | Nov 2016 (10y) | ||
| Simon John Sumner | Registered representative | CFA | Nov 2016 (10y) | |
| Rebecca Jane Meyers | Registered representative | Nov 2016 (10y) | ||
| Chad Dean Waddoups | Registered representative | Nov 2016 (10y) | ||
| Kyle Yates Mushaweh | Registered representative | Nov 2016 (10y) | ||
| Brian Richard Connors | Registered representative | Nov 2016 (10y) | ||
| Carina Renee Lange | Registered representative | Nov 2016 (10y) | ||
| Christine Lacey Stack | Registered representative | CFP | Nov 2016 (10y) | |
| Clarene Marie Westburg | Registered representative | Nov 2016 (10y) | ||
| David Arthur Rensvold | Registered representative | Nov 2016 (10y) | ||
| David John Kling | Registered representative | Nov 2016 (10y) | ||
| Evad Patrick Vanspoore | Registered representative | Nov 2016 (10y) | ||
| Jonathan Del Herz | Registered representative | Nov 2016 (10y) | ||
| Lynn Marie Caraveau | Registered representative | Nov 2016 (10y) | ||
| Randy Joseph Koliha | Registered representative | Nov 2016 (10y) | ||
| Steven Craig Batutis | Registered representative | CFP | Nov 2016 (10y) | |
| Devin Randall Scott | Registered representative | Nov 2016 (10y) | ||
| Jack Clayton Murray | Registered representative | Nov 2016 (10y) | ||
| Michelle Inman Myers | Registered representative | Nov 2016 (10y) | ||
| Russell Melville Hanscom | Registered representative | Nov 2016 (10y) | ||
| Jonathan Todd Locklear | Registered representative | CFP | Dec 2016 (10y) | |
| Lisa Marie Vnoucek | Registered representative | Dec 2016 (10y) | ||
| Richard Justin Greco | Registered representative | Dec 2016 (10y) | ||
| Tuan Thanh Le | Registered representative | Dec 2016 (10y) | ||
| Beverly Marie Ketel | Registered representative | CFP | Dec 2016 (10y) | |
| Jeffrey Stanton Stone | Registered representative | CFP | Dec 2016 (10y) | |
| Adam Gladstone | Registered representative | CFP | Dec 2016 (10y) | |
| Joshua Rittenhouse Fretz | Registered representative | CFP | Dec 2016 (10y) | |
| Naser M Alzer | Registered representative | CFP | Dec 2016 (10y) | |
| Rosaland V Edwards | Registered representative | Dec 2016 (10y) | ||
| Michael D Oberheim | Registered representative | Dec 2016 (10y) | ||
| Michael Emmett Lenahan | Registered representative | Dec 2016 (10y) | ||
| Sean Michael Fowler | Registered representative | Dec 2016 (10y) | ||
| Andrew Renick Chatham | Registered representative | Dec 2016 (10y) | ||
| Jack Clifford Buckley | Registered representative | Dec 2016 (10y) | ||
| James Elden Lowe | Registered representative | Dec 2016 (10y) | ||
| Jeff S Robin | Registered representative | CFP | Dec 2016 (10y) | |
| Kelsey Buckley Kocon | Registered representative | Dec 2016 (10y) | ||
| Scott Reggi Ellingson | Registered representative | Dec 2016 (10y) | ||
| Stephen L Magana | Registered representative | Dec 2016 (10y) | ||
| Brian Edward Van Duyn | Registered representative | Dec 2016 (10y) | ||
| Jeffrey Thomas Osterman | Registered representative | Dec 2016 (10y) | ||
| Sean Christopher Kelly | Registered representative | Dec 2016 (10y) | ||
| Christopher Robin Redos | Registered representative | Dec 2016 (10y) | ||
| Lorie Ann Rios | Registered representative | Dec 2016 (10y) | ||
| Stephen A Dillemuth | Registered representative | Dec 2016 (10y) | ||
| Emilie T Nisbet | Registered representative | Dec 2016 (10y) | ||
| Mark William Schatzel | Registered representative | Dec 2016 (10y) | ||
| Scarlett Cherry | Registered representative | Dec 2016 (10y) | ||
| Bobby Bryan Parham | Registered representative | Jan 2017 (10y) | ||
| Christopher Ross Mathwig | Registered representative | Jan 2017 (10y) | ||
| Patrick James Bailey | Registered representative | Jan 2017 (10y) | ||
| Wesley Phillip Mckenna | Registered representative | Jan 2017 (10y) | ||
| Kit Michael Leary | Registered representative | Jan 2017 (10y) | ||
| Kylie Raeann Mccollough | Registered representative | Jan 2017 (10y) | ||
| Timothy John Blattner | Registered representative | Jan 2017 (10y) | ||
| Kimberly Charmayne Kurek | Registered representative | Jan 2017 (10y) | ||
| Nicole Marie Smith | Registered representative | Jan 2017 (10y) | ||
| Kathryn Rae Kaster | Registered representative | CFP | Jan 2017 (10y) | |
| Richard Weber Gates | Registered representative | CFP | Jan 2017 (10y) | |
| Susan Sima Alefi | Registered representative | Jan 2017 (10y) | ||
| Teodor Daniel Trandafir | Registered representative | Jan 2017 (10y) | ||
| Anthony Latere Williams | Registered representative | Jan 2017 (10y) | ||
| Aurea Estelle De La Cruz Wangerien | Registered representative | Jan 2017 (10y) | ||
| Christian Barrett Davis | Registered representative | Jan 2017 (10y) | ||
| James Boswell | Registered representative | Jan 2017 (10y) | ||
| Michael Robbins | Registered representative | Jan 2017 (10y) | ||
| Michele A Healey | Registered representative | Jan 2017 (10y) | ||
| David Ian Wharram | Registered representative | Jan 2017 (10y) | ||
| David L Tapley | Registered representative | Jan 2017 (10y) | ||
| Jack Lyndon Shampine | Registered representative | Jan 2017 (10y) | ||
| John David Glover | Registered representative | Jan 2017 (10y) | ||
| Bradley Jay Isroff | Registered representative | Jan 2017 (10y) | ||
| Derek Paul Sabine | Registered representative | Jan 2017 (10y) | ||
| Mitchell Allen Reinhardt | Registered representative | CFP | Jan 2017 (10y) | |
| Ricky Dale Kazanjian | Registered representative | Jan 2017 (10y) | ||
| Robert Sharp Petersen | Registered representative | Jan 2017 (10y) | ||
| John Billetdeaux | Registered representative | Jan 2017 (10y) | ||
| Vicky K Mattison Leguillon | Registered representative | Jan 2017 (10y) | ||
| Malcolm A.W. Horn | Registered representative | CFP | Jan 2017 (10y) | |
| Stephen William Cogger | Registered representative | Jan 2017 (10y) | ||
| Bruce Alan Williams | Registered representative | CFP | Feb 2017 (9y) | |
| Curt Mathew Beyer | Registered representative | Feb 2017 (9y) | ||
| Peter Raymundo Castillo | Registered representative | Feb 2017 (9y) | ||
| Jeb Elliott Brown | Registered representative | Feb 2017 (9y) | ||
| Kim Margaret Caldwell | Registered representative | CFP | Feb 2017 (9y) | |
| Michael Andrew Bochenek | Registered representative | Feb 2017 (9y) | ||
| Sarah Helene Cray | Registered representative | Feb 2017 (9y) | ||
| Mary Elena Winand | Registered representative | CFP | Feb 2017 (9y) | |
| Laura Maryann Marzano | Registered representative | Feb 2017 (9y) | ||
| Jessica Anne Holloway | Registered representative | Feb 2017 (9y) | ||
| Daphne Anitra Wright | Registered representative | CFP | Feb 2017 (9y) | |
| Winnie Yuen Yee Leong | Registered representative | Feb 2017 (9y) | ||
| Charles John Schreader | Registered representative | CFP | Feb 2017 (9y) | |
| Jeffrey Thomas Ricklefs | Registered representative | Feb 2017 (9y) | ||
| Albert Anthony Danish | Registered representative | Feb 2017 (9y) | ||
| John Randolph Mackenzie | Registered representative | Feb 2017 (9y) | ||
| William Gordon Merrick | Registered representative | Feb 2017 (9y) | ||
| Charles Joseph Larocca | Registered representative | Feb 2017 (9y) | ||
| Melissa Joy Hexum | Registered representative | Feb 2017 (9y) | ||
| Andrew Coulter | Registered representative | Mar 2017 (9y) | ||
| Michael Nili | Registered representative | Mar 2017 (9y) | ||
| Brad Richard Bakken | Registered representative | Mar 2017 (9y) | ||
| John Marvin Kuhn | Registered representative | Mar 2017 (9y) | ||
| Kelly Ron Hubrig | Registered representative | CFP | Mar 2017 (9y) | |
| Paula Rose Swanson | Registered representative | Mar 2017 (9y) | ||
| Ryan Scott Johnson | Registered representative | Mar 2017 (9y) | ||
| Michael Scott Cameron | Registered representative | Mar 2017 (9y) | ||
| Stephen Eric Merle | Registered representative | Mar 2017 (9y) | ||
| Noah Garrison Dennis | Registered representative | Mar 2017 (9y) | ||
| Buck R Mintken | Registered representative | Mar 2017 (9y) | ||
| Payton Ridge Sturges | Registered representative | Mar 2017 (9y) | ||
| Randal Scott Westerman | Registered representative | Mar 2017 (9y) | ||
| Tina Michelle Hallmark | Registered representative | Mar 2017 (9y) | ||
| Bradley Jay Allen | Registered representative | Mar 2017 (9y) | ||
| Daryl Robert Schafer | Registered representative | Mar 2017 (9y) | ||
| Katherine Elizabeth Thomas | Registered representative | Mar 2017 (9y) | ||
| James Kenneth Blake | Registered representative | Mar 2017 (9y) | ||
| Joseph William Ruzycki | Registered representative | CFP | Mar 2017 (9y) | |
| Roy Guy Grimes | Registered representative | Mar 2017 (9y) | ||
| Timothy Mark Weishorn | Registered representative | Mar 2017 (9y) | ||
| John Patrick Selas | Registered representative | Mar 2017 (9y) | ||
| Manly Acker | Registered representative | Mar 2017 (9y) | ||
| Olga Avdaev | Registered representative | CFP | Mar 2017 (9y) | |
| Stephen Todd Mactavish | Registered representative | Mar 2017 (9y) | ||
| Kimberly Ann Kennedy | Registered representative | Mar 2017 (9y) | ||
| Brent B Barth | Registered representative | Mar 2017 (9y) | ||
| John Leonard Larkin | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Tyler Kenneth Glover | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Troy Robert Bangs | Registered representative | Mar 2017 (9y) | ||
| David Michael Ricci | Registered representative | Mar 2017 (9y) | ||
| Stefanie Lauren Starling | Registered representative | Mar 2017 (9y) | ||
| Jason Michael Tutin | Registered representative | Mar 2017 (9y) | ||
| Edward Wayne Peagler | Registered representative | Mar 2017 (9y) | ||
| Courtney Marie Callas | Registered representative | CFP | Mar 2017 (9y) | |
| Martin Alexander Moore | Registered representative | Mar 2017 (9y) | ||
| David James Smolarek | Registered representative | CFP | Mar 2017 (9y) | |
| Margaret Joan Collins | Registered representative | Mar 2017 (9y) | ||
| Teresa Breanna Sanders | Registered representative | Mar 2017 (9y) | ||
| Oscar Lee Harrison | Registered representative | Apr 2017 (9y) | ||
| David M Cotton | Registered representative | Apr 2017 (9y) | ||
| Christopher Ephraim Parks | Registered representative | CFP | Apr 2017 (9y) | |
| Amanda Leigh Rainey | Registered representative | Apr 2017 (9y) | ||
| Blake Neil Rawson | Registered representative | CFP | Apr 2017 (9y) | |
| Bruce Richard Cooke | Registered representative | CFP | Apr 2017 (9y) | |
| Jay Agarwal | Registered representative | Apr 2017 (9y) | ||
| Jeffrey Sean Savage | Registered representative | CFP | Apr 2017 (9y) | |
| Mark Mamoru Mitamura | Registered representative | Apr 2017 (9y) | ||
| Rebecca Eileen Bayless | Registered representative | CFP | Apr 2017 (9y) | |
| David R Gunther | Registered representative | Apr 2017 (9y) | ||
| John M Jacobs | Registered representative | Apr 2017 (9y) | ||
| Brandon Joseph Day | Registered representative | CFP | Apr 2017 (9y) | |
| Jordan Brooks Moore | Registered representative | Chartered Financial Consultant | Apr 2017 (9y) | |
| Matthew John Antos | Registered representative | CFP | Apr 2017 (9y) | |
| Sherrie Lane Reynolds | Registered representative | Apr 2017 (9y) | ||
| Appaiah Mudappa Ballachanda | Registered representative | Apr 2017 (9y) | ||
| Carl B Dickson Jr. | Registered representative | Apr 2017 (9y) | ||
| Steven Gary White | Registered representative | Apr 2017 (9y) | ||
| Paul Joseph Ohara | Registered representative | Apr 2017 (9y) | ||
| Patrick Dean Louise | Registered representative | Apr 2017 (9y) | ||
| Ronald Newlin | Registered representative | Apr 2017 (9y) | ||
| Sandro Elio Palmerini | Registered representative | CFP | Apr 2017 (9y) | |
| Lori M Simoncelli | Registered representative | Apr 2017 (9y) | ||
| Shane Monquel Spells | Registered representative | Apr 2017 (9y) | ||
| James David Franskousky | Registered representative | May 2017 (9y) | ||
| Jay S Tobias | Registered representative | May 2017 (9y) | ||
| Judy Jorgensen | Registered representative | May 2017 (9y) | ||
| Gustavo A Sanchez | Registered representative | May 2017 (9y) | ||
| Matthew Eltinge Streeter | Registered representative | May 2017 (9y) | ||
| Paul Edward Henry | Registered representative | CFP | May 2017 (9y) | |
| Shannon Ostinelli | Registered representative | May 2017 (9y) | ||
| Andrew Lee Fraser | Registered representative | May 2017 (9y) | ||
| Richard Eloy De La Garza | Registered representative | May 2017 (9y) | ||
| Kurt Lawrence Steinkamp | Registered representative | May 2017 (9y) | ||
| William Richard Mahoney | Registered representative | May 2017 (9y) | ||
| Brian Charles Elefante | Registered representative | CFP | May 2017 (9y) | |
| Sascha Toniette Mathis | Registered representative | May 2017 (9y) | ||
| Daniel Craig Mozer | Registered representative | May 2017 (9y) | ||
| Diane Marie Costello | Registered representative | May 2017 (9y) | ||
| James Martin Deberry | Registered representative | May 2017 (9y) | ||
| Mark J Cangiano | Registered representative | May 2017 (9y) | ||
| Brian Francis Quinn | Registered representative | May 2017 (9y) | ||
| Joseph Edward Randall | Registered representative | May 2017 (9y) | ||
| Jeremy Billew | Registered representative | May 2017 (9y) | ||
| Loren Robert Brandrup | Registered representative | May 2017 (9y) | ||
| Jeffrey Scott Thompson | Registered representative | May 2017 (9y) | ||
| Kirk Gregory Collins | Registered representative | CFP Chartered Financial Consultant | May 2017 (9y) | |
| Michael L Devincentis | Registered representative | May 2017 (9y) | ||
| Douglas Alan Clark | Registered representative | May 2017 (9y) | ||
| Stacy Renee Hagenston | Registered representative | May 2017 (9y) | ||
| Eric Justin Long | Registered representative | CFP | Jun 2017 (9y) | |
| James Robert Sgro | Registered representative | Jun 2017 (9y) | ||
| Ryan Andrew Hamilton | Registered representative | Jun 2017 (9y) | ||
| Wolfgang Alfons Hein | Registered representative | Jun 2017 (9y) | ||
| Samson Albert Maxbauer | Registered representative | Jun 2017 (9y) | ||
| Thomas Gregory Mercer | Registered representative | Jun 2017 (9y) | ||
| David Anthony Petruzzelli | Registered representative | Jun 2017 (9y) | ||
| Kevin Douglas Appler | Registered representative | CFP | Jun 2017 (9y) | |
| Gary Lee Fisher | Registered representative | Jun 2017 (9y) | ||
| Jacob Scott Bierstedt | Registered representative | CFP Chartered Financial Consultant | Jun 2017 (9y) | |
| Justin Charles Wright | Registered representative | Jun 2017 (9y) | ||
| John Alfred Deluca | Registered representative | Jun 2017 (9y) | ||
| Daniel Eric Strayer | Registered representative | Jun 2017 (9y) | ||
| Jennifer Ann Whisenant | Registered representative | Jun 2017 (9y) | ||
| Jeffrey Scott Hatton | Registered representative | Jun 2017 (9y) | ||
| James Ryan Taylor | Registered representative | Jun 2017 (9y) | ||
| Nicholas Ryan Mattlin | Registered representative | Jun 2017 (9y) | ||
| Michael Ruben Craggett | Registered representative | Jun 2017 (9y) | ||
| Barry Joseph Fenchak | Registered representative | Jun 2017 (9y) | ||
| Denise Marie Larsen | Registered representative | Jun 2017 (9y) | ||
| Jose Angel Garcia | Registered representative | Jun 2017 (9y) | ||
| Josephine A Stagliano | Registered representative | Jun 2017 (9y) | ||
| Jeffrey Michael Steiner | Registered representative | CFP | Jun 2017 (9y) | |
| Raphael Joseph Dick | Registered representative | Jun 2017 (9y) | ||
| Jason Thomas Coutcher | Registered representative | Jun 2017 (9y) | ||
| Matthew Douglas Naylor | Registered representative | Jun 2017 (9y) | ||
| Michael Sean Burke | Registered representative | CFP | Jun 2017 (9y) | |
| Scott Chon | Registered representative | Jun 2017 (9y) | ||
| Donald J Haubert | Registered representative | Jun 2017 (9y) | ||
| Reginald Dewayne Ford | Registered representative | Jun 2017 (9y) | ||
| Daniel Lee Andrew | Registered representative | Jun 2017 (9y) | ||
| Thomas James Walk | Registered representative | Jul 2017 (9y) | ||
| Derek Randall Nisleit | Registered representative | Jul 2017 (9y) | ||
| James Howard Allen | Registered representative | Jul 2017 (9y) | ||
| Leslie Minter Castillo | Registered representative | CFP | Jul 2017 (9y) | |
| Christopher P Genatossio | Registered representative | Jul 2017 (9y) | ||
| John J Terlau | Registered representative | CFP | Jul 2017 (9y) | |
| John Lee Lackey | Registered representative | CFP | Jul 2017 (9y) | |
| Suzanne Rebecca Rech | Registered representative | Jul 2017 (9y) | ||
| Arlis Bernard Ortman | Registered representative | Jul 2017 (9y) | ||
| Cindy Gail Cavener Sumner | Registered representative | Jul 2017 (9y) | ||
| Thomas O Hayes | Registered representative | Jul 2017 (9y) | ||
| Joseph John Betten | Registered representative | Jul 2017 (9y) | ||
| Peter Tomas Tourville | Registered representative | Jul 2017 (9y) | ||
| Eric Matthew Stockton | Registered representative | Jul 2017 (9y) | ||
| Michael J Dieter | Registered representative | Jul 2017 (9y) | ||
| David Richard Bentz | Registered representative | Jul 2017 (9y) | ||
| William Robert Kutters | Registered representative | Jul 2017 (9y) | ||
| Leo Gerald O'connor | Registered representative | CFP | Jul 2017 (9y) | |
| Jeffrey Alan May | Registered representative | Jul 2017 (9y) | ||
| Jennifer A Walker | Registered representative | Jul 2017 (9y) | ||
| Thomas A Davia | Registered representative | Jul 2017 (9y) | ||
| Robert Lee Jacob Leibrich | Registered representative | CFP | Aug 2017 (9y) | |
| Robert Merril Olson | Registered representative | Aug 2017 (9y) | ||
| Todd Paul Muentzer | Registered representative | Aug 2017 (9y) | ||
| Jeffrey Duane Campbell | Registered representative | Aug 2017 (9y) | ||
| Joseph Knorp | Registered representative | Aug 2017 (9y) | ||
| Kris Anthony Thorvaldson | Registered representative | Aug 2017 (9y) | ||
| Scott Alan Barstad | Registered representative | CFP | Aug 2017 (9y) | |
| Travis James Smith | Registered representative | Aug 2017 (9y) | ||
| Jacob William Harris | Registered representative | CFP | Aug 2017 (9y) | |
| Stanton David Schwartz | Registered representative | Aug 2017 (9y) | ||
| Rodryan Angeles Marayag | Registered representative | Aug 2017 (9y) | ||
| Peter August Zagrobelny | Registered representative | Aug 2017 (9y) | ||
| William Keith Padek | Registered representative | Aug 2017 (9y) | ||
| Dennis Lee Ealing | Registered representative | Aug 2017 (9y) | ||
| James Patrick Chiaro | Registered representative | Aug 2017 (9y) | ||
| Howard Sayles Baughman | Registered representative | Aug 2017 (9y) | ||
| Matthew David Creme | Registered representative | Aug 2017 (9y) | ||
| Erik Carl Smith | Registered representative | CFP | Aug 2017 (9y) | |
| Gregory Thomas Cancilla | Registered representative | Aug 2017 (9y) | ||
| Kenton Hillard Huff | Registered representative | Aug 2017 (9y) | ||
| Patrick Michael Alfano | Registered representative | Aug 2017 (9y) | ||
| Steven Lee King | Registered representative | Aug 2017 (9y) | ||
| Victor M Meyerowitz | Registered representative | Aug 2017 (9y) | ||
| Jonathan J Mulder | Registered representative | Aug 2017 (9y) | ||
| John Andrew Johnson | Registered representative | Aug 2017 (9y) | ||
| Mark Clay Sutherland | Registered representative | CFP | Aug 2017 (9y) | |
| Payton Edward Wells Gray | Registered representative | Aug 2017 (9y) | ||
| Robert William Rittenhouse | Registered representative | Aug 2017 (9y) | ||
| Regina Latrelle Mccormick | Registered representative | Aug 2017 (9y) | ||
| Benjamin Joseph Lloyd | Registered representative | Sep 2017 (9y) | ||
| Curran Blackwell Hart | Registered representative | Sep 2017 (9y) | ||
| Lisa Salvo Dehaven | Registered representative | Sep 2017 (9y) | ||
| Alexander Noel Varela | Registered representative | Sep 2017 (9y) | ||
| James Patrick Obrien | Registered representative | Sep 2017 (9y) | ||
| Deryl Stephen Wells | Registered representative | Sep 2017 (9y) | ||
| Timothy Aaron Bright | Registered representative | Sep 2017 (9y) | ||
| Jeffery Arnez Ferguson | Registered representative | Sep 2017 (9y) | ||
| John Allen Mellor | Registered representative | Sep 2017 (9y) | ||
| Leo Gerald O'connor | Registered representative | CFP | Sep 2017 (9y) | |
| Stace Alan Hilbrant | Registered representative | Sep 2017 (9y) | ||
| Richard A Spriano | Registered representative | Sep 2017 (9y) | ||
| Sarah B Peterson | Registered representative | Sep 2017 (9y) | ||
| Denise Johnson Davies | Registered representative | Sep 2017 (9y) | ||
| John Andrew Hannon | Registered representative | Sep 2017 (9y) | ||
| John Francis Tilton | Registered representative | Sep 2017 (9y) | ||
| Matthew John Vanek | Registered representative | Sep 2017 (9y) | ||
| Urban C Fleming | Registered representative | Sep 2017 (9y) | ||
| Chris Michael Howard | Registered representative | CFP | Sep 2017 (9y) | |
| Harry A Mcwilliams | Registered representative | Sep 2017 (9y) | ||
| William Ray Campbell | Registered representative | Sep 2017 (9y) | ||
| Francis Almeida | Registered representative | Sep 2017 (9y) | ||
| Raymond Joseph Ginsberg | Registered representative | Sep 2017 (9y) | ||
| Megan Elizabeth Bergevin | Registered representative | Oct 2017 (9y) | ||
| Brian Scott Liptak | Registered representative | CFP | Oct 2017 (9y) | |
| Charles Spencer Peterson | Registered representative | Oct 2017 (9y) | ||
| Jeffrey William Evans | Registered representative | CFP | Oct 2017 (9y) | |
| Jordan Tate Fournier | Registered representative | Oct 2017 (9y) | ||
| Laura Beth Ahl | Registered representative | Oct 2017 (9y) | ||
| Michael Scott Aves | Registered representative | Oct 2017 (9y) | ||
| Ryan Arthur Weigle | Registered representative | Oct 2017 (9y) | ||
| Jere C Wise | Registered representative | CFP | Oct 2017 (9y) | |
| Pamela Watson Rivers | Registered representative | Oct 2017 (9y) | ||
| Stefanie Frances Pontlitz | Registered representative | Oct 2017 (9y) | ||
| Eric Ty King | Registered representative | Oct 2017 (9y) | ||
| Peter Michael Cote | Registered representative | CFP | Oct 2017 (9y) | |
| Veronica Murillo | Registered representative | Oct 2017 (9y) | ||
| Anastasia Tsavaris | Registered representative | Oct 2017 (9y) | ||
| Brian M Mcqueeney | Registered representative | Oct 2017 (9y) | ||
| Brandy Shay Goodnow | Registered representative | Oct 2017 (9y) | ||
| Brian Wayne Mitchell | Registered representative | Oct 2017 (9y) | ||
| Charles Edward Earle | Registered representative | Oct 2017 (9y) | ||
| Matthew William Fortney | Registered representative | Oct 2017 (9y) | ||
| Evelyn May Yee Huey | Registered representative | Oct 2017 (9y) | ||
| Jeff Bevacqua | Registered representative | Oct 2017 (9y) | ||
| Lisa Yang | Registered representative | Oct 2017 (9y) | ||
| Miranda Dawn Munksgard | Registered representative | Oct 2017 (9y) | ||
| Hope Lee Mulford | Registered representative | Oct 2017 (9y) | ||
| Sara Radigan | Registered representative | Oct 2017 (9y) | ||
| Angelic Carolyn Lemay | Registered representative | Oct 2017 (9y) | ||
| Derek Pontlitz | Registered representative | Oct 2017 (9y) | ||
| Brent Martin Steinberg | Registered representative | Nov 2017 (9y) | ||
| Lance David Steinberg | Registered representative | Nov 2017 (9y) | ||
| Thomas Edward Mitchell | Registered representative | CFP | Nov 2017 (9y) | |
| Diane Harris Whitt | Registered representative | Nov 2017 (9y) | ||
| Jonathan Schiefer Mrowiec | Registered representative | Nov 2017 (9y) | ||
| Nicholas Allan Thom | Registered representative | Nov 2017 (9y) | ||
| Robert Manning Loflin | Registered representative | Nov 2017 (9y) | ||
| Sharon Lea Flaspohler | Registered representative | Nov 2017 (9y) | ||
| April Marie Cleavland | Registered representative | Nov 2017 (9y) | ||
| Lisa Martin | Registered representative | Nov 2017 (9y) | ||
| Martin Edward Leonard | Registered representative | CFP | Nov 2017 (9y) | |
| Shannon L. Haston | Registered representative | Nov 2017 (9y) | ||
| William Emmett Baucum | Registered representative | Nov 2017 (9y) | ||
| Clint Brandon Clements | Registered representative | Nov 2017 (9y) | ||
| Scott C Konwinski | Registered representative | Nov 2017 (9y) | ||
| Lex John Drollinger | Registered representative | Nov 2017 (9y) | ||
| Louis Anthony Capezza | Registered representative | Nov 2017 (9y) | ||
| Peter John Lowery | Registered representative | CFP | Nov 2017 (9y) | |
| Robert Daniel Banis | Registered representative | Nov 2017 (9y) | ||
| Ronald Dionisio Baliton | Registered representative | Nov 2017 (9y) | ||
| Steven Ray Lloyd | Registered representative | Nov 2017 (9y) | ||
| Adrian Albidress | Registered representative | CFP Chartered Financial Consultant | Nov 2017 (9y) | |
| Adrian Albidress | Registered representative | Nov 2017 (9y) | ||
| Carl David Newton | Registered representative | Nov 2017 (9y) | ||
| Dennis Roger Nolte | Registered representative | CFP | Nov 2017 (9y) | |
| James Ray Zick | Registered representative | CFP | Nov 2017 (9y) | |
| James Wellington Forsyth | Registered representative | Nov 2017 (9y) | ||
| Bryce Edward Miller | Registered representative | Nov 2017 (9y) | ||
| Celeste Kathleen Byers | Registered representative | CFP | Nov 2017 (9y) | |
| Lisa Marie Joseph | Registered representative | Nov 2017 (9y) | ||
| Mario Alberto Gutierrez | Registered representative | Nov 2017 (9y) | ||
| Steven Scott Compton | Registered representative | Nov 2017 (9y) | ||
| Kenneth Anthony Boldt | Registered representative | Nov 2017 (9y) | ||
| Robert Ralph Reidinger | Registered representative | Nov 2017 (9y) | ||
| Tracey L S Lyum | Registered representative | Nov 2017 (9y) | ||
| Erik William Stowers | Registered representative | Nov 2017 (9y) | ||
| Kevin Michael Cavanna | Registered representative | CFP | Nov 2017 (9y) | |
| Jeffrey D Wilcox | Registered representative | Nov 2017 (9y) | ||
| Sunhee Lee | Registered representative | Nov 2017 (9y) | ||
| Timothy John Bailey | Registered representative | Nov 2017 (9y) | ||
| James Stephen De Falco | Registered representative | Nov 2017 (9y) | ||
| Mark Edward Stawarz | Registered representative | CFP | Nov 2017 (9y) | |
| Aaron John Ricketts | Registered representative | Nov 2017 (9y) | ||
| Abraheem Yameen | Registered representative | Nov 2017 (9y) | ||
| Adam Thompson Good | Registered representative | Nov 2017 (9y) | ||
| Andrea Joyce Spatz | Registered representative | CFP | Nov 2017 (9y) | |
| Andrea Marie Henry | Registered representative | Nov 2017 (9y) | ||
| Andrew David Landgraff | Registered representative | CFP | Nov 2017 (9y) | |
| Andrew Jon Mccollum | Registered representative | CFP | Nov 2017 (9y) | |
| Andrew Larry Moore | Registered representative | Nov 2017 (9y) | ||
| Angela Dawn Pepper | Registered representative | Nov 2017 (9y) | ||
| Angelene Cleo Rylance | Registered representative | Nov 2017 (9y) | ||
| Anthony S Barbera | Registered representative | CFP | Nov 2017 (9y) | |
| Anthony Strom Pastor | Registered representative | Nov 2017 (9y) | ||
| Ara Goryun Malazian | Registered representative | CFP | Nov 2017 (9y) | |
| Arthur Thomas Bertolina | Registered representative | Nov 2017 (9y) | ||
| Audrey Lynn Pool | Registered representative | Nov 2017 (9y) | ||
| Austin Repp | Registered representative | Nov 2017 (9y) | ||
| Adam Christopher Coffing | Registered representative | Nov 2017 (9y) | ||
| Becky Jean Vittum | Registered representative | Nov 2017 (9y) | ||
| Bernadette O Salazar | Registered representative | Nov 2017 (9y) | ||
| Bradley Dean Davis | Registered representative | Nov 2017 (9y) | ||
| Bradley Edward Connors | Registered representative | Nov 2017 (9y) | ||
| Bradley Minnaert Elshere | Registered representative | Nov 2017 (9y) | ||
| Branden Charles Mann | Registered representative | Nov 2017 (9y) | ||
| Brandon Douglas Cardarelli | Registered representative | CFP | Nov 2017 (9y) | |
| Brandon Michael Wong | Registered representative | Nov 2017 (9y) | ||
| Brendan Daniel Sheehan | Registered representative | CFP | Nov 2017 (9y) | |
| Brian Joseph Hentz | Registered representative | CFP | Nov 2017 (9y) | |
| Brian Keith Mcmillin | Registered representative | CFP | Nov 2017 (9y) | |
| Brian Larry Rogers | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Brian Lee Mikkelson | Registered representative | Nov 2017 (9y) | ||
| Brian Wayne Johnson | Registered representative | Nov 2017 (9y) | ||
| Bryan Geary Evoy | Registered representative | CFP | Nov 2017 (9y) | |
| Cara Diane Snowdon | Registered representative | Nov 2017 (9y) | ||
| Carolyn Jill Campbell | Registered representative | Nov 2017 (9y) | ||
| Carolyn Nawrocki Oberfeld | Registered representative | CFP | Nov 2017 (9y) | |
| Casey Thomas Nelson | Registered representative | Nov 2017 (9y) | ||
| Charlene Ann Logan | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Charles Carmon Crolle | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Charles Dean Rapp | Registered representative | Nov 2017 (9y) | ||
| Charles Mel Campbell | Registered representative | Nov 2017 (9y) | ||
| Christian Michael Barnett | Registered representative | CFP | Nov 2017 (9y) | |
| Christopher John Birmingham | Registered representative | Nov 2017 (9y) | ||
| Christopher K Disler | Registered representative | Nov 2017 (9y) | ||
| Christopher Panos Kamnitsis | Registered representative | Nov 2017 (9y) | ||
| Christopher Paul Jordan | Registered representative | Nov 2017 (9y) | ||
| Christopher Rocco Cottone | Registered representative | Nov 2017 (9y) | ||
| Cody Jackson Foster | Registered representative | Nov 2017 (9y) | ||
| Cody Ross Buck | Registered representative | Nov 2017 (9y) | ||
| Colin Robb Peldo | Registered representative | Nov 2017 (9y) | ||
| Corey Daniel Arno | Registered representative | Nov 2017 (9y) | ||
| Craig E Prudhomme | Registered representative | Nov 2017 (9y) | ||
| Craig Steven Rudd | Registered representative | Nov 2017 (9y) | ||
| Cynthia Ann Gustafson | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Cynthia Stauffer | Registered representative | CFP | Nov 2017 (9y) | |
| Carolyn Michelle Matson | Registered representative | Nov 2017 (9y) | ||
| Cole Aaron Milbrath | Registered representative | CFP | Nov 2017 (9y) | |
| Dale Allen Carlson | Registered representative | Nov 2017 (9y) | ||
| Damon John Tyler | Registered representative | Nov 2017 (9y) | ||
| Daniel Alan Benzer | Registered representative | Nov 2017 (9y) | ||
| Daniel Jose Valdes | Registered representative | Nov 2017 (9y) | ||
| Danny Allan Payne | Registered representative | Nov 2017 (9y) | ||
| David Dean Milbrath | Registered representative | CFP | Nov 2017 (9y) | |
| David Douglas Ritter | Registered representative | Nov 2017 (9y) | ||
| David Frank Nielsen | Registered representative | Nov 2017 (9y) | ||
| David Gregory Queen | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| David John Vanderzwaag | Registered representative | Nov 2017 (9y) | ||
| David Lawrence Givnish | Registered representative | Nov 2017 (9y) | ||
| David Paul Bax | Registered representative | Nov 2017 (9y) | ||
| David Samuel Barry | Registered representative | Nov 2017 (9y) | ||
| David Todd Simpson | Registered representative | Nov 2017 (9y) | ||
| Debra Lynn Seeley | Registered representative | CFP | Nov 2017 (9y) | |
| Denise Ione Martz | Registered representative | CFP | Nov 2017 (9y) | |
| Dennis Frank Rose | Registered representative | Nov 2017 (9y) | ||
| Dennis Wayne Shoemaker | Registered representative | Nov 2017 (9y) | ||
| Dorothy Tse Lee | Registered representative | Nov 2017 (9y) | ||
| Douglas Edward Norman | Registered representative | Nov 2017 (9y) | ||
| Douglas Egil Molstad | Registered representative | CFP | Nov 2017 (9y) | |
| Douglas Gregory Malan | Registered representative | Nov 2017 (9y) | ||
| Douglas Lee Ritter | Registered representative | CFP Personal Financial Specialist | Nov 2017 (9y) | |
| Dream Lyn Obrien | Registered representative | Nov 2017 (9y) | ||
| Duncan Donald Mcrae | Registered representative | Nov 2017 (9y) | ||
| Eduardo Silva | Registered representative | Nov 2017 (9y) | ||
| Elizabeth Grace Norman | Registered representative | Nov 2017 (9y) | ||
| Eric Alan Brown | Registered representative | Nov 2017 (9y) | ||
| Eric David Osgood | Registered representative | Nov 2017 (9y) | ||
| Eric John Isaak | Registered representative | Nov 2017 (9y) | ||
| Eric Lee Landis | Registered representative | Nov 2017 (9y) | ||
| Eric Paul Cook | Registered representative | Nov 2017 (9y) | ||
| Eric Russell Mindham | Registered representative | Nov 2017 (9y) | ||
| Elizabeth Ann Langenberg | Registered representative | Nov 2017 (9y) | ||
| Francis Xavier Pisano | Registered representative | Nov 2017 (9y) | ||
| Frank Baggio | Registered representative | Nov 2017 (9y) | ||
| Frank Edward Ell | Registered representative | CFP | Nov 2017 (9y) | |
| Frank Stanley Shimkus | Registered representative | Nov 2017 (9y) | ||
| Garrett P Freitag | Registered representative | CFP Chartered Financial Consultant | Nov 2017 (9y) | |
| Garrin Blain Bratcher | Registered representative | Nov 2017 (9y) | ||
| Gary Alan Klein | Registered representative | Nov 2017 (9y) | ||
| Gautam Misra | Registered representative | Nov 2017 (9y) | ||
| George William Melbrod | Registered representative | Nov 2017 (9y) | ||
| Gerald Douglas Watson | Registered representative | Nov 2017 (9y) | ||
| Gerald Sahog Jamgochian | Registered representative | Nov 2017 (9y) | ||
| Glenn Homer Griffin | Registered representative | Nov 2017 (9y) | ||
| Glenn Tremaine Grosh | Registered representative | CFP | Nov 2017 (9y) | |
| Grady William Boles | Registered representative | CFP | Nov 2017 (9y) | |
| Greg Skinner | Registered representative | Nov 2017 (9y) | ||
| Gregory Shawn Wade | Registered representative | Nov 2017 (9y) | ||
| Halycon Stephanie Washnieski | Registered representative | Nov 2017 (9y) | ||
| Henry Raymond Ouellette | Registered representative | Nov 2017 (9y) | ||
| Isaac Seth Gardner | Registered representative | Nov 2017 (9y) | ||
| Jacob W Balyeat | Registered representative | CFP | Nov 2017 (9y) | |
| James Allen O'neal | Registered representative | Nov 2017 (9y) | ||
| James B Songer | Registered representative | Nov 2017 (9y) | ||
| James Ferrari | Registered representative | Nov 2017 (9y) | ||
| James Kenneth Nichols | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| James Phillip Rieniets | Registered representative | Nov 2017 (9y) | ||
| James Robert Abernethy | Registered representative | Nov 2017 (9y) | ||
| James Wesley Brandt | Registered representative | Nov 2017 (9y) | ||
| Jay Gordon Panzer | Registered representative | Nov 2017 (9y) | ||
| Jeanne Anne Suttie | Registered representative | Nov 2017 (9y) | ||
| Jeff Kevin Smith | Registered representative | Nov 2017 (9y) | ||
| Jeffrey Allan Eckert | Registered representative | Nov 2017 (9y) | ||
| Jeffrey Bjarne Hoyer | Registered representative | Nov 2017 (9y) | ||
| Jeffrey Kenneth Stark | Registered representative | Nov 2017 (9y) | ||
| Jeffrey Scott Graunke | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Jennifer Elizabeth Strong | Registered representative | CFP | Nov 2017 (9y) | |
| Jennifer Lynn Mayes | Registered representative | Nov 2017 (9y) | ||
| Jennifer Monday Leman | Registered representative | Nov 2017 (9y) | ||
| Jerald Patrick Campbell | Registered representative | Nov 2017 (9y) | ||
| Jerry Bruce Sheby | Registered representative | CFP | Nov 2017 (9y) | |
| Jill Lynn Knoll | Registered representative | Nov 2017 (9y) | ||
| Jillian Rae Homyak Snyder | Registered representative | Nov 2017 (9y) | ||
| Jodie Lynn Barnes | Registered representative | Nov 2017 (9y) | ||
| John Allen Mueller | Registered representative | Nov 2017 (9y) | ||
| John Arthur Martin | Registered representative | CFP | Nov 2017 (9y) | |
| John Barnes | Registered representative | Nov 2017 (9y) | ||
| John Blanos | Registered representative | CFP | Nov 2017 (9y) | |
| John Cato Rich | Registered representative | Nov 2017 (9y) | ||
| John Edgar Brooks | Registered representative | Nov 2017 (9y) | ||
| John Eric Newell | Registered representative | Nov 2017 (9y) | ||
| John Erich Hansen | Registered representative | Nov 2017 (9y) | ||
| John Kevin Jovanovich | Registered representative | Nov 2017 (9y) | ||
| John Louie Morrison | Registered representative | Nov 2017 (9y) | ||
| John Mark Lugauer | Registered representative | CFP | Nov 2017 (9y) | |
| John Monroe Barry | Registered representative | Nov 2017 (9y) | ||
| John Randolph Ricketts | Registered representative | Nov 2017 (9y) | ||
| John Stephen Cecil | Registered representative | CFP | Nov 2017 (9y) | |
| John V O'hara | Registered representative | CFP | Nov 2017 (9y) | |
| John Wade Elliott | Registered representative | Nov 2017 (9y) | ||
| Johnny Kyle Roberts | Registered representative | Nov 2017 (9y) | ||
| Jon D Schmaderer | Registered representative | Nov 2017 (9y) | ||
| Jon Thomas Halstenson | Registered representative | Nov 2017 (9y) | ||
| Jonathan David Benge | Registered representative | Nov 2017 (9y) | ||
| Jordan David Milbrath | Registered representative | Nov 2017 (9y) | ||
| Joseph Angelo Sarbello | Registered representative | Nov 2017 (9y) | ||
| Joseph Anthony Pena | Registered representative | CFP | Nov 2017 (9y) | |
| Joseph Edward Cohen | Registered representative | Nov 2017 (9y) | ||
| Joseph Francis Brinker | Registered representative | Nov 2017 (9y) | ||
| Joseph Frederick Falbo | Registered representative | CFP | Nov 2017 (9y) | |
| Joseph John Morley | Registered representative | Nov 2017 (9y) | ||
| Joseph Mike Clinton | Registered representative | Nov 2017 (9y) | ||
| Joseph Tim Tobin | Registered representative | Nov 2017 (9y) | ||
| Joshua Tanner Mahoney | Registered representative | Nov 2017 (9y) | ||
| Julian Kamaunu Romero | Registered representative | Nov 2017 (9y) | ||
| Julie Nicole Graney | Registered representative | CFP | Nov 2017 (9y) | |
| Justin John West | Registered representative | Nov 2017 (9y) | ||
| Jeffrey Andrew David | Registered representative | Nov 2017 (9y) | ||
| Joanne L Bear | Registered representative | Nov 2017 (9y) | ||
| Katie Ann Fehrenbacher | Registered representative | Nov 2017 (9y) | ||
| Keith Alan Perry | Registered representative | Nov 2017 (9y) | ||
| Keith Douglas Haas | Registered representative | Nov 2017 (9y) | ||
| Keith William Berg | Registered representative | Nov 2017 (9y) | ||
| Kelli Sue Phifer | Registered representative | Nov 2017 (9y) | ||
| Kenneth Arthur Foisie | Registered representative | Nov 2017 (9y) | ||
| Kenneth Jacob Horseman | Registered representative | Nov 2017 (9y) | ||
| Keri Irene Pugh | Registered representative | CFP | Nov 2017 (9y) | |
| Kevin Elwood Stoddard | Registered representative | CFA | Nov 2017 (9y) | |
| Kevin Michael Bettinger | Registered representative | Nov 2017 (9y) | ||
| Kevin Michael Dunnigan | Registered representative | CFP | Nov 2017 (9y) | |
| Khary Andre Miller | Registered representative | Nov 2017 (9y) | ||
| Kim England Taylor | Registered representative | Nov 2017 (9y) | ||
| Kirk Allen Sheby | Registered representative | Nov 2017 (9y) | ||
| Kristine Kay Keegan | Registered representative | Nov 2017 (9y) | ||
| Kurt Chen | Registered representative | Nov 2017 (9y) | ||
| Kyle Dean Fink | Registered representative | Nov 2017 (9y) | ||
| Kyle Russell Linton | Registered representative | Nov 2017 (9y) | ||
| Kerri Beth Willing | Registered representative | Nov 2017 (9y) | ||
| Lance Christopher Aten | Registered representative | CFP | Nov 2017 (9y) | |
| Lanny Rex Stout | Registered representative | Nov 2017 (9y) | ||
| Laura Ann Lamppa | Registered representative | Nov 2017 (9y) | ||
| Laura Irene Cavanaugh | Registered representative | Nov 2017 (9y) | ||
| Lenore Joan Rostoni | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Leo John Schlangen | Registered representative | CFP | Nov 2017 (9y) | |
| Leonard Keith Langner | Registered representative | Nov 2017 (9y) | ||
| Leonard Mark Sander | Registered representative | Nov 2017 (9y) | ||
| Leonard Wade Frisbie | Registered representative | Nov 2017 (9y) | ||
| Lewis Morton Wallensky | Registered representative | CFP | Nov 2017 (9y) | |
| Linda Pauline Garrett | Registered representative | Nov 2017 (9y) | ||
| Linda Sharon Bonham | Registered representative | Nov 2017 (9y) | ||
| Linton Fred Banwell | Registered representative | Nov 2017 (9y) | ||
| Lisa K Eady | Registered representative | CFP | Nov 2017 (9y) | |
| Lon Glenn Gulberg | Registered representative | Nov 2017 (9y) | ||
| Lori Ann Grams | Registered representative | Nov 2017 (9y) | ||
| Louis Joseph Wasilewski | Registered representative | Nov 2017 (9y) | ||
| Luke Bartow Dickson | Registered representative | Nov 2017 (9y) | ||
| Margaret Rose Seabrooke | Registered representative | Nov 2017 (9y) | ||
| Mario Paniscotti | Registered representative | Nov 2017 (9y) | ||
| Mark Allen Glidewell | Registered representative | Nov 2017 (9y) | ||
| Mark Angelo Coller | Registered representative | Personal Financial Specialist | Nov 2017 (9y) | |
| Mark Cullen Weg | Registered representative | Personal Financial Specialist | Nov 2017 (9y) | |
| Mark David Kemp | Registered representative | CFP | Nov 2017 (9y) | |
| Mark Duwayne Teigen | Registered representative | Nov 2017 (9y) | ||
| Mark Richard Lerfald | Registered representative | Nov 2017 (9y) | ||
| Marsha Ann Smith | Registered representative | Nov 2017 (9y) | ||
| Mary Ann Lopez | Registered representative | Nov 2017 (9y) | ||
| Mary Ann Reinoehl | Registered representative | CFP | Nov 2017 (9y) | |
| Mary Kay North | Registered representative | Nov 2017 (9y) | ||
| Matthew Bowar | Registered representative | Nov 2017 (9y) | ||
| Matthew Robert Hardyman | Registered representative | Nov 2017 (9y) | ||
| Michael A Leal | Registered representative | Nov 2017 (9y) | ||
| Michael Aaron Resnik | Registered representative | Nov 2017 (9y) | ||
| Michael Anthony Anicito | Registered representative | Nov 2017 (9y) | ||
| Michael David Sutherland | Registered representative | CFP | Nov 2017 (9y) | |
| Michael Dean Borns | Registered representative | Nov 2017 (9y) | ||
| Michael James Callan | Registered representative | Nov 2017 (9y) | ||
| Michael James Flannery | Registered representative | Nov 2017 (9y) | ||
| Michael John Kennedy | Registered representative | CFP | Nov 2017 (9y) | |
| Michael Joseph Ham | Registered representative | Nov 2017 (9y) | ||
| Michael Joseph Lamaina | Registered representative | CFP | Nov 2017 (9y) | |
| Michael Patrick Speakman | Registered representative | CFP | Nov 2017 (9y) | |
| Michael Paul Ritland | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Michael Phillip Tarantino | Registered representative | CFP | Nov 2017 (9y) | |
| Michael Ralph Santino | Registered representative | Personal Financial Specialist | Nov 2017 (9y) | |
| Michael Richard Fischer | Registered representative | Nov 2017 (9y) | ||
| Michael Roy Huck | Registered representative | CFP | Nov 2017 (9y) | |
| Michael Thomas Bindas | Registered representative | Nov 2017 (9y) | ||
| Michael Thomas Feenan | Registered representative | Nov 2017 (9y) | ||
| Michael Wayne Lehman | Registered representative | CFP | Nov 2017 (9y) | |
| Michael William Haley | Registered representative | Nov 2017 (9y) | ||
| Michelle Louise Irby | Registered representative | Nov 2017 (9y) | ||
| Mickey Lee Henderson | Registered representative | Nov 2017 (9y) | ||
| Myron Nicholas Roe | Registered representative | Nov 2017 (9y) | ||
| Monica A Greenlee | Registered representative | Nov 2017 (9y) | ||
| Natalie Dawn Betcher | Registered representative | Nov 2017 (9y) | ||
| Natalie Noel Burns | Registered representative | Nov 2017 (9y) | ||
| Neal Alfred Waner | Registered representative | CFP | Nov 2017 (9y) | |
| Nicole Rae Shilhanek | Registered representative | Nov 2017 (9y) | ||
| Nita Renee Rieniets | Registered representative | CFP | Nov 2017 (9y) | |
| Patrick James Fovel | Registered representative | Nov 2017 (9y) | ||
| Patrick Neal Broome | Registered representative | Nov 2017 (9y) | ||
| Paul Arthur Walters | Registered representative | CFP | Nov 2017 (9y) | |
| Paul Duane Hummel | Registered representative | Nov 2017 (9y) | ||
| Paul Edward Rankowitz | Registered representative | Nov 2017 (9y) | ||
| Paul S Funkhouser | Registered representative | Nov 2017 (9y) | ||
| Peter E Jochems | Registered representative | Nov 2017 (9y) | ||
| Peter James Plut | Registered representative | Nov 2017 (9y) | ||
| Phillip Matthew Bell | Registered representative | CFP | Nov 2017 (9y) | |
| R.F. Burke Steele | Registered representative | Nov 2017 (9y) | ||
| Rance Gene Sweeten | Registered representative | Nov 2017 (9y) | ||
| Raymond Philippe Mathieu | Registered representative | Nov 2017 (9y) | ||
| Rf Burke Steele | Registered representative | Nov 2017 (9y) | ||
| Richard Gaber Isaacs | Registered representative | Nov 2017 (9y) | ||
| Richard M Brown | Registered representative | Nov 2017 (9y) | ||
| Richard Thomas Martell | Registered representative | Nov 2017 (9y) | ||
| Robert A Root | Registered representative | Nov 2017 (9y) | ||
| Robert A Skuba | Registered representative | Nov 2017 (9y) | ||
| Robert Booker Steele | Registered representative | Nov 2017 (9y) | ||
| Robert D Roland | Registered representative | Nov 2017 (9y) | ||
| Robert Douglas Ziller | Registered representative | Nov 2017 (9y) | ||
| Robert Galindo | Registered representative | Nov 2017 (9y) | ||
| Robert Joseph Folse | Registered representative | Nov 2017 (9y) | ||
| Robert Tipping Campbell | Registered representative | Nov 2017 (9y) | ||
| Robert William Beseman | Registered representative | Nov 2017 (9y) | ||
| Rodney Jerald Chamberlin | Registered representative | Nov 2017 (9y) | ||
| Rodney N Brown | Registered representative | Nov 2017 (9y) | ||
| Ronald Dean Bailey | Registered representative | Nov 2017 (9y) | ||
| Ronald Michael Teller | Registered representative | Nov 2017 (9y) | ||
| Ronald Ray Schmidt | Registered representative | CFP | Nov 2017 (9y) | |
| Ryan Michael Callan | Registered representative | Nov 2017 (9y) | ||
| Ryan Vincent Sapp | Registered representative | Nov 2017 (9y) | ||
| Ryan James Gunderson | Registered representative | CFP | Nov 2017 (9y) | |
| Samuel Oliver Dehaven | Registered representative | Nov 2017 (9y) | ||
| Samuel T Morton | Registered representative | Nov 2017 (9y) | ||
| Sandra Kay King | Registered representative | Nov 2017 (9y) | ||
| Sanjay Atul Das | Registered representative | CFP | Nov 2017 (9y) | |
| Sara Rose Smith | Registered representative | Nov 2017 (9y) | ||
| Scott Jon Severson | Registered representative | Nov 2017 (9y) | ||
| Scott Michael Burns | Registered representative | Nov 2017 (9y) | ||
| Shawn Michael Swenson | Registered representative | CFP | Nov 2017 (9y) | |
| Shawn Todd Pomeroy | Registered representative | Nov 2017 (9y) | ||
| Stanley Nick Tzikas | Registered representative | Nov 2017 (9y) | ||
| Stephan Ronald Ernharth | Registered representative | Nov 2017 (9y) | ||
| Stephen Constantine Kamnitsis | Registered representative | Nov 2017 (9y) | ||
| Stephen Craig Locker | Registered representative | CFP | Nov 2017 (9y) | |
| Stephen Ernst Maurer | Registered representative | Nov 2017 (9y) | ||
| Stephen Paul August | Registered representative | Nov 2017 (9y) | ||
| Steve Kenneth Sterling | Registered representative | Nov 2017 (9y) | ||
| Steven Corey Hoekstra | Registered representative | Nov 2017 (9y) | ||
| Steven Donald Lorenz | Registered representative | CFP Chartered Financial Consultant | Nov 2017 (9y) | |
| Steven Edwin Fairchild | Registered representative | CFP | Nov 2017 (9y) | |
| Steven John Berry | Registered representative | Nov 2017 (9y) | ||
| Steven John Kesses | Registered representative | Nov 2017 (9y) | ||
| Steven Mark Kenski | Registered representative | Nov 2017 (9y) | ||
| Stewart John Schutte | Registered representative | CFP | Nov 2017 (9y) | |
| Susan Agnes Hancock | Registered representative | Nov 2017 (9y) | ||
| Tami Lynn Stovern | Registered representative | Nov 2017 (9y) | ||
| Taylor Robert Huck | Registered representative | CFP | Nov 2017 (9y) | |
| Therese Catherine Walters | Registered representative | Nov 2017 (9y) | ||
| Thomas Brian Tschider | Registered representative | Nov 2017 (9y) | ||
| Thomas Carl Ammons | Registered representative | Personal Financial Specialist | Nov 2017 (9y) | |
| Thomas David Vanderzwaag | Registered representative | Nov 2017 (9y) | ||
| Thomas Jeffrey Berg | Registered representative | CFP | Nov 2017 (9y) | |
| Thomas Jon Halstenson | Registered representative | Nov 2017 (9y) | ||
| Thomas Matthew Sallady | Registered representative | Nov 2017 (9y) | ||
| Timothy David Gay | Registered representative | Nov 2017 (9y) | ||
| Timothy Robert Oneil | Registered representative | Nov 2017 (9y) | ||
| Todd Alexander Little | Registered representative | CFP | Nov 2017 (9y) | |
| Todd Allen Hoover | Registered representative | Nov 2017 (9y) | ||
| Todd Hutson Smith | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Todd Michael Andre | Registered representative | Nov 2017 (9y) | ||
| Tom Allen Glandt | Registered representative | Nov 2017 (9y) | ||
| Tommy Dean Bentley | Registered representative | CFP | Nov 2017 (9y) | |
| Tracy Jo Dostal | Registered representative | CFP | Nov 2017 (9y) | |
| Travis M Huck | Registered representative | Nov 2017 (9y) | ||
| Tricia Haider Klaphake | Registered representative | Nov 2017 (9y) | ||
| Tyler Lee Hendrix | Registered representative | Nov 2017 (9y) | ||
| Tyler Lee Rusch | Registered representative | CFP | Nov 2017 (9y) | |
| Vincent Raymond Hart | Registered representative | Nov 2017 (9y) | ||
| Walter L Daszkowski | Registered representative | Personal Financial Specialist | Nov 2017 (9y) | |
| Weldon Terry Abell | Registered representative | Nov 2017 (9y) | ||
| William Dee Montplaisir | Registered representative | Nov 2017 (9y) | ||
| William Louis Pfadt | Registered representative | CFP Chartered Financial Consultant | Nov 2017 (9y) | |
| Woodrow Selvey Knight | Registered representative | Nov 2017 (9y) | ||
| Yan Li | Registered representative | Nov 2017 (9y) | ||
| Damon Scott Dozier | Registered representative | Nov 2017 (9y) | ||
| Daniel Trivison | Registered representative | Nov 2017 (9y) | ||
| Dustin Robert Orr | Registered representative | Nov 2017 (9y) | ||
| Grant Farrar Williams | Registered representative | Nov 2017 (9y) | ||
| Jeffrey Scott Hoadley | Registered representative | CFP | Nov 2017 (9y) | |
| Michael Joseph Bus | Registered representative | Nov 2017 (9y) | ||
| Michael Robert Gennawey | Registered representative | Nov 2017 (9y) | ||
| Phil Martin Andrews | Registered representative | Nov 2017 (9y) | ||
| David John Wright | Registered representative | Dec 2017 (9y) | ||
| Anne M Faunce | Registered representative | Dec 2017 (9y) | ||
| Ryan Anthony Gallo | Registered representative | Dec 2017 (9y) | ||
| Andrew David Schmitmeyer | Registered representative | Dec 2017 (9y) | ||
| Marcus Craig Carpenter | Registered representative | Dec 2017 (9y) | ||
| Ben Valdovinos | Registered representative | Dec 2017 (9y) | ||
| James Alexander Bianchi | Registered representative | Chartered Financial Consultant | Dec 2017 (9y) | |
| Peter Marvin Arnold | Registered representative | Dec 2017 (9y) | ||
| Sergio Mikel Ceja | Registered representative | Dec 2017 (9y) | ||
| Darrel Bruce Markley | Registered representative | Chartered Financial Consultant | Dec 2017 (9y) | |
| Jeremy Scott Thigpen | Registered representative | Dec 2017 (9y) | ||
| Kimberly Marie Barfknecht | Registered representative | Dec 2017 (9y) | ||
| Keith Andrew Hamilton | Registered representative | CFP | Dec 2017 (9y) | |
| Robert Terrence Laufer | Registered representative | Dec 2017 (9y) | ||
| William Martin Witte | Registered representative | Dec 2017 (9y) | ||
| John W. Malloy | Registered representative | Dec 2017 (9y) | ||
| Adam Jeffery Christner | Registered representative | Dec 2017 (9y) | ||
| Charles Edward Moore | Registered representative | Dec 2017 (9y) | ||
| Joseph Michael Dorrycott | Registered representative | Dec 2017 (9y) | ||
| Christopher Andrew Aguele | Registered representative | Dec 2017 (9y) | ||
| Henry Victor Millner | Registered representative | Chartered Financial Consultant | Dec 2017 (9y) | |
| Joel Kenneth Balam | Registered representative | Dec 2017 (9y) | ||
| Michael Edward Devlin | Registered representative | Dec 2017 (9y) | ||
| Michael B Du Pont | Registered representative | Dec 2017 (9y) | ||
| William Augustine Connell | Registered representative | Dec 2017 (9y) | ||
| Brian Hu | Registered representative | Dec 2017 (9y) | ||
| Myra Jane O'leary | Registered representative | Dec 2017 (9y) | ||
| Stephen Randall Hulsey | Registered representative | CFP | Dec 2017 (9y) | |
| Harold Edward Hagy | Registered representative | Dec 2017 (9y) | ||
| Matthew John Field | Registered representative | Dec 2017 (9y) | ||
| Scott M Jacobsen | Registered representative | Dec 2017 (9y) | ||
| Christopher Michael Barstow | Registered representative | Dec 2017 (9y) | ||
| Huy Quoc Nguyen | Registered representative | Dec 2017 (9y) | ||
| John Duwe | Registered representative | Dec 2017 (9y) | ||
| James R Claroni | Registered representative | CFP | Dec 2017 (9y) | |
| Matthew Wai Kiu Wong | Registered representative | Dec 2017 (9y) | ||
| Nicholas David Petralia | Registered representative | CFP | Jan 2018 (9y) | |
| Robert C Moore | Registered representative | Jan 2018 (9y) | ||
| Maria Arellano | Registered representative | Jan 2018 (9y) | ||
| Nicole Ann Vicencio | Registered representative | Jan 2018 (9y) | ||
| Adam Matthew Kearns | Registered representative | Jan 2018 (9y) | ||
| Daniel Kim Nordstrom | Registered representative | CFP | Jan 2018 (9y) | |
| Harold Ashley Lawson | Registered representative | Jan 2018 (9y) | ||
| Joseph Meccia | Registered representative | Jan 2018 (9y) | ||
| Jerry Bandith Rickey | Registered representative | Jan 2018 (9y) | ||
| Andrew J Ewanyk | Registered representative | Jan 2018 (9y) | ||
| Eugene George O Leary | Registered representative | Jan 2018 (9y) | ||
| Gregory Brooks Whitehead | Registered representative | Jan 2018 (9y) | ||
| Katalin Maria Orban | Registered representative | Jan 2018 (9y) | ||
| Tae Bum Kim | Registered representative | Jan 2018 (9y) | ||
| Daniel Patrick Twomey | Registered representative | CFP | Jan 2018 (9y) | |
| John Christopher Greenway | Registered representative | Jan 2018 (9y) | ||
| Stephen Charles Chandler | Registered representative | Jan 2018 (9y) | ||
| Helena Patricia Potze Godfrey | Registered representative | Jan 2018 (9y) | ||
| Lisa R Kulhavi | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| Jennifer Fisher | Registered representative | Jan 2018 (9y) | ||
| Robert Alan Love | Registered representative | Jan 2018 (9y) | ||
| Brittany Nicole Jarocki | Registered representative | Jan 2018 (9y) | ||
| Jess Carter Hansen | Registered representative | Jan 2018 (9y) | ||
| Lauren Ann Patterson | Registered representative | CFP | Jan 2018 (9y) | |
| Christopher Paul Vasques | Registered representative | Jan 2018 (9y) | ||
| Michael Roberto Nunez | Registered representative | Jan 2018 (9y) | ||
| Linda Ernestine Bauer | Registered representative | Jan 2018 (9y) | ||
| Robert Frederick Mckay | Registered representative | Jan 2018 (9y) | ||
| Tinamarie Sophia Stock | Registered representative | Jan 2018 (9y) | ||
| Tobias Allan Meek | Registered representative | Jan 2018 (9y) | ||
| Alan Mark Rickert | Registered representative | CFP | Jan 2018 (9y) | |
| Michael Taylor Silverio | Registered representative | Jan 2018 (9y) | ||
| Scott Daniel Constable | Registered representative | Jan 2018 (9y) | ||
| Bradley Scott Mondshane | Registered representative | Jan 2018 (9y) | ||
| Eric Alan Johnson | Registered representative | Jan 2018 (9y) | ||
| Jaime Arnoldo Cavazos | Registered representative | Jan 2018 (9y) | ||
| Matthew Alan Burns | Registered representative | Jan 2018 (9y) | ||
| Soren Elisabeth Croxall | Registered representative | CFP | Jan 2018 (9y) | |
| Barry Stephen Davis | Registered representative | Jan 2018 (9y) | ||
| Matthew David Crace | Registered representative | Jan 2018 (9y) | ||
| Kimberly Joy Cimmiyotti | Registered representative | Jan 2018 (9y) | ||
| Lawrence Edward Mullins | Registered representative | Jan 2018 (9y) | ||
| Veronica De La Rosa | Registered representative | Jan 2018 (9y) | ||
| Gregory Jackson Baxter | Registered representative | Jan 2018 (9y) | ||
| Steven Craig Justice | Registered representative | Jan 2018 (9y) | ||
| Melanie Ann Arner | Registered representative | Jan 2018 (9y) | ||
| Ryan James Flynn | Registered representative | Jan 2018 (9y) | ||
| William J. Farber | Registered representative | Jan 2018 (9y) | ||
| Catherine Shaner Carlock | Registered representative | Jan 2018 (9y) | ||
| Gregory Thomas Cornelius | Registered representative | CFP | Jan 2018 (9y) | |
| Jennifer Mauldin | Registered representative | Jan 2018 (9y) | ||
| Keith Fredrick Novak | Registered representative | Jan 2018 (9y) | ||
| Mark David Rabin | Registered representative | Jan 2018 (9y) | ||
| Kevin R Montgomery | Registered representative | Feb 2018 (9y) | ||
| Walter Rey Cinocco | Registered representative | Feb 2018 (9y) | ||
| Robert Gary Davis | Registered representative | Feb 2018 (8y) | ||
| Jonathan Edward Stano | Registered representative | CFP | Feb 2018 (8y) | |
| Randy Michael Malloy | Registered representative | Feb 2018 (8y) | ||
| Todd Jonathan Feintuch | Registered representative | CFP | Feb 2018 (8y) | |
| William J Faber | Registered representative | CFP | Feb 2018 (8y) | |
| Justin Smith | Registered representative | Feb 2018 (8y) | ||
| Susanne R. Nelson | Registered representative | Feb 2018 (8y) | ||
| Tyler Justin Romney | Registered representative | CFP | Feb 2018 (8y) | |
| Adam J. Bay | Registered representative | Feb 2018 (8y) | ||
| James John Hudock | Registered representative | Feb 2018 (8y) | ||
| Thomas Edward Shurgar | Registered representative | Feb 2018 (8y) | ||
| Joseph Bartlett Williams | Registered representative | Feb 2018 (8y) | ||
| Richard Clayton Pogue | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Aaron Jay Weinstock | Registered representative | CFP | Feb 2018 (8y) | |
| Adam Gabriel Wolff | Registered representative | Feb 2018 (8y) | ||
| Adam Kyle Sipes | Registered representative | Feb 2018 (8y) | ||
| Alan Blaine Shouse | Registered representative | Feb 2018 (8y) | ||
| Alan Paul Tichman | Registered representative | CFP | Feb 2018 (8y) | |
| Alfredo Marc Ruiz | Registered representative | Feb 2018 (8y) | ||
| Alice Leary Reitz | Registered representative | CFP Chartered Financial Consultant | Feb 2018 (8y) | |
| Allison H Reeves | Registered representative | CFP | Feb 2018 (8y) | |
| Amy Lundy Crooks | Registered representative | Feb 2018 (8y) | ||
| Andrew Scott Lubash | Registered representative | Feb 2018 (8y) | ||
| Angel Galan | Registered representative | Feb 2018 (8y) | ||
| Anthony John Mercuri | Registered representative | Feb 2018 (8y) | ||
| Anthony Wayne Sexton | Registered representative | Feb 2018 (8y) | ||
| Arthur Wright Davis | Registered representative | Feb 2018 (8y) | ||
| Ashley Marie Lawler | Registered representative | Feb 2018 (8y) | ||
| Austin Lee Lester | Registered representative | Feb 2018 (8y) | ||
| Barbara Ellen Anderson | Registered representative | Feb 2018 (8y) | ||
| Benjamin Alfons Welter | Registered representative | Feb 2018 (8y) | ||
| Beverly Boyd Neighbors | Registered representative | Feb 2018 (8y) | ||
| Blair Frederick Folkens | Registered representative | Feb 2018 (8y) | ||
| Blake Eugene Dahlby | Registered representative | Feb 2018 (8y) | ||
| Brent A Patry | Registered representative | Feb 2018 (8y) | ||
| Brent Jon Boraas | Registered representative | CFP | Feb 2018 (8y) | |
| Brent Taylor Murphree | Registered representative | CFP | Feb 2018 (8y) | |
| Brett Cole Hudson | Registered representative | Feb 2018 (8y) | ||
| Brian Joseph Culloty | Registered representative | Feb 2018 (8y) | ||
| Brian Joseph Jensen | Registered representative | CFP Chartered Financial Consultant | Feb 2018 (8y) | |
| Brian Lee Drane | Registered representative | Feb 2018 (8y) | ||
| Brian Todd Bishop | Registered representative | CFP | Feb 2018 (8y) | |
| Brian Vincent Vinagro | Registered representative | CFP | Feb 2018 (8y) | |
| Bridget Colleen Shoemaker | Registered representative | Feb 2018 (8y) | ||
| Bryan C Neill | Registered representative | Feb 2018 (8y) | ||
| Bryan Scott Pecherek | Registered representative | Feb 2018 (8y) | ||
| Carey Michael Wolf | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Carol Ann Seidel Mcnelley | Registered representative | Feb 2018 (8y) | ||
| Chad David Schafer | Registered representative | CFP | Feb 2018 (8y) | |
| Chad Spencer Williams | Registered representative | Feb 2018 (8y) | ||
| Chadwick J Murray | Registered representative | CFP | Feb 2018 (8y) | |
| Chalee Beth Crouch | Registered representative | CFP | Feb 2018 (8y) | |
| Charles J Hahn | Registered representative | Feb 2018 (8y) | ||
| Charles Joseph Frank | Registered representative | Feb 2018 (8y) | ||
| Charles Michael Baracco | Registered representative | Feb 2018 (8y) | ||
| Christopher Bryan Grettum | Registered representative | Feb 2018 (8y) | ||
| Christopher David Patnode | Registered representative | Feb 2018 (8y) | ||
| Christopher Donald Miller | Registered representative | Feb 2018 (8y) | ||
| Christopher James Cunningham | Registered representative | Feb 2018 (8y) | ||
| Christopher John Cooney | Registered representative | CFP | Feb 2018 (8y) | |
| Christopher Michael Wells | Registered representative | Feb 2018 (8y) | ||
| Christopher R Malphurs | Registered representative | CFP | Feb 2018 (8y) | |
| Christopher Scott Moore | Registered representative | Feb 2018 (8y) | ||
| Clayton D Bentzen | Registered representative | Feb 2018 (8y) | ||
| Clifford James Rice | Registered representative | Feb 2018 (8y) | ||
| Clint Michael Farabaugh | Registered representative | CFP | Feb 2018 (8y) | |
| Clinton Joseph Henry | Registered representative | Feb 2018 (8y) | ||
| Cory Lane Robinson | Registered representative | Feb 2018 (8y) | ||
| Cory Reed Walton | Registered representative | Feb 2018 (8y) | ||
| Craig Ian Weinstock | Registered representative | Feb 2018 (8y) | ||
| Craig Walter Jergenson | Registered representative | CFP | Feb 2018 (8y) | |
| Cynthia Booze Richardson | Registered representative | Feb 2018 (8y) | ||
| Christopher Ryan Griffith | Registered representative | Feb 2018 (8y) | ||
| Dagan James Sharpe | Registered representative | Feb 2018 (8y) | ||
| Daniel George Bruza | Registered representative | Feb 2018 (8y) | ||
| Daniel James Wiersma | Registered representative | Feb 2018 (8y) | ||
| Daniel Matthew Wehner | Registered representative | Feb 2018 (8y) | ||
| Daniel Michael Zimmerman | Registered representative | Feb 2018 (8y) | ||
| Daniel Paul Drappo | Registered representative | CFP | Feb 2018 (8y) | |
| Daniel R Messelt | Registered representative | Feb 2018 (8y) | ||
| Daniel Raymond Cibula | Registered representative | Feb 2018 (8y) | ||
| Daniel Richard Colvis | Registered representative | Feb 2018 (8y) | ||
| Daniel Tobias Schmid | Registered representative | Feb 2018 (8y) | ||
| Darren Keese Odonnell | Registered representative | Feb 2018 (8y) | ||
| David Anthony Klapatch | Registered representative | Feb 2018 (8y) | ||
| David Brent Robinson | Registered representative | Feb 2018 (8y) | ||
| David Hunter O'neil | Registered representative | Feb 2018 (8y) | ||
| David Jeramy Hawkins | Registered representative | Feb 2018 (8y) | ||
| David Joseph Ptacek | Registered representative | Feb 2018 (8y) | ||
| David Lee Lamie | Registered representative | CFP | Feb 2018 (8y) | |
| David S Taylor | Registered representative | CFP | Feb 2018 (8y) | |
| David Seth Leibowitz | Registered representative | Feb 2018 (8y) | ||
| David Walter Krupp | Registered representative | Feb 2018 (8y) | ||
| Dean Edward Mccullar | Registered representative | CFP | Feb 2018 (8y) | |
| Deborah M Williams | Registered representative | Feb 2018 (8y) | ||
| Donald Glen Bishop | Registered representative | Feb 2018 (8y) | ||
| Dustin Patrick Morris | Registered representative | Feb 2018 (8y) | ||
| Edward Harry Soderberg | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Edward Paul Giaco | Registered representative | Feb 2018 (8y) | ||
| Emerson Joseph Fersch | Registered representative | CFP Chartered Financial Consultant | Feb 2018 (8y) | |
| Eric Edward Brunet | Registered representative | Feb 2018 (8y) | ||
| Eric J Klein | Registered representative | Feb 2018 (8y) | ||
| Evan Scott Hodson | Registered representative | Feb 2018 (8y) | ||
| Frank J Luciano | Registered representative | Feb 2018 (8y) | ||
| Frederick James Guist | Registered representative | Feb 2018 (8y) | ||
| Frederick Roy Hoffman | Registered representative | Feb 2018 (8y) | ||
| Fremont Byron Hodson | Registered representative | Feb 2018 (8y) | ||
| Gary Alan Frank | Registered representative | Feb 2018 (8y) | ||
| Gary Alan Richardson | Registered representative | Feb 2018 (8y) | ||
| Gary Orvin Fossum | Registered representative | Feb 2018 (8y) | ||
| Gary Thayne Haworth | Registered representative | Feb 2018 (8y) | ||
| George Michael Weingartner | Registered representative | Feb 2018 (8y) | ||
| Gerald Jay Lamalfa | Registered representative | CFP | Feb 2018 (8y) | |
| Geraldine Ann Schuhmann | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Gilbert Todd Chase | Registered representative | Feb 2018 (8y) | ||
| Gilles Nelson Paradis | Registered representative | Feb 2018 (8y) | ||
| Glenn Philip Livingston | Registered representative | Feb 2018 (8y) | ||
| Gregory Francis Patton | Registered representative | Feb 2018 (8y) | ||
| Gregory Joseph Waters | Registered representative | CFP | Feb 2018 (8y) | |
| Gregory Leon Shores | Registered representative | Feb 2018 (8y) | ||
| Gregory Miro Skrabonja | Registered representative | Feb 2018 (8y) | ||
| Guy Alexander Crooks | Registered representative | Feb 2018 (8y) | ||
| Guy Prospere Clairmont | Registered representative | Feb 2018 (8y) | ||
| Harris Leonard Kerker | Registered representative | Feb 2018 (8y) | ||
| Harry Randall Arrowood | Registered representative | CFP | Feb 2018 (8y) | |
| Hasina Saleh | Registered representative | Feb 2018 (8y) | ||
| Heather Diane Watts | Registered representative | CFP | Feb 2018 (8y) | |
| Henry Stephen Dembowski | Registered representative | Feb 2018 (8y) | ||
| Howard Bruce Golick | Registered representative | Feb 2018 (8y) | ||
| Jacob Daniel Klein | Registered representative | Feb 2018 (8y) | ||
| James Benjamin Mccormick | Registered representative | Feb 2018 (8y) | ||
| James Darren Roberson | Registered representative | Feb 2018 (8y) | ||
| James Joseph Meehan | Registered representative | CFP | Feb 2018 (8y) | |
| James Paul Connor | Registered representative | Feb 2018 (8y) | ||
| James Thomas Rotter | Registered representative | Feb 2018 (8y) | ||
| James Wirt Hyndman | Registered representative | Feb 2018 (8y) | ||
| Jamie Lee Spindler | Registered representative | Feb 2018 (8y) | ||
| Jason F Webb | Registered representative | Feb 2018 (8y) | ||
| Jason James Jaeger | Registered representative | Feb 2018 (8y) | ||
| Jason Jordan Bennett | Registered representative | Feb 2018 (8y) | ||
| Jason Louis Hunt | Registered representative | CFP | Feb 2018 (8y) | |
| Jason Matthew Casey | Registered representative | Feb 2018 (8y) | ||
| Jason Matthew Kirke | Registered representative | CFP | Feb 2018 (8y) | |
| Jason Robert Yuhas | Registered representative | Feb 2018 (8y) | ||
| Jason William Neal | Registered representative | CFP | Feb 2018 (8y) | |
| Jason William Urbaniak | Registered representative | Feb 2018 (8y) | ||
| Jeff Berry Iunker | Registered representative | Feb 2018 (8y) | ||
| Jeffrey Bernard Werner | Registered representative | CFP | Feb 2018 (8y) | |
| Jeffrey Bruce Smith | Registered representative | Feb 2018 (8y) | ||
| Jeffrey Chad Muri | Registered representative | Feb 2018 (8y) | ||
| Jeffrey Gene Boessen | Registered representative | CFP | Feb 2018 (8y) | |
| Jeffrey James Carson | Registered representative | Feb 2018 (8y) | ||
| Jeffrey John Saplak | Registered representative | Feb 2018 (8y) | ||
| Jeffrey Michael Church | Registered representative | CFP | Feb 2018 (8y) | |
| Jeffrey Scott Miles | Registered representative | Feb 2018 (8y) | ||
| Jeffrey Scott Ramsey | Registered representative | CFP | Feb 2018 (8y) | |
| Jennifer L Nielsen | Registered representative | Feb 2018 (8y) | ||
| Jennifer Melissa Desanto | Registered representative | Feb 2018 (8y) | ||
| Jeremy Thomas Caza | Registered representative | Feb 2018 (8y) | ||
| Jerome Richard Jones | Registered representative | CFP | Feb 2018 (8y) | |
| Joel Cameron Magruder | Registered representative | Feb 2018 (8y) | ||
| Joel Terrell Swaim | Registered representative | Feb 2018 (8y) | ||
| John Bradley Overson | Registered representative | Feb 2018 (8y) | ||
| John Gary Evans | Registered representative | Feb 2018 (8y) | ||
| John James Ricker | Registered representative | Feb 2018 (8y) | ||
| John Joseph Hopp | Registered representative | Feb 2018 (8y) | ||
| John Patrick Cuddihy | Registered representative | Feb 2018 (8y) | ||
| John Robert Gehlhaart | Registered representative | Feb 2018 (8y) | ||
| Johnny Maloy Burkett | Registered representative | Feb 2018 (8y) | ||
| Jonathan Mark Schultz | Registered representative | Feb 2018 (8y) | ||
| Jordan Joseph Hopp | Registered representative | Feb 2018 (8y) | ||
| Joseph Bonura | Registered representative | Feb 2018 (8y) | ||
| Joseph Brandon Grimsley | Registered representative | CFP | Feb 2018 (8y) | |
| Joseph Caldera | Registered representative | CFP | Feb 2018 (8y) | |
| Joseph M Butler | Registered representative | Feb 2018 (8y) | ||
| Joseph Metro Topichak | Registered representative | Feb 2018 (8y) | ||
| Joseph Michael Senglaub | Registered representative | Feb 2018 (8y) | ||
| Joseph Peter Hatfield | Registered representative | Feb 2018 (8y) | ||
| Joseph William Arnold | Registered representative | Feb 2018 (8y) | ||
| Joshua Timothy Oswald | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Joyce Ellen Curtis | Registered representative | CFP | Feb 2018 (8y) | |
| Judy Karen Armstrong | Registered representative | Feb 2018 (8y) | ||
| Justin Paul Hooper | Registered representative | Feb 2018 (8y) | ||
| Jimmy Maldonado | Registered representative | Feb 2018 (8y) | ||
| John Wesley Moore | Registered representative | Feb 2018 (8y) | ||
| Karl William Roelofs | Registered representative | Feb 2018 (8y) | ||
| Kassia Ann Cristello | Registered representative | Feb 2018 (8y) | ||
| Katherine Louise Hart | Registered representative | CFP | Feb 2018 (8y) | |
| Kathleen Lynn Aksten | Registered representative | Feb 2018 (8y) | ||
| Keith Alan Mansfield | Registered representative | Feb 2018 (8y) | ||
| Keith Allan Bax | Registered representative | Feb 2018 (8y) | ||
| Keith Leslie Hendricks | Registered representative | Feb 2018 (8y) | ||
| Kenton Dal Zeigler | Registered representative | Feb 2018 (8y) | ||
| Kerrie Jo Nmi Wagner | Registered representative | Feb 2018 (8y) | ||
| Kevin Corey Mason | Registered representative | Feb 2018 (8y) | ||
| Kevin Neal Callaway | Registered representative | Feb 2018 (8y) | ||
| Kevin Roy Woldt | Registered representative | Feb 2018 (8y) | ||
| Kim S. Houck | Registered representative | Feb 2018 (8y) | ||
| Kimberly Ann Helmila | Registered representative | Feb 2018 (8y) | ||
| Kurt Robert Maher | Registered representative | Feb 2018 (8y) | ||
| Kyle James Rossi | Registered representative | Feb 2018 (8y) | ||
| Kerri Dianne Davis | Registered representative | Feb 2018 (8y) | ||
| Lacy Martin Hastie | Registered representative | Feb 2018 (8y) | ||
| Laurel Ann Watkins | Registered representative | Feb 2018 (8y) | ||
| Leanne M Kampeter | Registered representative | CFP | Feb 2018 (8y) | |
| Levi Donald Cutler | Registered representative | CFP | Feb 2018 (8y) | |
| Lisa Lynne Pomerleau | Registered representative | Feb 2018 (8y) | ||
| Louis Aldo Inglese | Registered representative | Feb 2018 (8y) | ||
| Lucas Lee Redburn | Registered representative | CFP | Feb 2018 (8y) | |
| Lucus Meline Scott | Registered representative | Feb 2018 (8y) | ||
| Luis Chaves | Registered representative | Feb 2018 (8y) | ||
| Leticia Castillo Meza Guerrero | Registered representative | Feb 2018 (8y) | ||
| Margaret Mary Messerli Trottier | Registered representative | Feb 2018 (8y) | ||
| Mario Anthon Ruiz | Registered representative | Feb 2018 (8y) | ||
| Mark Edwin Thorne | Registered representative | Feb 2018 (8y) | ||
| Mark John Dubel | Registered representative | Feb 2018 (8y) | ||
| Marlene Michelle Muscovich | Registered representative | Feb 2018 (8y) | ||
| Martin Daniel Fahler | Registered representative | Feb 2018 (8y) | ||
| Mary Teresa Alsup Niedergerke | Registered representative | Feb 2018 (8y) | ||
| Matthew Alan Plumley | Registered representative | Feb 2018 (8y) | ||
| Matthew Allen Ridler | Registered representative | Feb 2018 (8y) | ||
| Matthew Robert Zarter | Registered representative | Feb 2018 (8y) | ||
| Matthew Scott Casey | Registered representative | Feb 2018 (8y) | ||
| May Li Liu | Registered representative | Feb 2018 (8y) | ||
| Maynard Wayne Neff | Registered representative | CFP | Feb 2018 (8y) | |
| Melinda Borges | Registered representative | Feb 2018 (8y) | ||
| Melissa Renee Gray Murphy | Registered representative | CFP | Feb 2018 (8y) | |
| Michael Augustine Harrington | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Michael Cory Everett | Registered representative | Feb 2018 (8y) | ||
| Michael D. Livingston | Registered representative | Feb 2018 (8y) | ||
| Michael Drew Kent | Registered representative | Feb 2018 (8y) | ||
| Michael Dunnigan | Registered representative | Feb 2018 (8y) | ||
| Michael Emil Chiodini | Registered representative | Feb 2018 (8y) | ||
| Michael Joseph Bernardo | Registered representative | Feb 2018 (8y) | ||
| Michael Joseph Tisdell | Registered representative | Feb 2018 (8y) | ||
| Michael Julian Fedash | Registered representative | Feb 2018 (8y) | ||
| Michael Lealon Purdy | Registered representative | Feb 2018 (8y) | ||
| Michael Lee Dunnigan | Registered representative | Feb 2018 (8y) | ||
| Michael Leonard Hicks | Registered representative | Feb 2018 (8y) | ||
| Michael Patrick Murray | Registered representative | Feb 2018 (8y) | ||
| Michael Reed Zigler | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Michael Robert Haas | Registered representative | Feb 2018 (8y) | ||
| Michael Robert Hadt | Registered representative | Feb 2018 (8y) | ||
| Michael Robin Scott | Registered representative | Feb 2018 (8y) | ||
| Michael Stanley Paikos | Registered representative | Feb 2018 (8y) | ||
| Michael T Barancyk | Registered representative | Feb 2018 (8y) | ||
| Michael T Tervo | Registered representative | Feb 2018 (8y) | ||
| Michael Westwick Alred | Registered representative | Feb 2018 (8y) | ||
| Michele Rene Wilck | Registered representative | Feb 2018 (8y) | ||
| Michelle Ann Joseph | Registered representative | Feb 2018 (8y) | ||
| Michelle Marie Elliot | Registered representative | Feb 2018 (8y) | ||
| Michelle Paris | Registered representative | Feb 2018 (8y) | ||
| Michelle Renee Conroy | Registered representative | Feb 2018 (8y) | ||
| Mike Russ | Registered representative | Feb 2018 (8y) | ||
| Michelle Renee Hutton | Registered representative | Feb 2018 (8y) | ||
| Nancy Mara Eiden | Registered representative | Feb 2018 (8y) | ||
| Nathan Leroy Hickman | Registered representative | Feb 2018 (8y) | ||
| Nick H Singh | Registered representative | CFP | Feb 2018 (8y) | |
| Pamela Marie Stubler | Registered representative | Feb 2018 (8y) | ||
| Parker Christian Molitor | Registered representative | Feb 2018 (8y) | ||
| Patricia C Roers | Registered representative | Feb 2018 (8y) | ||
| Patrick James Anstett | Registered representative | Feb 2018 (8y) | ||
| Patrick Roger Suprise | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Patrick Thomas Flanary | Registered representative | Feb 2018 (8y) | ||
| Paul Daniel Culbertson | Registered representative | Feb 2018 (8y) | ||
| Paul Grady Moss | Registered representative | CFP | Feb 2018 (8y) | |
| Paul Joseph Mcdonnell | Registered representative | Feb 2018 (8y) | ||
| Paul Vladimir Tereshchenko | Registered representative | Feb 2018 (8y) | ||
| Peter John Falcone | Registered representative | Feb 2018 (8y) | ||
| Peter Joseph Albano | Registered representative | Feb 2018 (8y) | ||
| Peter Louis Seelig | Registered representative | Feb 2018 (8y) | ||
| Peter Paul Sciortino | Registered representative | Feb 2018 (8y) | ||
| Phillip Lau | Registered representative | Feb 2018 (8y) | ||
| Patrick Wade Beauchamp | Registered representative | CFP | Feb 2018 (8y) | |
| Ralph Steven Ruckart | Registered representative | Feb 2018 (8y) | ||
| Rena Lynn Noe | Registered representative | CFP | Feb 2018 (8y) | |
| Renu Kallianpur | Registered representative | Feb 2018 (8y) | ||
| Ricardo Dwayne Thomas | Registered representative | Feb 2018 (8y) | ||
| Richard Francis Barnett | Registered representative | Feb 2018 (8y) | ||
| Richard J Zablocki | Registered representative | Feb 2018 (8y) | ||
| Richard Jason Levine | Registered representative | CFP Chartered Financial Consultant | Feb 2018 (8y) | |
| Richard Lee Stites | Registered representative | Feb 2018 (8y) | ||
| Richard Michael Morris | Registered representative | Feb 2018 (8y) | ||
| Richard Norman Andersen | Registered representative | Feb 2018 (8y) | ||
| Rickey Ray Sienkiewicz | Registered representative | Feb 2018 (8y) | ||
| Ricky Lynn Coody | Registered representative | Feb 2018 (8y) | ||
| Robert A Hallgren | Registered representative | CFP | Feb 2018 (8y) | |
| Robert Andrew Hikes | Registered representative | CFP | Feb 2018 (8y) | |
| Robert Carlos Cadena | Registered representative | Feb 2018 (8y) | ||
| Robert Earl Robinson | Registered representative | Feb 2018 (8y) | ||
| Robert James Ptacek | Registered representative | Feb 2018 (8y) | ||
| Robert Kenneth Leibham | Registered representative | Feb 2018 (8y) | ||
| Robert Kirk Mackey | Registered representative | Feb 2018 (8y) | ||
| Robert Wayne Stites | Registered representative | Feb 2018 (8y) | ||
| Robin C Andrew | Registered representative | Feb 2018 (8y) | ||
| Rodolfo Benjamin Zamora | Registered representative | Feb 2018 (8y) | ||
| Russ Cavender Bell | Registered representative | CFP | Feb 2018 (8y) | |
| Ryan Christopher Panzer | Registered representative | Feb 2018 (8y) | ||
| Ryan Joseph Morris | Registered representative | CFA | Feb 2018 (8y) | |
| Ryan Miller | Registered representative | Feb 2018 (8y) | ||
| Riley David Solomon | Registered representative | Feb 2018 (8y) | ||
| Ryan D. Paulson | Registered representative | Feb 2018 (8y) | ||
| Salvatore Diciaccio | Registered representative | Feb 2018 (8y) | ||
| Samantha Nicole Guthrie | Registered representative | Feb 2018 (8y) | ||
| Sandra J Curlee | Registered representative | Feb 2018 (8y) | ||
| Scott James Gregory | Registered representative | Feb 2018 (8y) | ||
| Scott Lee Robinson | Registered representative | CFP | Feb 2018 (8y) | |
| Scott Wiese | Registered representative | CFP | Feb 2018 (8y) | |
| Sean Alan Sargent | Registered representative | Feb 2018 (8y) | ||
| Shane Allen Crist | Registered representative | Feb 2018 (8y) | ||
| Shannon Renee Neal | Registered representative | CFP | Feb 2018 (8y) | |
| Sharon Faye Miller | Registered representative | Feb 2018 (8y) | ||
| Shawn Charles Shubat | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Shawn Elijah Quella | Registered representative | Feb 2018 (8y) | ||
| Shawn Golden | Registered representative | Feb 2018 (8y) | ||
| Shawn Patrick Connolly | Registered representative | CFP | Feb 2018 (8y) | |
| Shawn R Gaustad | Registered representative | Feb 2018 (8y) | ||
| Sheila Renee Engleman | Registered representative | Feb 2018 (8y) | ||
| Shelly Lynn Rynearson | Registered representative | CFP | Feb 2018 (8y) | |
| Stacey M Fargo | Registered representative | Feb 2018 (8y) | ||
| Stephen P Kavois | Registered representative | CFP | Feb 2018 (8y) | |
| Stephen Thomas Dowdell | Registered representative | Feb 2018 (8y) | ||
| Stephen Vincent Gaudino | Registered representative | CFP | Feb 2018 (8y) | |
| Steven Bradshaw Nieves | Registered representative | Feb 2018 (8y) | ||
| Steven C Furjanic | Registered representative | Feb 2018 (8y) | ||
| Susan Camille Cromwell | Registered representative | CFP | Feb 2018 (8y) | |
| Stephanie Denise Livingston Alper | Registered representative | Feb 2018 (8y) | ||
| Tara Christine Naldi | Registered representative | Feb 2018 (8y) | ||
| Tayne Alan Deneui | Registered representative | Feb 2018 (8y) | ||
| Teresa K Mcalpine | Registered representative | Feb 2018 (8y) | ||
| Terra Bullock Winter | Registered representative | Feb 2018 (8y) | ||
| Theresa Marie Baker | Registered representative | Feb 2018 (8y) | ||
| Thomas Clark Wood | Registered representative | Feb 2018 (8y) | ||
| Thomas Curry Burdick | Registered representative | CFP | Feb 2018 (8y) | |
| Thomas Duncan Muscenti | Registered representative | Feb 2018 (8y) | ||
| Thomas Jeffrey Mcbride | Registered representative | Feb 2018 (8y) | ||
| Thomas Lavern Dahlby | Registered representative | Feb 2018 (8y) | ||
| Thomas Michael Fross | Registered representative | Feb 2018 (8y) | ||
| Thomas Robert Kosky | Registered representative | Feb 2018 (8y) | ||
| Thomas Zubrycki | Registered representative | Feb 2018 (8y) | ||
| Timothy A Sheehan | Registered representative | Feb 2018 (8y) | ||
| Timothy Charles Legamaro | Registered representative | Feb 2018 (8y) | ||
| Timothy James Oconnor | Registered representative | Feb 2018 (8y) | ||
| Timothy Joseph Forman | Registered representative | Feb 2018 (8y) | ||
| Timothy T Sullivan | Registered representative | Feb 2018 (8y) | ||
| Todd Allan Mccray | Registered representative | Feb 2018 (8y) | ||
| Todd Edward Holden | Registered representative | Feb 2018 (8y) | ||
| Todd Evan Becker | Registered representative | Feb 2018 (8y) | ||
| Travis Allen Crum | Registered representative | Feb 2018 (8y) | ||
| Troy Jay Wold | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Tye William Korbl | Registered representative | CFP | Feb 2018 (8y) | |
| Warner Walter Williams | Registered representative | Feb 2018 (8y) | ||
| Wayne Everett Cook | Registered representative | Feb 2018 (8y) | ||
| Wayne Karl Gieseke | Registered representative | Feb 2018 (8y) | ||
| Wesley B Frazier | Registered representative | Feb 2018 (8y) | ||
| Wesley Hamilton Sadler | Registered representative | CFP | Feb 2018 (8y) | |
| William Chadwick Fuson | Registered representative | CFP | Feb 2018 (8y) | |
| William Chester Smigiel | Registered representative | Feb 2018 (8y) | ||
| William David Weiner | Registered representative | Feb 2018 (8y) | ||
| William James Waters | Registered representative | CFP | Feb 2018 (8y) | |
| William Patrick Mcandrew | Registered representative | Feb 2018 (8y) | ||
| William Joseph Feudale | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Allison Norcutt | Registered representative | Feb 2018 (8y) | ||
| Andrew Glenn Kolowich | Registered representative | Feb 2018 (8y) | ||
| Armando Fernandez | Registered representative | Feb 2018 (8y) | ||
| Brant Edward Garber | Registered representative | Feb 2018 (8y) | ||
| Casey Patrick Orourke | Registered representative | Feb 2018 (8y) | ||
| Christopher Brian Labadie | Registered representative | Feb 2018 (8y) | ||
| Daniel Douglas Etheridge | Registered representative | Feb 2018 (8y) | ||
| Herbert Wae Eng | Registered representative | CFP | Feb 2018 (8y) | |
| John Ciko | Registered representative | Feb 2018 (8y) | ||
| John Douglas Seward | Registered representative | Feb 2018 (8y) | ||
| Justin Matthew Pisellini | Registered representative | Feb 2018 (8y) | ||
| Marshall Ray Robinson | Registered representative | Feb 2018 (8y) | ||
| Michael Eugene Williams | Registered representative | Feb 2018 (8y) | ||
| Nathan Howard Rosenberg | Registered representative | Feb 2018 (8y) | ||
| Patrick James Fross | Registered representative | Feb 2018 (8y) | ||
| Rebecca Wimbish Stone | Registered representative | Feb 2018 (8y) | ||
| Rodney William Filasky | Registered representative | Feb 2018 (8y) | ||
| Mark Allan Schwab | Registered representative | Feb 2018 (8y) | ||
| Robert Joseph Esposito | Registered representative | Feb 2018 (8y) | ||
| Steve Paul Lawrence | Registered representative | Feb 2018 (8y) | ||
| Jesus E Lopez | Registered representative | Feb 2018 (8y) | ||
| Melvin Samuel Goldstein | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Mark Hanson Phillabaum | Registered representative | Feb 2018 (8y) | ||
| Michael David Kelso | Registered representative | Feb 2018 (8y) | ||
| Ryan Ziad Alkhamis | Registered representative | CFP | Feb 2018 (8y) | |
| Jeffery Alan Moore | Registered representative | Feb 2018 (8y) | ||
| Armen John Guleserian | Registered representative | CFP | Feb 2018 (8y) | |
| Peter J Cox | Registered representative | Feb 2018 (8y) | ||
| Jestin Charles Dohner | Registered representative | Feb 2018 (8y) | ||
| Joshuah Michael Klonowski | Registered representative | Feb 2018 (8y) | ||
| Matthew R Brinkmann | Registered representative | Feb 2018 (8y) | ||
| Peter M Wilmot | Registered representative | CFP Chartered Financial Consultant | Feb 2018 (8y) | |
| Stephen M. Potts | Registered representative | Feb 2018 (8y) | ||
| Steven E Bernstein | Registered representative | Feb 2018 (8y) | ||
| Edward Terral Hill | Registered representative | Mar 2018 (8y) | ||
| Julie Elizabeth Hankes | Registered representative | Mar 2018 (8y) | ||
| Kenneth Stafford | Registered representative | Mar 2018 (8y) | ||
| Thomas Joseph King | Registered representative | Mar 2018 (8y) | ||
| Zebedee Deitrich | Registered representative | Mar 2018 (8y) | ||
| James Bradford Baker | Registered representative | Mar 2018 (8y) | ||
| Jerad Ryan Rosendahl | Registered representative | CFP | Mar 2018 (8y) | |
| Frederick David Gunther | Registered representative | CFP | Mar 2018 (8y) | |
| Hunter Connor Little | Registered representative | Mar 2018 (8y) | ||
| Lancent Clark Warren | Registered representative | Mar 2018 (8y) | ||
| Gwendolyn Claire Kalathil | Registered representative | Mar 2018 (8y) | ||
| Micah Andrew Valentine | Registered representative | Mar 2018 (8y) | ||
| Ashley Nell Hules | Registered representative | Mar 2018 (8y) | ||
| Brian Christopher Harwood | Registered representative | Mar 2018 (8y) | ||
| Isaiah Mitchell | Registered representative | Mar 2018 (8y) | ||
| William Dean Russell | Registered representative | Mar 2018 (8y) | ||
| Kristy Michelle Snippert | Registered representative | Mar 2018 (8y) | ||
| Roger Lee Berger | Registered representative | CFP Chartered Financial Consultant | Mar 2018 (8y) | |
| Shaun Ryan Pierpoint | Registered representative | Mar 2018 (8y) | ||
| David Ralph Meade | Registered representative | Mar 2018 (8y) | ||
| Edouard Emile Gerin Begin | Registered representative | Mar 2018 (8y) | ||
| Robert Alan Stockoski | Registered representative | CFP | Mar 2018 (8y) | |
| Jill Samantha Sachs | Registered representative | Mar 2018 (8y) | ||
| Jeffrey Scott Leavell | Registered representative | Mar 2018 (8y) | ||
| Matthew Johnson | Registered representative | CFP | Mar 2018 (8y) | |
| Anastasios Periklis Trispagonas | Registered representative | Mar 2018 (8y) | ||
| Andrew Robert Grove | Registered representative | Mar 2018 (8y) | ||
| Brett John Clement | Registered representative | Mar 2018 (8y) | ||
| Christopher Michael Finney | Registered representative | Mar 2018 (8y) | ||
| John Richard Lander | Registered representative | CFP | Mar 2018 (8y) | |
| Shane William Hickey | Registered representative | Mar 2018 (8y) | ||
| Steven R Frazier | Registered representative | Mar 2018 (8y) | ||
| Tyler John Tong | Registered representative | Mar 2018 (8y) | ||
| Donald C Clark | Registered representative | CFP | Mar 2018 (8y) | |
| Orestes Jason | Registered representative | Mar 2018 (8y) | ||
| Angela Le Anne Davis | Registered representative | Mar 2018 (8y) | ||
| Laurel Louise Resendez | Registered representative | Mar 2018 (8y) | ||
| Laura L Troyer | Registered representative | Mar 2018 (8y) | ||
| Jeffrey Scott Markewich | Registered representative | Mar 2018 (8y) | ||
| Christopher Nicholas Assimon | Registered representative | Apr 2018 (8y) | ||
| Heidi Jai Malone | Registered representative | Apr 2018 (8y) | ||
| Max Rodriguez | Registered representative | Apr 2018 (8y) | ||
| Patrick John Brannan | Registered representative | CFP | Apr 2018 (8y) | |
| Rebecca Lynn Hensley | Registered representative | Apr 2018 (8y) | ||
| Robert Timothy Harlan | Registered representative | CFP | Apr 2018 (8y) | |
| Thyra M. Kiehl | Registered representative | Apr 2018 (8y) | ||
| Devon Lavoy Douvikas | Registered representative | Apr 2018 (8y) | ||
| Kimbrely Ann Gruidl | Registered representative | Apr 2018 (8y) | ||
| Siddharth Misra | Registered representative | Apr 2018 (8y) | ||
| Jaclyn Maurer | Registered representative | Apr 2018 (8y) | ||
| Matthew C Shaw | Registered representative | Apr 2018 (8y) | ||
| Adam W Robert | Registered representative | CFP | Apr 2018 (8y) | |
| Amanda Lynn Smith | Registered representative | Apr 2018 (8y) | ||
| Curtis Brian Magurean | Registered representative | Apr 2018 (8y) | ||
| Kyle Ashton Lambert | Registered representative | Apr 2018 (8y) | ||
| Tobey D Miller | Registered representative | Apr 2018 (8y) | ||
| Christopher L Lafountain | Registered representative | CFP Chartered Financial Consultant | Apr 2018 (8y) | |
| Gabriel Hugh Godbold | Registered representative | Apr 2018 (8y) | ||
| Hillary Gabiga Henderson | Registered representative | Apr 2018 (8y) | ||
| Charles Henry Shreve | Registered representative | Apr 2018 (8y) | ||
| James Timothy Lynch | Registered representative | Apr 2018 (8y) | ||
| Jonathan Byrne West | Registered representative | CFP | Apr 2018 (8y) | |
| Cameron Franklin Dunford | Registered representative | Apr 2018 (8y) | ||
| Jeffrey J Ellis | Registered representative | Apr 2018 (8y) | ||
| Mark Von Brakel | Registered representative | CFP | Apr 2018 (8y) | |
| Scott Edward Costine | Registered representative | Apr 2018 (8y) | ||
| Susan Diane Hinckley | Registered representative | Apr 2018 (8y) | ||
| Matthew Raymond Murnane | Registered representative | Apr 2018 (8y) | ||
| Salvatore Joseph Petetti | Registered representative | Apr 2018 (8y) | ||
| Anton Paul Ripsam | Registered representative | CFP | Apr 2018 (8y) | |
| David Wayne Pickett | Registered representative | Apr 2018 (8y) | ||
| Christopher L Manci | Registered representative | Apr 2018 (8y) | ||
| Edward Victor France | Registered representative | Apr 2018 (8y) | ||
| Kurt William Kushner | Registered representative | Apr 2018 (8y) | ||
| Louis Phillip Pettinato | Registered representative | Apr 2018 (8y) | ||
| Christopher Scott Morris | Registered representative | Apr 2018 (8y) | ||
| Dennis Ray Wright | Registered representative | Chartered Financial Consultant | Apr 2018 (8y) | |
| Katelyn Nicole Novara | Registered representative | Apr 2018 (8y) | ||
| Richard Alan Poligala | Registered representative | CFP | Apr 2018 (8y) | |
| Stephanie Susan Hammond | Registered representative | Apr 2018 (8y) | ||
| Valeri Jan Bishop | Registered representative | Apr 2018 (8y) | ||
| Dylan Thompson Bell | Registered representative | Apr 2018 (8y) | ||
| Kevin Richard Messett | Registered representative | Apr 2018 (8y) | ||
| Seth James Diener | Registered representative | Apr 2018 (8y) | ||
| Charles Richard Kedra | Registered representative | Apr 2018 (8y) | ||
| Maie Raafat Ibrahim | Registered representative | Apr 2018 (8y) | ||
| Matthew J Crowder | Registered representative | Apr 2018 (8y) | ||
| Rachel Lee Kuss | Registered representative | Apr 2018 (8y) | ||
| Robert Matthew Meredith | Registered representative | CFP | Apr 2018 (8y) | |
| Simon In Han | Registered representative | Apr 2018 (8y) | ||
| Charles W. Turner | Registered representative | Apr 2018 (8y) | ||
| Donald Richard Vaught | Registered representative | Apr 2018 (8y) | ||
| Richard Sloan Soper | Registered representative | Apr 2018 (8y) | ||
| Themba Magagula | Registered representative | Apr 2018 (8y) | ||
| Alison K Sabran | Registered representative | May 2018 (8y) | ||
| Geraldo Saldana Reyes | Registered representative | CFP Chartered Financial Consultant | May 2018 (8y) | |
| Harry Martin Kitter | Registered representative | Personal Financial Specialist | May 2018 (8y) | |
| Irene Story Chandler | Registered representative | May 2018 (8y) | ||
| Janelle Elizabeth Hendershot | Registered representative | May 2018 (8y) | ||
| Michael Lewis Pritchard | Registered representative | May 2018 (8y) | ||
| Youree Henry Mc Bride | Registered representative | May 2018 (8y) | ||
| Frank Re | Registered representative | May 2018 (8y) | ||
| Gary Scott Williamson | Registered representative | May 2018 (8y) | ||
| James Edward Wilterdink | Registered representative | May 2018 (8y) | ||
| Jonathan Seth Staiman | Registered representative | May 2018 (8y) | ||
| Ryan Christopher Williams | Registered representative | CFP | May 2018 (8y) | |
| Julieta L Smith | Registered representative | May 2018 (8y) | ||
| Chad Paul Olson | Registered representative | May 2018 (8y) | ||
| Kevin Randall Merling | Registered representative | CFP | May 2018 (8y) | |
| Brian James Boisselle | Registered representative | CFP | May 2018 (8y) | |
| David Anthony Zavarelli | Registered representative | May 2018 (8y) | ||
| Stanley Fanfan | Registered representative | May 2018 (8y) | ||
| Emily Sue Harris | Registered representative | May 2018 (8y) | ||
| Joshua Gregory Rent | Registered representative | May 2018 (8y) | ||
| Brian Patrick Finley | Registered representative | May 2018 (8y) | ||
| Ian Philip Gordon | Registered representative | CFP | May 2018 (8y) | |
| Adam Jason Henderson | Registered representative | May 2018 (8y) | ||
| Michael Stephen Butsko | Registered representative | May 2018 (8y) | ||
| Stephen Lee Harrison | Registered representative | May 2018 (8y) | ||
| Heather L Cortez | Registered representative | May 2018 (8y) | ||
| Jamie Christopher Freidhof | Registered representative | May 2018 (8y) | ||
| Michael Clarke Gates | Registered representative | May 2018 (8y) | ||
| Robert Joseph Blazejewski | Registered representative | CFP | May 2018 (8y) | |
| Salem Luke Faulkner | Registered representative | May 2018 (8y) | ||
| Chandler William Cole | Registered representative | May 2018 (8y) | ||
| David Joseph Coppola | Registered representative | May 2018 (8y) | ||
| Timothy Beau Dollar | Registered representative | May 2018 (8y) | ||
| John J Ellis | Registered representative | CFP | May 2018 (8y) | |
| Jon Kendal Frick | Registered representative | May 2018 (8y) | ||
| Crystal Markovitz | Registered representative | May 2018 (8y) | ||
| Mera Tawfik Oshana | Registered representative | May 2018 (8y) | ||
| Roberto Enrique Proano | Registered representative | CFP | May 2018 (8y) | |
| Ryan O'connor | Registered representative | CFP | May 2018 (8y) | |
| Suzi Lederer | Registered representative | May 2018 (8y) | ||
| Brian Joseph Mcpartlin | Registered representative | May 2018 (8y) | ||
| Andrew Seymour Docksey | Registered representative | May 2018 (8y) | ||
| Donald Keith Moffitt | Registered representative | May 2018 (8y) | ||
| Jack Martin Leader | Registered representative | May 2018 (8y) | ||
| John Stephen Patsy | Registered representative | CFP | May 2018 (8y) | |
| Ronald Howard Meckler | Registered representative | May 2018 (8y) | ||
| Scott Joseph Sommer | Registered representative | May 2018 (8y) | ||
| Ryan Lee Buckle | Registered representative | May 2018 (8y) | ||
| Bryan Edwin Bell | Registered representative | May 2018 (8y) | ||
| Marina Julia Andina | Registered representative | May 2018 (8y) | ||
| Seth Martin Anderson | Registered representative | May 2018 (8y) | ||
| Tracy Marie Kliewer | Registered representative | May 2018 (8y) | ||
| Bernard C Ringer | Registered representative | May 2018 (8y) | ||
| Daniel Clifford Galluzzo | Registered representative | May 2018 (8y) | ||
| Tyler A Thompson | Registered representative | May 2018 (8y) | ||
| Rischi Paul Sharma | Registered representative | CFP | May 2018 (8y) | |
| Stephen Frank Lawandales | Registered representative | May 2018 (8y) | ||
| Kara Jane Herman Fransted | Registered representative | May 2018 (8y) | ||
| Lori Jane Miller | Registered representative | CFP | May 2018 (8y) | |
| Stephen F Lawandales | Registered representative | May 2018 (8y) | ||
| Justin Saunders Blair | Registered representative | May 2018 (8y) | ||
| Servando Andres Llanio | Registered representative | May 2018 (8y) | ||
| Troy Savio Fonseca | Registered representative | May 2018 (8y) | ||
| Gregory Folmar | Registered representative | May 2018 (8y) | ||
| John Edward Myers | Registered representative | CFP | May 2018 (8y) | |
| Matthew D Brenner | Registered representative | May 2018 (8y) | ||
| Steven James Hasenmueller | Registered representative | May 2018 (8y) | ||
| Brian Lee Tackett | Registered representative | Jun 2018 (8y) | ||
| Daniel Joseph Kammerich | Registered representative | CFP | Jun 2018 (8y) | |
| Gary Wayne Lenon | Registered representative | Jun 2018 (8y) | ||
| Hilary M Donofrio Lawton | Registered representative | Jun 2018 (8y) | ||
| Jeffery Noel Spangler | Registered representative | Jun 2018 (8y) | ||
| Patrick Lee Mcintyre | Registered representative | Jun 2018 (8y) | ||
| Richard Warren Flood | Registered representative | Jun 2018 (8y) | ||
| David Jon Baer | Registered representative | Jun 2018 (8y) | ||
| John Atwood Harding | Registered representative | Jun 2018 (8y) | ||
| Robert Lee Miller | Registered representative | Jun 2018 (8y) | ||
| Tom Keith Barclay | Registered representative | CFP | Jun 2018 (8y) | |
| John Fiske Faustino | Registered representative | Jun 2018 (8y) | ||
| Michael August Sidello | Registered representative | Jun 2018 (8y) | ||
| Bryan Steven Deslauriers | Registered representative | Jun 2018 (8y) | ||
| Joseph Gerard Geis | Registered representative | Jun 2018 (8y) | ||
| Kelly Mc Lane Morgan | Registered representative | Jun 2018 (8y) | ||
| Megan Elizabeth Flood | Registered representative | Jun 2018 (8y) | ||
| Eric Eugene Lawton | Registered representative | Jun 2018 (8y) | ||
| Robert Paul Hoskin | Registered representative | Jun 2018 (8y) | ||
| Steven Michael Richardson | Registered representative | Jun 2018 (8y) | ||
| Gary Alan Meharg | Registered representative | Jun 2018 (8y) | ||
| Jeffrey Glen Johnson | Registered representative | Jun 2018 (8y) | ||
| Max Dennis Miracle | Registered representative | Jun 2018 (8y) | ||
| Ryan Paul Butterfield | Registered representative | Jun 2018 (8y) | ||
| Scott Alan Stambaugh | Registered representative | Jun 2018 (8y) | ||
| Dean Vernon Shore | Registered representative | CFP | Jun 2018 (8y) | |
| Eric Vernon Shore | Registered representative | Jun 2018 (8y) | ||
| Janet Mary Labella | Registered representative | Jun 2018 (8y) | ||
| Lesley Carol Shore | Registered representative | Jun 2018 (8y) | ||
| Alexander Thomas Villegas | Registered representative | Jun 2018 (8y) | ||
| Adam Lee Barnes | Registered representative | Jun 2018 (8y) | ||
| Laurence Jay Epstein | Registered representative | CFP | Jun 2018 (8y) | |
| Ryan Christenson | Registered representative | Jun 2018 (8y) | ||
| Jeffrey Michael Gaeth | Registered representative | CFP | Jun 2018 (8y) | |
| Martin John Kulesza | Registered representative | Jun 2018 (8y) | ||
| William Arthur Pierce | Registered representative | Jun 2018 (8y) | ||
| Claus Anton Larsen | Registered representative | Jun 2018 (8y) | ||
| Gail Lianne Hatfield | Registered representative | CFP | Jun 2018 (8y) | |
| Kevin E Smith | Registered representative | Jun 2018 (8y) | ||
| Kaitlyn Christine Kozik | Registered representative | Jun 2018 (8y) | ||
| Chester Bradley Holsinger | Registered representative | Jun 2018 (8y) | ||
| Bridget Ann Platania | Registered representative | Jun 2018 (8y) | ||
| James Robert Platania | Registered representative | CFP | Jun 2018 (8y) | |
| James Robert Platania | Registered representative | CFP | Jun 2018 (8y) | |
| Jeffrey Clay Goodrich | Registered representative | CFP Chartered Financial Consultant | Jun 2018 (8y) | |
| Nicholas Ryan Buchanan | Registered representative | Jun 2018 (8y) | ||
| Logan Grey Sharpe | Registered representative | Jun 2018 (8y) | ||
| Margaret E Dolan | Registered representative | Jun 2018 (8y) | ||
| Michael Joseph Tokushige | Registered representative | Jun 2018 (8y) | ||
| Monica Henson | Registered representative | Jun 2018 (8y) | ||
| Adam Paul Vansant | Registered representative | Jun 2018 (8y) | ||
| Jairus Robert Bryant | Registered representative | Jun 2018 (8y) | ||
| Linda Susan Mckenney | Registered representative | Jun 2018 (8y) | ||
| Marc Normand Paquette | Registered representative | Jun 2018 (8y) | ||
| Michael Armand Godin | Registered representative | Chartered Financial Consultant | Jun 2018 (8y) | |
| Michael Wesley French | Registered representative | CFP | Jun 2018 (8y) | |
| Barry Neil Levine | Registered representative | Chartered Financial Consultant | Jun 2018 (8y) | |
| John Alan Register | Registered representative | CFP | Jun 2018 (8y) | |
| Mark Pappas | Registered representative | Jun 2018 (8y) | ||
| Austin Richard Albert | Registered representative | Jun 2018 (8y) | ||
| Richard Joseph Garcia | Registered representative | Jun 2018 (8y) | ||
| Steven Charles Spence | Registered representative | Jun 2018 (8y) | ||
| Brian Richard Bronk | Registered representative | CFP | Jun 2018 (8y) | |
| Judith T Osborn | Registered representative | Personal Financial Specialist | Jun 2018 (8y) | |
| Matthew Mendall Schwartz | Registered representative | Jun 2018 (8y) | ||
| Paul Tamagni | Registered representative | Jun 2018 (8y) | ||
| Hyun Sup Song | Registered representative | Jun 2018 (8y) | ||
| Jessica H Mcnamee | Registered representative | CFP | Jun 2018 (8y) | |
| John Rodney Johnson | Registered representative | Jun 2018 (8y) | ||
| Jonathan Barr | Registered representative | Jun 2018 (8y) | ||
| Patrick Joseph Knox | Registered representative | CFP | Jun 2018 (8y) | |
| Starr Robinson Johnson | Registered representative | Jun 2018 (8y) | ||
| Charles Mccray Williams | Registered representative | Chartered Financial Consultant | Jul 2018 (8y) | |
| Kyle Edward Livingston | Registered representative | Jul 2018 (8y) | ||
| Robert Michael Shields | Registered representative | CFP | Jul 2018 (8y) | |
| Cole Joseph Kirchhoff | Registered representative | Jul 2018 (8y) | ||
| George W Birdrow | Registered representative | Jul 2018 (8y) | ||
| Mark Bentivegna | Registered representative | Jul 2018 (8y) | ||
| Mary Elizabeth Terrando | Registered representative | Jul 2018 (8y) | ||
| Peter Benjamin Horstman | Registered representative | Jul 2018 (8y) | ||
| Steven Joseph Sabo | Registered representative | Jul 2018 (8y) | ||
| Martin D Beard | Registered representative | CFP Chartered Financial Consultant | Jul 2018 (8y) | |
| Nickolas Jude Spiliotis | Registered representative | CFP | Jul 2018 (8y) | |
| Taylor Clay Hundley | Registered representative | Jul 2018 (8y) | ||
| James Bruce Barr | Registered representative | Jul 2018 (8y) | ||
| Jerald Lawrence Aloof | Registered representative | Jul 2018 (8y) | ||
| Joseph John Dallo | Registered representative | Jul 2018 (8y) | ||
| Patrick J Stadum | Registered representative | Jul 2018 (8y) | ||
| Bret Patrick Edensword | Registered representative | Jul 2018 (8y) | ||
| Joshua E Engels | Registered representative | CFP Chartered Financial Consultant | Jul 2018 (8y) | |
| Jenny D Bergeron | Registered representative | Jul 2018 (8y) | ||
| Steven Lee Holmes | Registered representative | CFP | Jul 2018 (8y) | |
| Tracy Lee Miller | Registered representative | CFP Chartered Financial Consultant | Jul 2018 (8y) | |
| Ian Venzon | Registered representative | Jul 2018 (8y) | ||
| Ryan Joshua Pearl | Registered representative | Jul 2018 (8y) | ||
| Steven Lee Davis | Registered representative | Jul 2018 (8y) | ||
| Richard David Distefano | Registered representative | Jul 2018 (8y) | ||
| Randell J Weigel | Registered representative | Jul 2018 (8y) | ||
| Matthew Franco | Registered representative | Jul 2018 (8y) | ||
| Ryan R. Nemshick | Registered representative | Jul 2018 (8y) | ||
| Steven Gerard Phipps | Registered representative | Jul 2018 (8y) | ||
| Troy Takeshi Enoka | Registered representative | CFP | Jul 2018 (8y) | |
| Brett Lewis Moore | Registered representative | CFP | Jul 2018 (8y) | |
| Eugene Perrin Elebash | Registered representative | Jul 2018 (8y) | ||
| Joel Gary Janssen | Registered representative | CFP | Jul 2018 (8y) | |
| William Andrew Steele | Registered representative | Jul 2018 (8y) | ||
| Matthew Christopher Lerch | Registered representative | Jul 2018 (8y) | ||
| Charlie David Pool | Registered representative | Jul 2018 (8y) | ||
| Marshall Clay Blake | Registered representative | Jul 2018 (8y) | ||
| Philip Vincent Gallagher | Registered representative | Jul 2018 (8y) | ||
| James Frances Fischer | Registered representative | Jul 2018 (8y) | ||
| Michael Chad Walton | Registered representative | Jul 2018 (8y) | ||
| William Kent Evanson | Registered representative | Jul 2018 (8y) | ||
| Adrienne Sandra Newberg | Registered representative | Jul 2018 (8y) | ||
| Kevin John Scorsone | Registered representative | Jul 2018 (8y) | ||
| Peter C Plant | Registered representative | Jul 2018 (8y) | ||
| Rex S Thatcher | Registered representative | CFP | Jul 2018 (8y) | |
| Timothy Ryan Sielschott | Registered representative | Jul 2018 (8y) | ||
| Della Rita Stapleton | Registered representative | Jul 2018 (8y) | ||
| Gregory Ben Pillow | Registered representative | Jul 2018 (8y) | ||
| Mark G Mannarelli | Registered representative | CFP | Jul 2018 (8y) | |
| Kirk Dwayne Ritchie | Registered representative | Jul 2018 (8y) | ||
| Alan Nelson Barnes | Registered representative | CFP | Jul 2018 (8y) | |
| Daniel Mehan | Registered representative | Jul 2018 (8y) | ||
| George Richard Buck | Registered representative | Jul 2018 (8y) | ||
| Kristen Elaine Carreira | Registered representative | Jul 2018 (8y) | ||
| Michael Anthony Laporte | Registered representative | Chartered Financial Consultant | Jul 2018 (8y) | |
| James Anthony Ritchey | Registered representative | Jul 2018 (8y) | ||
| Timothy Colin Bascom | Registered representative | Jul 2018 (8y) | ||
| Joseph Anthony Laciak | Registered representative | Jul 2018 (8y) | ||
| William Thomas Sullivan | Registered representative | CFP | Jul 2018 (8y) | |
| Daniel James Sackman | Registered representative | Jul 2018 (8y) | ||
| Gary Bruce Miller | Registered representative | Jul 2018 (8y) | ||
| Ashwin Sharma | Registered representative | Jul 2018 (8y) | ||
| Brian Ashley Moseley | Registered representative | Jul 2018 (8y) | ||
| Christopher Lane Moore | Registered representative | Jul 2018 (8y) | ||
| Joseph Wesley Tuck | Registered representative | Jul 2018 (8y) | ||
| Kathy Burnett Barton | Registered representative | Jul 2018 (8y) | ||
| Kelon Carter Hall | Registered representative | CFP | Jul 2018 (8y) | |
| Paul Eugene Turner | Registered representative | Jul 2018 (8y) | ||
| Robert Mark Wheatley | Registered representative | Jul 2018 (8y) | ||
| Ronald Lewis Poindexter | Registered representative | Chartered Financial Consultant | Jul 2018 (8y) | |
| Tyler Caldwell Dove | Registered representative | Jul 2018 (8y) | ||
| Carolyn Marie Filasky | Registered representative | Aug 2018 (8y) | ||
| David Michael Winebrenner | Registered representative | Aug 2018 (8y) | ||
| Brian Anthony Marchiori | Registered representative | Aug 2018 (8y) | ||
| Christine A Sperry | Registered representative | Aug 2018 (8y) | ||
| Daniel Espinoza | Registered representative | Aug 2018 (8y) | ||
| David Xavier Howell | Registered representative | Aug 2018 (8y) | ||
| Jared B Eglington | Registered representative | Aug 2018 (8y) | ||
| Amanda Beth King | Registered representative | CFP | Aug 2018 (8y) | |
| Thomas Boley Hunt | Registered representative | Aug 2018 (8y) | ||
| Allyn Walter Edwards | Registered representative | Aug 2018 (8y) | ||
| Ann Bowers Kinder | Registered representative | Aug 2018 (8y) | ||
| Arvind Venkateswaran | Registered representative | Aug 2018 (8y) | ||
| Gavin Brent Lambeth | Registered representative | Aug 2018 (8y) | ||
| Robert Courtney Clower | Registered representative | Aug 2018 (8y) | ||
| Kelsey Ann Odey | Registered representative | Aug 2018 (8y) | ||
| Alexandra Cavazos | Registered representative | Aug 2018 (8y) | ||
| Casey Mushrush | Registered representative | Aug 2018 (8y) | ||
| Daniel Timothy Higgins | Registered representative | Aug 2018 (8y) | ||
| Hunter Diederich Hanks | Registered representative | Aug 2018 (8y) | ||
| Jonas Cash Everett | Registered representative | Aug 2018 (8y) | ||
| Melanie Sun Mcdaniel | Registered representative | Aug 2018 (8y) | ||
| Michael Allan Dawson | Registered representative | Aug 2018 (8y) | ||
| Roger Gordon Abel | Registered representative | Aug 2018 (8y) | ||
| Benjamin Brockinton Fraser | Registered representative | Aug 2018 (8y) | ||
| Kari Celia Knudsen | Registered representative | Aug 2018 (8y) | ||
| Keisey Masatoshi Seto | Registered representative | Aug 2018 (8y) | ||
| Jennifer Chase | Registered representative | CFP | Aug 2018 (8y) | |
| John W Weber | Registered representative | Aug 2018 (8y) | ||
| Kathleen Eileen Sweeney | Registered representative | Aug 2018 (8y) | ||
| Nickolas Leroy Gould | Registered representative | Aug 2018 (8y) | ||
| Gale Edward Chatham | Registered representative | Aug 2018 (8y) | ||
| Jennifer Marie Dunn | Registered representative | Aug 2018 (8y) | ||
| Lester Dearl Butler | Registered representative | Chartered Financial Consultant | Aug 2018 (8y) | |
| Deena Renee Wilson | Registered representative | Aug 2018 (8y) | ||
| Elizabeth Sheets Leventis | Registered representative | Aug 2018 (8y) | ||
| Laura Jeanne Stamberger | Registered representative | Aug 2018 (8y) | ||
| Scott Ari Shaw | Registered representative | Aug 2018 (8y) | ||
| Evan Davis Kirkpatrick | Registered representative | Aug 2018 (8y) | ||
| Tracie Lynn Guyer | Registered representative | Aug 2018 (8y) | ||
| Dennis Michael Leahy | Registered representative | Aug 2018 (8y) | ||
| Doris Kimie Saki | Registered representative | Aug 2018 (8y) | ||
| Leslea Elizabeth Stock Lopez | Registered representative | Aug 2018 (8y) | ||
| Ryan Phillip Egstad | Registered representative | CFP | Aug 2018 (8y) | |
| Timothy Carl Satre | Registered representative | CFP | Aug 2018 (8y) | |
| Adam Charles Hawley | Registered representative | Aug 2018 (8y) | ||
| Courtney Ann Arria | Registered representative | CFP | Aug 2018 (8y) | |
| Jennifer Erin Malone | Registered representative | CFP | Aug 2018 (8y) | |
| Stephen Charles Minshull | Registered representative | Aug 2018 (8y) | ||
| Timothy Paul Goland | Registered representative | Aug 2018 (8y) | ||
| Barak Judah Tanzer | Registered representative | Aug 2018 (8y) | ||
| Christopher W Spaugh | Registered representative | CFP | Aug 2018 (8y) | |
| Eric Myre | Registered representative | Aug 2018 (8y) | ||
| Gina G Francisco | Registered representative | CFP | Aug 2018 (8y) | |
| Gregory Bryon Spicer | Registered representative | CFP | Aug 2018 (8y) | |
| Justin Daniel Lamonica | Registered representative | Aug 2018 (8y) | ||
| Michael Richard Szotak | Registered representative | Aug 2018 (8y) | ||
| Rebekah Cornell | Registered representative | Aug 2018 (8y) | ||
| Carlos Mendez | Registered representative | Aug 2018 (8y) | ||
| Christopher Andrew Mccaman | Registered representative | CFP CFA | Aug 2018 (8y) | |
| Corey N. Daniel | Registered representative | Aug 2018 (8y) | ||
| Dudley Ij Mcgee | Registered representative | Aug 2018 (8y) | ||
| Jordan Nicole Golson | Registered representative | Aug 2018 (8y) | ||
| Kenneth Fred Levy | Registered representative | CFP | Aug 2018 (8y) | |
| Michelle Marie Fogel | Registered representative | Aug 2018 (8y) | ||
| Benjamin Ford Bowersox | Registered representative | CFP | Aug 2018 (8y) | |
| Daran Joshua Tucker | Registered representative | Aug 2018 (8y) | ||
| John Mossa | Registered representative | CFP | Aug 2018 (8y) | |
| James D Asplin | Registered representative | Aug 2018 (8y) | ||
| Linda Jean Pressler | Registered representative | Personal Financial Specialist | Aug 2018 (8y) | |
| Paul John Balestiero | Registered representative | CFP | Aug 2018 (8y) | |
| Zachary Evan Brown | Registered representative | Aug 2018 (8y) | ||
| Bradford Ramsey | Registered representative | Aug 2018 (8y) | ||
| Heeyeon Kim | Registered representative | Aug 2018 (8y) | ||
| Gregg Alan Fogel | Registered representative | Aug 2018 (8y) | ||
| Jennifer Ibrahim Appel | Registered representative | Aug 2018 (8y) | ||
| Mark Eckell | Registered representative | CFP | Aug 2018 (8y) | |
| Timothy Jon Briggs | Registered representative | Aug 2018 (8y) | ||
| Aileen Joy Yoshida | Registered representative | Aug 2018 (8y) | ||
| Andrew Dale Gaber | Registered representative | CFP | Aug 2018 (8y) | |
| Aquil Abbas Naeem | Registered representative | Aug 2018 (8y) | ||
| Dewayne Christian Gerber | Registered representative | Aug 2018 (8y) | ||
| Eric Daniel Oczkewicz | Registered representative | Aug 2018 (8y) | ||
| Brendon O Moore | Registered representative | Aug 2018 (8y) | ||
| James Rupert Henry | Registered representative | Chartered Financial Consultant | Aug 2018 (8y) | |
| Jason Scott Henry | Registered representative | Aug 2018 (8y) | ||
| John Tyler Wofford | Registered representative | Aug 2018 (8y) | ||
| Thomas Adam Kadylak | Registered representative | Aug 2018 (8y) | ||
| Brian David East | Registered representative | CFP | Sep 2018 (8y) | |
| Jeffrey William Reeves | Registered representative | Sep 2018 (8y) | ||
| Joshua Atley Thaggard | Registered representative | Sep 2018 (8y) | ||
| Lewis Dewitt Webb | Registered representative | Sep 2018 (8y) | ||
| Louis George Giuliano | Registered representative | Sep 2018 (8y) | ||
| Ngan K Cheng | Registered representative | Sep 2018 (8y) | ||
| Ilene B. Gohmert | Registered representative | Sep 2018 (8y) | ||
| John H Coulombe | Registered representative | CFP | Sep 2018 (8y) | |
| Joseph Dale Hermes | Registered representative | Sep 2018 (8y) | ||
| Michael Starensier | Registered representative | Sep 2018 (8y) | ||
| Bryan Scott Hutto | Registered representative | Sep 2018 (8y) | ||
| Derrick Dwayne Mcelwee | Registered representative | Sep 2018 (8y) | ||
| Michael George Walters | Registered representative | CFP | Sep 2018 (8y) | |
| Paul Matthew Sorenson | Registered representative | Sep 2018 (8y) | ||
| Sarah Elizabeth Moore | Registered representative | Sep 2018 (8y) | ||
| Alicia Rose Roennow | Registered representative | Sep 2018 (8y) | ||
| Andrew J Kirk | Registered representative | CFP | Sep 2018 (8y) | |
| Christian Thains Rizzi | Registered representative | Sep 2018 (8y) | ||
| Jerry Tyler Williams | Registered representative | Sep 2018 (8y) | ||
| Michael W Ferrier | Registered representative | Sep 2018 (8y) | ||
| Patric Tracey Barnhart | Registered representative | Sep 2018 (8y) | ||
| Scott Ranse Daily | Registered representative | Sep 2018 (8y) | ||
| Frederick Saavedra | Registered representative | Sep 2018 (8y) | ||
| Joshua Douglas Collier | Registered representative | CFP | Sep 2018 (8y) | |
| Adam Wayne Wilson | Registered representative | Sep 2018 (8y) | ||
| Leroy Dennis Simpson | Registered representative | Sep 2018 (8y) | ||
| Robert Corwin Martin | Registered representative | Sep 2018 (8y) | ||
| Frederick Scott Ingold | Registered representative | Sep 2018 (8y) | ||
| Chad Jacob Warren | Registered representative | Sep 2018 (8y) | ||
| Leah Jean Fink | Registered representative | Sep 2018 (8y) | ||
| Paul Joseph Celentano Jr. | Registered representative | Sep 2018 (8y) | ||
| Clayton Daniel Abel | Registered representative | CFP | Sep 2018 (8y) | |
| Kipton Jeremy Reiss | Registered representative | Sep 2018 (8y) | ||
| Daniel Lashalle Gordon | Registered representative | Sep 2018 (8y) | ||
| Christopher Wayne Gibson | Registered representative | Sep 2018 (8y) | ||
| Danielle Mae Xin Darling | Registered representative | Sep 2018 (8y) | ||
| Robert Maki | Registered representative | Sep 2018 (8y) | ||
| Steven Max Ehrman | Registered representative | Sep 2018 (8y) | ||
| H Dewey Thompson | Registered representative | Sep 2018 (8y) | ||
| Scott Martin Gerstein | Registered representative | Sep 2018 (8y) | ||
| Michael William Maher | Registered representative | Sep 2018 (8y) | ||
| Peter Arboleda | Registered representative | Sep 2018 (8y) | ||
| Gary Dennis Hochman | Registered representative | Sep 2018 (8y) | ||
| Nick Anthony Torres | Registered representative | Sep 2018 (8y) | ||
| David Allan Polimeros | Registered representative | Sep 2018 (8y) | ||
| Eric Michael O'neill | Registered representative | Sep 2018 (8y) | ||
| Marc Kristian Cabanilla | Registered representative | Sep 2018 (8y) | ||
| Ted L Coons | Registered representative | Sep 2018 (8y) | ||
| Holly Margaret Fitzgerald | Registered representative | Sep 2018 (8y) | ||
| Jeffrey David Dunn | Registered representative | Sep 2018 (8y) | ||
| Kevin Matthew Moore | Registered representative | Sep 2018 (8y) | ||
| Marie Susan Knorr | Registered representative | CFP | Sep 2018 (8y) | |
| Neelam Ramchand Krishnaney Davison | Registered representative | Sep 2018 (8y) | ||
| Thomas Michael Smith | Registered representative | Sep 2018 (8y) | ||
| Brian Terence Ahern | Registered representative | Oct 2018 (8y) | ||
| Charles N Cucuras | Registered representative | Oct 2018 (8y) | ||
| George Anderson Craig | Registered representative | Oct 2018 (8y) | ||
| Jarrett Seiji Imamura | Registered representative | Chartered Financial Consultant | Oct 2018 (8y) | |
| Robert Charles Litwin | Registered representative | Oct 2018 (8y) | ||
| Alexandra Marie Chiklakis | Registered representative | Oct 2018 (8y) | ||
| Christopher Lee Moyer | Registered representative | CFP | Oct 2018 (8y) | |
| Jason Andrew Black | Registered representative | Oct 2018 (8y) | ||
| Michael Andrew Mosley | Registered representative | Oct 2018 (8y) | ||
| Brooke Duchaney | Registered representative | Oct 2018 (8y) | ||
| Douglas John Sweeney | Registered representative | Oct 2018 (8y) | ||
| Lara Candice Wilkerson | Registered representative | Oct 2018 (8y) | ||
| Justin Barry Neighbour | Registered representative | Oct 2018 (8y) | ||
| Shean Elton Fletcher | Registered representative | Oct 2018 (8y) | ||
| Marcus Christian Decker | Registered representative | Oct 2018 (8y) | ||
| Joshua Ceth Fleming | Registered representative | CFP | Oct 2018 (8y) | |
| Hope Michele Strong | Registered representative | CFP | Oct 2018 (8y) | |
| Matthew Dennis Guilford | Registered representative | Oct 2018 (8y) | ||
| Scott Douglas Maloy | Registered representative | Oct 2018 (8y) | ||
| Stephanie S Crean | Registered representative | CFP | Oct 2018 (8y) | |
| Thomas David Vangeffen | Registered representative | Oct 2018 (8y) | ||
| Brandon Scott Slaughter | Registered representative | Oct 2018 (8y) | ||
| Mary Catherine Pascarella | Registered representative | CFP | Oct 2018 (8y) | |
| Michael Keith Schneider | Registered representative | Oct 2018 (8y) | ||
| Stephen Francis Connors | Registered representative | Oct 2018 (8y) | ||
| Wendell David Marshall | Registered representative | Oct 2018 (8y) | ||
| Brendan O'kelly | Registered representative | CFP | Oct 2018 (8y) | |
| Gregory Luke Lemieux | Registered representative | Oct 2018 (8y) | ||
| Kevin Francis Connors | Registered representative | CFP | Oct 2018 (8y) | |
| Kelvin Alcantara | Registered representative | Oct 2018 (8y) | ||
| Glen Alex Esteban | Registered representative | Oct 2018 (8y) | ||
| Michael James Marshall | Registered representative | Oct 2018 (8y) | ||
| Miguel Gonzalez | Registered representative | Oct 2018 (8y) | ||
| Terrence Alexander Woo | Registered representative | Oct 2018 (8y) | ||
| Alton Leroy Howell | Registered representative | Chartered Financial Consultant | Oct 2018 (8y) | |
| Brian K Roberts | Registered representative | Oct 2018 (8y) | ||
| Coby Brandt Snyder | Registered representative | Oct 2018 (8y) | ||
| Lisa Marie May | Registered representative | Oct 2018 (8y) | ||
| Morris Mayerfeld | Registered representative | CFP | Oct 2018 (8y) | |
| Yisroel Meir Krohn | Registered representative | CFP | Oct 2018 (8y) | |
| Allen Michael Hall | Registered representative | Oct 2018 (8y) | ||
| Cameron David Hubbard | Registered representative | Oct 2018 (8y) | ||
| Daniel P Stewart | Registered representative | CFP | Oct 2018 (8y) | |
| David Jenner Hubbard | Registered representative | Oct 2018 (8y) | ||
| Heidi L Alten | Registered representative | Oct 2018 (8y) | ||
| Jacob Andrew Ries | Registered representative | Oct 2018 (8y) | ||
| Jeffrey Max Ramsey | Registered representative | Oct 2018 (8y) | ||
| Jeffrey William Bruce | Registered representative | Oct 2018 (8y) | ||
| Jennifer Lyn Johnson | Registered representative | Oct 2018 (8y) | ||
| Kevin Lemier Corkery | Registered representative | Oct 2018 (8y) | ||
| Michael Joseph Davern | Registered representative | Oct 2018 (8y) | ||
| Samantha Jane Lerette | Registered representative | Oct 2018 (8y) | ||
| Sharon Kay Goeckner | Registered representative | CFP | Oct 2018 (8y) | |
| Tom Michael Prybylo | Registered representative | Oct 2018 (8y) | ||
| Wayne Joseph Pover | Registered representative | CFP | Oct 2018 (8y) | |
| Woodrow Wilson Mc Gill | Registered representative | Oct 2018 (8y) | ||
| Charles Richard Branch | Registered representative | Oct 2018 (8y) | ||
| David R Robert | Registered representative | Oct 2018 (8y) | ||
| Scott Dale Carmony | Registered representative | Oct 2018 (8y) | ||
| Scott Patrick Hurst | Registered representative | CFP | Oct 2018 (8y) | |
| Jimmie Kevin Golden | Registered representative | Oct 2018 (8y) | ||
| Kenneth Lamont Anding | Registered representative | Oct 2018 (8y) | ||
| Steven Fred Parkinson | Registered representative | Oct 2018 (8y) | ||
| J Robert Burton | Registered representative | Oct 2018 (8y) | ||
| Mark Daniel Lechowicz | Registered representative | Oct 2018 (8y) | ||
| Matthew Ralph La Plant | Registered representative | Oct 2018 (8y) | ||
| Olga Cecilia Espiritu | Registered representative | CFP | Oct 2018 (8y) | |
| Gina Marie Lindsey | Registered representative | CFP | Oct 2018 (8y) | |
| Loren Suzanne Mcewan | Registered representative | Oct 2018 (8y) | ||
| Steven Joel Jones | Registered representative | Oct 2018 (8y) | ||
| Thomas Gary Becker | Registered representative | Oct 2018 (8y) | ||
| William James Lawfield | Registered representative | Oct 2018 (8y) | ||
| Benjamin Bin An | Registered representative | Oct 2018 (8y) | ||
| Brandy Suzanne Fontenot | Registered representative | Oct 2018 (8y) | ||
| Nicholas Dronen | Registered representative | Oct 2018 (8y) | ||
| Sean Yount Goldney | Registered representative | Oct 2018 (8y) | ||
| Jeffrey Sean Mcgough | Registered representative | Oct 2018 (8y) | ||
| Kevin Ralph | Registered representative | CFP | Oct 2018 (8y) | |
| Tom E Quirk | Registered representative | CFP | Oct 2018 (8y) | |
| Anthony Morris Doctor | Registered representative | Oct 2018 (8y) | ||
| Christopher Shannon Hudgens | Registered representative | Oct 2018 (8y) | ||
| E. Martin Von Kanel | Registered representative | CFP | Oct 2018 (8y) | |
| Joanne Rogers Leveroni | Registered representative | Oct 2018 (8y) | ||
| Phillip Stephen Mahoney | Registered representative | CFP | Oct 2018 (8y) | |
| Robert Deane Scott | Registered representative | Oct 2018 (8y) | ||
| David John Henningfield | Registered representative | Nov 2018 (8y) | ||
| James Raymond Clark | Registered representative | Nov 2018 (8y) | ||
| Michael Anthony Durham | Registered representative | Nov 2018 (8y) | ||
| Michael David Hudson | Registered representative | Chartered Financial Consultant | Nov 2018 (8y) | |
| Patrick Allen Lee | Registered representative | Nov 2018 (8y) | ||
| Robert Scott Groth | Registered representative | Nov 2018 (8y) | ||
| Vito Nmn Cedro | Registered representative | Nov 2018 (8y) | ||
| William F. Flanigan | Registered representative | Nov 2018 (8y) | ||
| Bruce Clinton Bevins | Registered representative | Nov 2018 (8y) | ||
| Erik Timothy Flaig | Registered representative | Nov 2018 (8y) | ||
| Frank Arthur Rizzo | Registered representative | CFP | Nov 2018 (8y) | |
| Lynnea Ann Kutcka | Registered representative | Nov 2018 (8y) | ||
| Anthony Jack Ceccacci | Registered representative | Nov 2018 (8y) | ||
| Shelley Elaine Zicolell | Registered representative | Nov 2018 (8y) | ||
| Thomas Clem Palmer | Registered representative | Nov 2018 (8y) | ||
| Jeff William Grimm | Registered representative | CFP | Nov 2018 (8y) | |
| Darla Marie Huber | Registered representative | Nov 2018 (8y) | ||
| Efraim Yungreis | Registered representative | Nov 2018 (8y) | ||
| John Samuel Fitch | Registered representative | Nov 2018 (8y) | ||
| Mark William Millsap | Registered representative | Chartered Financial Consultant | Nov 2018 (8y) | |
| Andrew Edwin Watkins | Registered representative | CFP | Nov 2018 (8y) | |
| James Harold Cole | Registered representative | Chartered Financial Consultant | Nov 2018 (8y) | |
| Lynn Dee Annan | Registered representative | Nov 2018 (8y) | ||
| Anthony R. Ruffalo | Registered representative | CFP | Nov 2018 (8y) | |
| Greg Robert Janssen | Registered representative | Nov 2018 (8y) | ||
| John Jr. Ellis | Registered representative | Nov 2018 (8y) | ||
| Matthew Allen Sternkopf | Registered representative | Nov 2018 (8y) | ||
| Cameron Hooshivar | Registered representative | Nov 2018 (8y) | ||
| Paula Allen | Registered representative | Nov 2018 (8y) | ||
| Austin Keith Terry | Registered representative | Nov 2018 (8y) | ||
| Carl David Tolson | Registered representative | Nov 2018 (8y) | ||
| Donald Cody Bowers | Registered representative | Nov 2018 (8y) | ||
| Keith Robert Benton | Registered representative | CFP | Nov 2018 (8y) | |
| Shawn Joseph Oconnor | Registered representative | Chartered Financial Consultant | Nov 2018 (8y) | |
| Agnes Ann Roach | Registered representative | CFP | Nov 2018 (8y) | |
| Istelma B Giers | Registered representative | Nov 2018 (8y) | ||
| Joseph Nabozny | Registered representative | Nov 2018 (8y) | ||
| Kenneth Brian Isbell | Registered representative | Nov 2018 (8y) | ||
| Telisa V Shead | Registered representative | Nov 2018 (8y) | ||
| Yolanda Kay Mattaldi | Registered representative | Nov 2018 (8y) | ||
| Barry Eugene Allred | Registered representative | Nov 2018 (8y) | ||
| Claudia Roxanne Turek | Registered representative | Nov 2018 (8y) | ||
| Brandon Wayne Allee | Registered representative | Nov 2018 (8y) | ||
| Bryce Allen Unck | Registered representative | Nov 2018 (8y) | ||
| Nancy Thi Tran | Registered representative | Nov 2018 (8y) | ||
| Christopher Lee Boggs | Registered representative | Nov 2018 (8y) | ||
| John Douglas Mcfarland | Registered representative | Nov 2018 (8y) | ||
| Timothy Charles Schiefelbein | Registered representative | CFP | Nov 2018 (8y) | |
| Richard Karim Azouz | Registered representative | Nov 2018 (8y) | ||
| Jeffrey Howard Nessel | Registered representative | Nov 2018 (8y) | ||
| Jordan Erin Berryhill | Registered representative | CFP | Nov 2018 (8y) | |
| Kathryn Alicia Dunlop | Registered representative | Nov 2018 (8y) | ||
| Thomas Aldom Scott | Registered representative | Nov 2018 (8y) | ||
| Alexander Joseph Paulea | Registered representative | Nov 2018 (8y) | ||
| Stacey Dawnell Richards | Registered representative | Nov 2018 (8y) | ||
| Bryant Charles North | Registered representative | Nov 2018 (8y) | ||
| Daniel Mark Gindi | Registered representative | Nov 2018 (8y) | ||
| Gregg Edward Vann | Registered representative | Nov 2018 (8y) | ||
| Renee R Servis | Registered representative | Nov 2018 (8y) | ||
| Scott Charles Mc Ewen | Registered representative | Nov 2018 (8y) | ||
| Stephen Robert Nolde | Registered representative | Nov 2018 (8y) | ||
| Edward Emilio Herrera | Registered representative | Dec 2018 (8y) | ||
| Kevin Barry | Registered representative | Dec 2018 (8y) | ||
| Karl Adam Preheim | Registered representative | Dec 2018 (8y) | ||
| Richard George Bassman | Registered representative | CFP | Dec 2018 (8y) | |
| Robb Alec Dejonge | Registered representative | Dec 2018 (8y) | ||
| William Lynn Bollinger | Registered representative | Dec 2018 (8y) | ||
| Aaron Kyle Rainwater | Registered representative | Dec 2018 (8y) | ||
| Arthur Burton Velasco | Registered representative | Dec 2018 (8y) | ||
| Howard Steven Meyerson | Registered representative | Dec 2018 (8y) | ||
| Laura Ann Stanek | Registered representative | Dec 2018 (8y) | ||
| Leslie Kenneth Gay | Registered representative | Dec 2018 (8y) | ||
| Lisa Ann Mcclyman | Registered representative | Dec 2018 (8y) | ||
| Peter Daniel Welsh | Registered representative | Dec 2018 (8y) | ||
| Wendi Pamela Lee Diacono | Registered representative | Dec 2018 (8y) | ||
| Manoj Kumar Paul | Registered representative | Dec 2018 (8y) | ||
| Ann R Schoenberg | Registered representative | Dec 2018 (8y) | ||
| Anne Carr Bethea | Registered representative | Dec 2018 (8y) | ||
| Gary Lee Meagher | Registered representative | CFP | Dec 2018 (8y) | |
| Santiago Huerta | Registered representative | Dec 2018 (8y) | ||
| Thomas M Jacobson | Registered representative | Dec 2018 (8y) | ||
| Anthony James Francois | Registered representative | Dec 2018 (8y) | ||
| Hayward Carter | Registered representative | Dec 2018 (8y) | ||
| Dennis David Gorman | Registered representative | Dec 2018 (8y) | ||
| Gregory Mark Frank | Registered representative | Dec 2018 (8y) | ||
| Lemuel Benton Montgomery | Registered representative | Dec 2018 (8y) | ||
| Orlando Ochoa | Registered representative | Dec 2018 (8y) | ||
| Winston Barrett Minter | Registered representative | Dec 2018 (8y) | ||
| Christopher D Hill | Registered representative | CFP | Dec 2018 (8y) | |
| Demetrios Andrew Stylianos | Registered representative | Dec 2018 (8y) | ||
| James William Spooner | Registered representative | Dec 2018 (8y) | ||
| William Rothwell Wilcox | Registered representative | Dec 2018 (8y) | ||
| Jesse Lee Landis | Registered representative | Dec 2018 (8y) | ||
| Alvin Clifford Hailstorks | Registered representative | CFP | Dec 2018 (8y) | |
| Brian Lewis Hill | Registered representative | Dec 2018 (8y) | ||
| Edward Camden Werntz | Registered representative | Dec 2018 (8y) | ||
| Karen Yvonne Holmes | Registered representative | CFP | Dec 2018 (8y) | |
| Kimberly Ann Santarsiero | Registered representative | Dec 2018 (8y) | ||
| Pamela Putnam Smith | Registered representative | Dec 2018 (8y) | ||
| Robert Autrey Williams | Registered representative | Dec 2018 (8y) | ||
| Jack Edward Vadnais | Registered representative | Dec 2018 (8y) | ||
| Roohi Khan Darugar | Registered representative | Dec 2018 (8y) | ||
| Saul Kalu Onyeuku | Registered representative | Dec 2018 (8y) | ||
| Chrystal Dawn Goland | Registered representative | Dec 2018 (8y) | ||
| Stephen Charles Kelly | Registered representative | Dec 2018 (8y) | ||
| Zachary Isaiah Fairhart | Registered representative | CFA | Dec 2018 (8y) | |
| Daniel Ernest Goland | Registered representative | Dec 2018 (8y) | ||
| Kathe Sorrentino Wilson | Registered representative | Dec 2018 (8y) | ||
| Freddie Lee Barbour | Registered representative | Dec 2018 (8y) | ||
| John Jay Lewis | Registered representative | CFP | Dec 2018 (8y) | |
| Jim S Karas | Registered representative | Jan 2019 (8y) | ||
| Jonathan D Wendt | Registered representative | CFP | Jan 2019 (8y) | |
| Andrew Joseph Grant | Registered representative | Jan 2019 (8y) | ||
| David Allen Lorio | Registered representative | Jan 2019 (8y) | ||
| David Henderson | Registered representative | Jan 2019 (8y) | ||
| John Dennis Eggers | Registered representative | Jan 2019 (8y) | ||
| Joseph Reed | Registered representative | Jan 2019 (8y) | ||
| Julie Susannah Leggett | Registered representative | Jan 2019 (8y) | ||
| Michael Stieglitz | Registered representative | Jan 2019 (8y) | ||
| Natacha Tania Smith | Registered representative | Jan 2019 (8y) | ||
| Thomas Edward Harkins | Registered representative | Jan 2019 (8y) | ||
| Tracy Guo Aiken | Registered representative | Jan 2019 (8y) | ||
| Kenneth Charles Duncan | Registered representative | CFP | Jan 2019 (8y) | |
| Timothy Robert Wellman | Registered representative | Jan 2019 (8y) | ||
| Tyler Hanson Cotterell | Registered representative | Jan 2019 (8y) | ||
| Brian Keith Puddy | Registered representative | Jan 2019 (8y) | ||
| James J Caristia | Registered representative | Jan 2019 (8y) | ||
| Michael Joseph Wade | Registered representative | Jan 2019 (8y) | ||
| Robert Thomas Ford | Registered representative | CFP | Jan 2019 (8y) | |
| Timothy Alexander Donaldson | Registered representative | Jan 2019 (8y) | ||
| Alan Michael Mevorah | Registered representative | Chartered Financial Consultant | Jan 2019 (8y) | |
| Brooke Thornton Carpenter | Registered representative | Jan 2019 (8y) | ||
| John Joseph Horrigan | Registered representative | Jan 2019 (8y) | ||
| Ezra Todd Whipple | Registered representative | Jan 2019 (8y) | ||
| Ryan Jeffrey Kleve | Registered representative | Jan 2019 (8y) | ||
| Abby Leigh Weber | Registered representative | Jan 2019 (8y) | ||
| Alison Elizabeth Pettine Wyshock | Registered representative | Chartered Financial Consultant | Jan 2019 (8y) | |
| David Anthony Arlott | Registered representative | Jan 2019 (8y) | ||
| Phillip Michael Desantis | Registered representative | CFP | Jan 2019 (8y) | |
| Joseph Peter Mccarthy | Registered representative | Jan 2019 (8y) | ||
| Alexander Michael Legamaro | Registered representative | Jan 2019 (8y) | ||
| Deborah Jennifer Severn | Registered representative | Jan 2019 (8y) | ||
| Michael Charles Mondello | Registered representative | Jan 2019 (8y) | ||
| Murray Louis Hougen | Registered representative | CFP Chartered Financial Consultant | Jan 2019 (8y) | |
| Scicile Dawn Lindsay | Registered representative | Jan 2019 (8y) | ||
| Chad I Arseneau | Registered representative | Jan 2019 (8y) | ||
| Eugene Samuel Spitzer | Registered representative | Jan 2019 (8y) | ||
| Jonathan Howard Friess | Registered representative | Jan 2019 (8y) | ||
| Steven Ronald Ross | Registered representative | Jan 2019 (8y) | ||
| Tracy Ann Shea | Registered representative | CFP | Jan 2019 (8y) | |
| Zechariah Austin Montera | Registered representative | CFP | Jan 2019 (8y) | |
| Adrian Lea Hall | Registered representative | Jan 2019 (8y) | ||
| Christopher Douglas Davidson | Registered representative | CFP | Jan 2019 (8y) | |
| Melissa Louise Mills | Registered representative | Jan 2019 (8y) | ||
| Renee Aileen Springstead | Registered representative | Jan 2019 (8y) | ||
| John Edward Meegan | Registered representative | Jan 2019 (8y) | ||
| Ryan M Taylor | Registered representative | Jan 2019 (8y) | ||
| Cecily Stewart Venkatesh | Registered representative | Jan 2019 (8y) | ||
| Kyle Monahan | Registered representative | Jan 2019 (8y) | ||
| Joshua Glenn Rothbard | Registered representative | Jan 2019 (8y) | ||
| Kirby Smith Sale | Registered representative | Jan 2019 (8y) | ||
| David Edward Hershman | Registered representative | Jan 2019 (8y) | ||
| Joczan Chavez | Registered representative | Jan 2019 (8y) | ||
| Lisa Linda Allen | Registered representative | Jan 2019 (8y) | ||
| Jeffrey Glenn Thatcher | Registered representative | CFP | Feb 2019 (8y) | |
| Keith George Burck | Registered representative | CFP Chartered Financial Consultant | Feb 2019 (7y) | |
| Michael J Rogers | Registered representative | Feb 2019 (7y) | ||
| Simon David Hobbs | Registered representative | Feb 2019 (7y) | ||
| Troy Michael Hefta | Registered representative | Feb 2019 (7y) | ||
| Keith Alan Smith | Registered representative | CFP | Feb 2019 (7y) | |
| Mary Lois Kimbrough | Registered representative | Feb 2019 (7y) | ||
| Blayde Duane Gardner | Registered representative | Feb 2019 (7y) | ||
| Diahanna Marie Vallentine | Registered representative | Feb 2019 (7y) | ||
| Jeremy Vaille | Registered representative | Feb 2019 (7y) | ||
| Jeffrey Scott Strasburg | Registered representative | Feb 2019 (7y) | ||
| Kelly W Shores | Registered representative | Feb 2019 (7y) | ||
| Andrew Malcolm Yale | Registered representative | Feb 2019 (7y) | ||
| Lewis Marlin Rowe | Registered representative | Feb 2019 (7y) | ||
| Ryan Michael Kwiatkowski | Registered representative | Feb 2019 (7y) | ||
| Jon Charles Hutchison | Registered representative | Chartered Financial Consultant | Feb 2019 (7y) | |
| Nicholas W Maxwell | Registered representative | Feb 2019 (7y) | ||
| Daniel Phares Gielow | Registered representative | Feb 2019 (7y) | ||
| William Jarrett Fox | Registered representative | Feb 2019 (7y) | ||
| Charles James Pass | Registered representative | Feb 2019 (7y) | ||
| Justin Drew Green | Registered representative | Feb 2019 (7y) | ||
| Kaimanu Susumu Chin Hidano | Registered representative | Feb 2019 (7y) | ||
| Michael Daniel Degnan | Registered representative | Feb 2019 (7y) | ||
| Joseph David Falcone | Registered representative | Feb 2019 (7y) | ||
| Breandan Sean Kelly | Registered representative | Feb 2019 (7y) | ||
| Debra Susan Shultz | Registered representative | Feb 2019 (7y) | ||
| Jason Matthew Soland | Registered representative | CFP | Feb 2019 (7y) | |
| Laura Jean Haynes | Registered representative | Feb 2019 (7y) | ||
| Brett Mckinley Graham | Registered representative | Feb 2019 (7y) | ||
| Craig Michael Russ | Registered representative | Feb 2019 (7y) | ||
| Jason William Gallimore | Registered representative | Feb 2019 (7y) | ||
| Danyelle Marie Fiorentino | Registered representative | Feb 2019 (7y) | ||
| Shauna Michelle La Maina | Registered representative | Feb 2019 (7y) | ||
| Thomas Edward Robarge | Registered representative | Feb 2019 (7y) | ||
| David Charles Ferrell | Registered representative | Feb 2019 (7y) | ||
| Daniel James Monzi | Registered representative | Feb 2019 (7y) | ||
| James Anthony Costabile | Registered representative | Feb 2019 (7y) | ||
| Michael Bonevento | Registered representative | CFP Chartered Financial Consultant | Feb 2019 (7y) | |
| Neeraj Arya | Registered representative | Feb 2019 (7y) | ||
| Richard Louis Shaughnessy | Registered representative | Feb 2019 (7y) | ||
| Stephen Kuczynski | Registered representative | Feb 2019 (7y) | ||
| Craig Daniel Laday | Registered representative | Feb 2019 (7y) | ||
| Justin Kenneth Kawcak | Registered representative | Feb 2019 (7y) | ||
| Mounir I Ghaly | Registered representative | Feb 2019 (7y) | ||
| Adriane Marie Domanski | Registered representative | Feb 2019 (7y) | ||
| David George Rosensteel | Registered representative | Feb 2019 (7y) | ||
| Fredric Roy Weiner | Registered representative | Feb 2019 (7y) | ||
| Glenn S Dydak | Registered representative | Feb 2019 (7y) | ||
| Joseph M. Bonanno | Registered representative | Feb 2019 (7y) | ||
| Joseph Paul Pearce | Registered representative | CFP | Feb 2019 (7y) | |
| Richard Austin Pond | Registered representative | Feb 2019 (7y) | ||
| Chris J. Held | Registered representative | CFP | Feb 2019 (7y) | |
| Ashley Ann Altman | Registered representative | Feb 2019 (7y) | ||
| Gaea Dawn | Registered representative | Feb 2019 (7y) | ||
| Michael James Alexander | Registered representative | Mar 2019 (7y) | ||
| Devin John Potter | Registered representative | CFP | Mar 2019 (7y) | |
| Jacob Joseph Cate | Registered representative | Mar 2019 (7y) | ||
| Matthew R Donner | Registered representative | Mar 2019 (7y) | ||
| Jonathan Wesley Edwards | Registered representative | Mar 2019 (7y) | ||
| Muhammad Hussain Khaki | Registered representative | CFP | Mar 2019 (7y) | |
| Robert Charles Schubert | Registered representative | Personal Financial Specialist | Mar 2019 (7y) | |
| Christopher Paul Calabro | Registered representative | Mar 2019 (7y) | ||
| Samuel Blake Law | Registered representative | Mar 2019 (7y) | ||
| Allan Magnaye Alcayde | Registered representative | Mar 2019 (7y) | ||
| Thomas Francis Nichols | Registered representative | CFP | Mar 2019 (7y) | |
| Alfred John Keyser | Registered representative | Mar 2019 (7y) | ||
| Braylen Michael Scott | Registered representative | CFP | Mar 2019 (7y) | |
| Jason Christopher Mango | Registered representative | Mar 2019 (7y) | ||
| Joseph Aldo Cappello | Registered representative | Mar 2019 (7y) | ||
| Margaret Mary Gaston | Registered representative | Mar 2019 (7y) | ||
| Douglas Alan Brown | Registered representative | Mar 2019 (7y) | ||
| Matthew Beninati | Registered representative | Mar 2019 (7y) | ||
| Courtney Fitzgerald | Registered representative | Mar 2019 (7y) | ||
| Mandwel Patterson | Registered representative | Mar 2019 (7y) | ||
| Ronald Vinyard | Registered representative | Mar 2019 (7y) | ||
| Laurance Thornton Phister | Registered representative | Mar 2019 (7y) | ||
| Michael Francis Law | Registered representative | CFP | Mar 2019 (7y) | |
| Stephen Michael Metzger | Registered representative | Mar 2019 (7y) | ||
| Samuel Shaw | Registered representative | CFP | Mar 2019 (7y) | |
| James William Watkins | Registered representative | Mar 2019 (7y) | ||
| Lisa Jo Rabatin | Registered representative | CFP | Mar 2019 (7y) | |
| Nathan Reed Green | Registered representative | CFP | Mar 2019 (7y) | |
| Richard Joseph Fisher | Registered representative | Mar 2019 (7y) | ||
| Sarah Marie Childress Hogue | Registered representative | Mar 2019 (7y) | ||
| Stanley Owen Mcnulty | Registered representative | Mar 2019 (7y) | ||
| W. Cary Curzon | Registered representative | CFP | Mar 2019 (7y) | |
| Casey Griesemer | Registered representative | Mar 2019 (7y) | ||
| Jennifer Rogers Markwell | Registered representative | Mar 2019 (7y) | ||
| John Allen Slayton | Registered representative | Mar 2019 (7y) | ||
| John Robert Bond | Registered representative | Mar 2019 (7y) | ||
| Julia Kay Cook | Registered representative | Mar 2019 (7y) | ||
| Raymond James Albano | Registered representative | Mar 2019 (7y) | ||
| Ryan Robert O'connell | Registered representative | Mar 2019 (7y) | ||
| Steven Dobski | Registered representative | Mar 2019 (7y) | ||
| Chad Gerald Molitor | Registered representative | Mar 2019 (7y) | ||
| Chad Harrison Carlson | Registered representative | CFP | Mar 2019 (7y) | |
| Ernest Escobar | Registered representative | Mar 2019 (7y) | ||
| Kristen Leigh Fox | Registered representative | CFP | Mar 2019 (7y) | |
| Sidney Moore Starks | Registered representative | Mar 2019 (7y) | ||
| Aaron Anthony Anderson | Registered representative | Mar 2019 (7y) | ||
| Carole Ann Sarson | Registered representative | Mar 2019 (7y) | ||
| Gavin Takeo Tanioka | Registered representative | Mar 2019 (7y) | ||
| Rusty Russell | Registered representative | CFP | Mar 2019 (7y) | |
| Zehra M Candler | Registered representative | Mar 2019 (7y) | ||
| Caleb James Kirby | Registered representative | CFP | Mar 2019 (7y) | |
| Carrie Rae Mullins | Registered representative | Mar 2019 (7y) | ||
| Charles Hugh Currie | Registered representative | CFP | Mar 2019 (7y) | |
| Dale Andrew Kolar | Registered representative | Mar 2019 (7y) | ||
| Davis Alika Siliga | Registered representative | Mar 2019 (7y) | ||
| Michael Joseph Hennessy | Registered representative | Mar 2019 (7y) | ||
| Roderick Dean Bishoff | Registered representative | Mar 2019 (7y) | ||
| Sara Elisabeth Tanner | Registered representative | CFP | Mar 2019 (7y) | |
| Schuyler B Dombroske | Registered representative | CFP | Mar 2019 (7y) | |
| Semen Solgan | Registered representative | Mar 2019 (7y) | ||
| Susan Perry | Registered representative | Mar 2019 (7y) | ||
| Sierra Melody Muecke | Registered representative | Mar 2019 (7y) | ||
| Edward Stahl Scheuber | Registered representative | Apr 2019 (7y) | ||
| Tracy Anne Mackinstry | Registered representative | Apr 2019 (7y) | ||
| Brett Keoki Sasaki | Registered representative | Apr 2019 (7y) | ||
| Brienne Surratt Moyer | Registered representative | Apr 2019 (7y) | ||
| Jennifer Nye Griffin | Registered representative | Apr 2019 (7y) | ||
| Louis Scott Mitchell | Registered representative | Apr 2019 (7y) | ||
| Michele Sharpe Schneider | Registered representative | CFP | Apr 2019 (7y) | |
| Christopher Eric Herzog | Registered representative | Apr 2019 (7y) | ||
| Diana Lucia Sparks Mickey | Registered representative | Apr 2019 (7y) | ||
| Marsha L Rose | Registered representative | Apr 2019 (7y) | ||
| Samuel Izaguirre | Registered representative | Apr 2019 (7y) | ||
| Dale Andrew Alcorn | Registered representative | Apr 2019 (7y) | ||
| Demond Patrick Dawkins | Registered representative | Apr 2019 (7y) | ||
| Jason Anthony Zamora | Registered representative | Apr 2019 (7y) | ||
| Pamela Joy Pouncy | Registered representative | Apr 2019 (7y) | ||
| William Alexander Shumate | Registered representative | Apr 2019 (7y) | ||
| Anthony Reinard Marrie | Registered representative | Apr 2019 (7y) | ||
| Marc Ross | Registered representative | CFP CFA | Apr 2019 (7y) | |
| Anthony William Leo | Registered representative | Apr 2019 (7y) | ||
| Catherine Allred | Registered representative | Apr 2019 (7y) | ||
| David Hirschbine | Registered representative | Apr 2019 (7y) | ||
| Dennis Lee Zaplin | Registered representative | Apr 2019 (7y) | ||
| Michael Cianciosa | Registered representative | Apr 2019 (7y) | ||
| Ronald Joel Willis | Registered representative | Apr 2019 (7y) | ||
| Thomas C Russell | Registered representative | Apr 2019 (7y) | ||
| Christopher Craig Cantele | Registered representative | Apr 2019 (7y) | ||
| David Anthony Gore | Registered representative | Apr 2019 (7y) | ||
| Eric Mills Stever | Registered representative | Apr 2019 (7y) | ||
| Gregory George Antonakos | Registered representative | Apr 2019 (7y) | ||
| Michael Sean Moran | Registered representative | Apr 2019 (7y) | ||
| Alaina Kathryn Skolnik | Registered representative | Apr 2019 (7y) | ||
| Anders Ben Johansson | Registered representative | Apr 2019 (7y) | ||
| Jeffrey Andre Ponson | Registered representative | Apr 2019 (7y) | ||
| Ken Brett Asay | Registered representative | Apr 2019 (7y) | ||
| Cynthia Anne Gammon | Registered representative | Apr 2019 (7y) | ||
| Heather A. Hepburn | Registered representative | Apr 2019 (7y) | ||
| Austin James Mcstraw | Registered representative | Apr 2019 (7y) | ||
| Bria May Gilbert | Registered representative | Apr 2019 (7y) | ||
| Brent A Brookshire | Registered representative | Apr 2019 (7y) | ||
| Cory Ryan Wilcox Vasquez | Registered representative | Apr 2019 (7y) | ||
| James Jackson Hill | Registered representative | Apr 2019 (7y) | ||
| Thomas D Lee | Registered representative | Apr 2019 (7y) | ||
| Charles David Mcclure | Registered representative | Apr 2019 (7y) | ||
| Matthew Tarantino | Registered representative | Apr 2019 (7y) | ||
| Sandra Gail Davis Skeen | Registered representative | Apr 2019 (7y) | ||
| Chantel Renae Rechek | Registered representative | Apr 2019 (7y) | ||
| Gregory Joseph Paine | Registered representative | Chartered Financial Consultant | Apr 2019 (7y) | |
| Jason William Coddington | Registered representative | Apr 2019 (7y) | ||
| Shannon Michelle Jenke | Registered representative | Apr 2019 (7y) | ||
| Cynthia Diane Rivas | Registered representative | Apr 2019 (7y) | ||
| Richard Jason Mojica | Registered representative | Apr 2019 (7y) | ||
| Wendy Nichole Hunt | Registered representative | CFP | Apr 2019 (7y) | |
| Martial Camille Martinoni | Registered representative | Apr 2019 (7y) | ||
| Thomas David Grier | Registered representative | Apr 2019 (7y) | ||
| Wade T Cardon | Registered representative | Apr 2019 (7y) | ||
| Harry Edward O'conner | Registered representative | Apr 2019 (7y) | ||
| Kristi Ann Denham | Registered representative | Apr 2019 (7y) | ||
| John Eldridge Parham | Registered representative | Apr 2019 (7y) | ||
| Michael Scott Johnson | Registered representative | Apr 2019 (7y) | ||
| Scott Steven Feher | Registered representative | Apr 2019 (7y) | ||
| Terry Joseph Gries | Registered representative | Apr 2019 (7y) | ||
| Thomas James Carlson | Registered representative | Apr 2019 (7y) | ||
| Bethany A Davis | Registered representative | May 2019 (7y) | ||
| Gary D Mesko | Registered representative | May 2019 (7y) | ||
| Jason Wynn Crowe | Registered representative | May 2019 (7y) | ||
| Kevin Ronald Sullivan | Registered representative | May 2019 (7y) | ||
| Michael Stephen Hodges | Registered representative | May 2019 (7y) | ||
| Rey Whitehorn | Registered representative | May 2019 (7y) | ||
| Richard Allan Nelson | Registered representative | May 2019 (7y) | ||
| Robert Nelson Donofrio | Registered representative | May 2019 (7y) | ||
| Tom Haipei Tan | Registered representative | May 2019 (7y) | ||
| Lowell Wayne Hesser | Registered representative | May 2019 (7y) | ||
| James Robert Shelton | Registered representative | May 2019 (7y) | ||
| Christian Chasey | Registered representative | CFP | May 2019 (7y) | |
| Jody Michael James | Registered representative | May 2019 (7y) | ||
| Christopher Lee Adajar | Registered representative | May 2019 (7y) | ||
| Gareth Evan Lintt | Registered representative | May 2019 (7y) | ||
| Barry Arthur Rucks | Registered representative | May 2019 (7y) | ||
| Donald Richard Deslauriers | Registered representative | May 2019 (7y) | ||
| Damon Nathaniel Martin | Registered representative | May 2019 (7y) | ||
| Jeffrey A Kocis | Registered representative | May 2019 (7y) | ||
| Matthew Ryan Silverhardt | Registered representative | May 2019 (7y) | ||
| Steven Joseph Case | Registered representative | CFP | May 2019 (7y) | |
| Justin Thomas Adams | Registered representative | May 2019 (7y) | ||
| Loyd Bradley Bouldin | Registered representative | May 2019 (7y) | ||
| Ned Tufekcic | Registered representative | May 2019 (7y) | ||
| Paul Martin Hoghaug | Registered representative | May 2019 (7y) | ||
| Denice Karen Riley | Registered representative | May 2019 (7y) | ||
| Shad Matthew Evans | Registered representative | May 2019 (7y) | ||
| David Matthew Foster | Registered representative | May 2019 (7y) | ||
| Gerald Joseph Nissly | Registered representative | May 2019 (7y) | ||
| Kevin J Mcsweeny | Registered representative | May 2019 (7y) | ||
| Kevin John Babcock | Registered representative | CFP | May 2019 (7y) | |
| Lisa Joyce Delisio | Registered representative | May 2019 (7y) | ||
| Brian Compton Gregg | Registered representative | CFP | May 2019 (7y) | |
| Chris Leigh Thelen | Registered representative | May 2019 (7y) | ||
| Kevin William Horton | Registered representative | May 2019 (7y) | ||
| Scott Robert Wingfield | Registered representative | May 2019 (7y) | ||
| Mitchell David Stevens | Registered representative | May 2019 (7y) | ||
| Jason Kurt Davis | Registered representative | May 2019 (7y) | ||
| Philip Reed | Registered representative | May 2019 (7y) | ||
| Roland Francis Driscoll | Registered representative | May 2019 (7y) | ||
| Christopher Lee Jones | Registered representative | May 2019 (7y) | ||
| William Hu | Registered representative | May 2019 (7y) | ||
| Mark Steven Filiberto | Registered representative | May 2019 (7y) | ||
| Patricia Thomas | Registered representative | CFP | May 2019 (7y) | |
| Spencer Andrew Orme | Registered representative | May 2019 (7y) | ||
| Brandon Askew | Registered representative | May 2019 (7y) | ||
| Jacob Eli Murray | Registered representative | May 2019 (7y) | ||
| Jill Hoelscher Phillips | Registered representative | May 2019 (7y) | ||
| Michael David Canavan | Registered representative | May 2019 (7y) | ||
| Daniel N Montanaro | Registered representative | May 2019 (7y) | ||
| Carlos Curiel | Registered representative | May 2019 (7y) | ||
| Michael Lee Bensey | Registered representative | May 2019 (7y) | ||
| Ralph S Munroe | Registered representative | May 2019 (7y) | ||
| Jennifer Carol Lowden | Registered representative | May 2019 (7y) | ||
| Sean Luigi Covi | Registered representative | CFP | May 2019 (7y) | |
| Timothy F Grable | Registered representative | May 2019 (7y) | ||
| Brian Andrew Messick | Registered representative | CFP | May 2019 (7y) | |
| Chinh Thien Nguyen | Registered representative | May 2019 (7y) | ||
| Kathryn Ann Messick | Registered representative | May 2019 (7y) | ||
| Michael G Weber | Registered representative | May 2019 (7y) | ||
| Ann Marie Mariani Issel | Registered representative | May 2019 (7y) | ||
| Eric Robert Listick | Registered representative | May 2019 (7y) | ||
| Ian Michael Jones | Registered representative | May 2019 (7y) | ||
| Joseph D Ricciardi | Registered representative | CFP | May 2019 (7y) | |
| Mark Allen Davids | Registered representative | CFP | May 2019 (7y) | |
| Michelle Mary Milliken | Registered representative | CFP | May 2019 (7y) | |
| Stephen Nephi Ashton | Registered representative | CFP | May 2019 (7y) | |
| Edward John Frelly | Registered representative | CFP | Jun 2019 (7y) | |
| Greg Alan Imhoff | Registered representative | Jun 2019 (7y) | ||
| Howard William Vari | Registered representative | Jun 2019 (7y) | ||
| James Curtis Harris | Registered representative | Jun 2019 (7y) | ||
| James Michael Davids | Registered representative | Jun 2019 (7y) | ||
| Jason Michael Jones | Registered representative | Jun 2019 (7y) | ||
| Keith Thomas Forrest | Registered representative | Jun 2019 (7y) | ||
| Patrick Jaime Foy | Registered representative | CFP | Jun 2019 (7y) | |
| Rebekah Renee Von Berg | Registered representative | Jun 2019 (7y) | ||
| James Lawrence Yost | Registered representative | Chartered Financial Consultant | Jun 2019 (7y) | |
| Johnson Minh Hoang | Registered representative | Jun 2019 (7y) | ||
| Edward Joseph Behm | Registered representative | Jun 2019 (7y) | ||
| Amy Jean Komis | Registered representative | Jun 2019 (7y) | ||
| Peter Anthony Piccinini | Registered representative | Jun 2019 (7y) | ||
| Shawn Michael Agan | Registered representative | CFP | Jun 2019 (7y) | |
| Cory Michael Huff | Registered representative | Jun 2019 (7y) | ||
| Joseph B Johnson | Registered representative | CFP | Jun 2019 (7y) | |
| Nikki Rae Seeger | Registered representative | Jun 2019 (7y) | ||
| Peter Vang | Registered representative | Jun 2019 (7y) | ||
| Sara Lyn Crain | Registered representative | CFP | Jun 2019 (7y) | |
| Bruce O Dye | Registered representative | Jun 2019 (7y) | ||
| Mark Joseph White | Registered representative | Jun 2019 (7y) | ||
| Michael Taverner | Registered representative | Jun 2019 (7y) | ||
| Roger Dale Robinson | Registered representative | Jun 2019 (7y) | ||
| Christopher John Lannon | Registered representative | Jun 2019 (7y) | ||
| Gregg Allen Horsman | Registered representative | Jun 2019 (7y) | ||
| Kristin Shaun Wilkerson | Registered representative | Jun 2019 (7y) | ||
| Michael Stephen Thompson | Registered representative | Jun 2019 (7y) | ||
| Philip Ransom Depriest | Registered representative | Jun 2019 (7y) | ||
| Trey Landel Wilkerson | Registered representative | Jun 2019 (7y) | ||
| Adam Gregory Mark Hartrum | Registered representative | Jun 2019 (7y) | ||
| Andrew James Mcculley | Registered representative | Jun 2019 (7y) | ||
| Michael James Mcmahon | Registered representative | Jun 2019 (7y) | ||
| Robert Eugene Nichols | Registered representative | Jun 2019 (7y) | ||
| Rickey Shawn Ezell | Registered representative | Jun 2019 (7y) | ||
| Braden Glenn Botkin | Registered representative | CFP CFA | Jun 2019 (7y) | |
| John R Frenzel | Registered representative | Jun 2019 (7y) | ||
| Matthew Russell Prok | Registered representative | CFP | Jun 2019 (7y) | |
| Steven Sunyuk Lew | Registered representative | Jun 2019 (7y) | ||
| Susan Ann Lombardo | Registered representative | CFP | Jun 2019 (7y) | |
| William Dale Robertson | Registered representative | Jun 2019 (7y) | ||
| Wade Bensieck Bramlitt | Registered representative | Jun 2019 (7y) | ||
| Jacob William Torpy | Registered representative | Jun 2019 (7y) | ||
| Lee Byron Thomson | Registered representative | Jun 2019 (7y) | ||
| Marsha Lee Gulledge | Registered representative | CFP | Jun 2019 (7y) | |
| Benjamin Edward Loturco | Registered representative | Jun 2019 (7y) | ||
| Edward Loturco | Registered representative | Jun 2019 (7y) | ||
| John Charles Bloomfield | Registered representative | Jun 2019 (7y) | ||
| John Forest Ryder | Registered representative | Jun 2019 (7y) | ||
| Kyle M Schau | Registered representative | CFP | Jun 2019 (7y) | |
| Lee Richard Rosenwasser | Registered representative | CFP | Jun 2019 (7y) | |
| Stephen Anthony Tulli | Registered representative | CFP | Jun 2019 (7y) | |
| Blake Art Nino | Registered representative | Jun 2019 (7y) | ||
| Christopher Charles Soulios | Registered representative | Jun 2019 (7y) | ||
| Heather Anne Jacobsen | Registered representative | Jun 2019 (7y) | ||
| Jose Luis Martinez | Registered representative | Jun 2019 (7y) | ||
| Joseph Leighton Deming | Registered representative | Jun 2019 (7y) | ||
| Robert Steven Morgenstern | Registered representative | Jun 2019 (7y) | ||
| Tracy Diane Taylor | Registered representative | Jun 2019 (7y) | ||
| Michael Dennis Toomey | Registered representative | Jun 2019 (7y) | ||
| Robert Lawrence Aigler | Registered representative | Jun 2019 (7y) | ||
| Beverly Carver Granberry | Registered representative | Jun 2019 (7y) | ||
| Christine Winn Powell | Registered representative | Jun 2019 (7y) | ||
| Daniel Ray Creps | Registered representative | Jun 2019 (7y) | ||
| Nathan Edward Sorum | Registered representative | CFP Chartered Financial Consultant | Jun 2019 (7y) | |
| Apryl Marie Pope | Registered representative | Jun 2019 (7y) | ||
| Blake Leland Hansen | Registered representative | Chartered Financial Consultant | Jun 2019 (7y) | |
| Jamie Allen Osborne | Registered representative | Jun 2019 (7y) | ||
| Tracey Brooks | Registered representative | Jun 2019 (7y) | ||
| Christen Riley Mitchell | Registered representative | Jun 2019 (7y) | ||
| Jacob Daniel Wilson | Registered representative | Jun 2019 (7y) | ||
| Jenny L Lancaster | Registered representative | Jun 2019 (7y) | ||
| Joey Lynn Price | Registered representative | Jun 2019 (7y) | ||
| Joseph Anthony Perretta | Registered representative | Jun 2019 (7y) | ||
| Michael Louis Darby | Registered representative | Jun 2019 (7y) | ||
| Patrick J Jarzembowski | Registered representative | Jun 2019 (7y) | ||
| Robert Philip Riley | Registered representative | Jun 2019 (7y) | ||
| Shawn Barrett Peroff | Registered representative | Jun 2019 (7y) | ||
| Stephen Joseph Perry | Registered representative | Jun 2019 (7y) | ||
| Silas John Atsalis | Registered representative | Jun 2019 (7y) | ||
| Taylor David Beard | Registered representative | Jun 2019 (7y) | ||
| Andrew Douglass Carman | Registered representative | CFP | Jul 2019 (7y) | |
| Henry John Tallardy | Registered representative | Jul 2019 (7y) | ||
| Nathan Peter Graff | Registered representative | Jul 2019 (7y) | ||
| Robert John Furlong | Registered representative | CFP | Jul 2019 (7y) | |
| Robert Vernon Riley | Registered representative | Jul 2019 (7y) | ||
| Matthew James Diver | Registered representative | CFP | Jul 2019 (7y) | |
| Nicholas Rod Lupo | Registered representative | Jul 2019 (7y) | ||
| Brian Joseph Cunningham | Registered representative | CFP | Jul 2019 (7y) | |
| Maria Luisa Winkelried | Registered representative | Jul 2019 (7y) | ||
| Seth David Sartain | Registered representative | CFP | Jul 2019 (7y) | |
| Anthony Rosario Massaro | Registered representative | CFP | Jul 2019 (7y) | |
| James Barton Brannon | Registered representative | Jul 2019 (7y) | ||
| Michael Campagna | Registered representative | Jul 2019 (7y) | ||
| Austin A Frye | Registered representative | Jul 2019 (7y) | ||
| Brian David Smith | Registered representative | Jul 2019 (7y) | ||
| Justin Todd Goldman | Registered representative | Jul 2019 (7y) | ||
| Matthew K Meese | Registered representative | Jul 2019 (7y) | ||
| Jerald Lewis Butts | Registered representative | Jul 2019 (7y) | ||
| Andrew James Mangano | Registered representative | Jul 2019 (7y) | ||
| Kevin John Prendergast | Registered representative | CFP CFA | Jul 2019 (7y) | |
| Armahn Hadjian | Registered representative | CFP | Jul 2019 (7y) | |
| Mark Alan Haenny | Registered representative | Jul 2019 (7y) | ||
| Ronald Evan Jaeger | Registered representative | Jul 2019 (7y) | ||
| Timothy L Barrett | Registered representative | Jul 2019 (7y) | ||
| Benjamin Joseph Krzyzewski | Registered representative | CFP | Jul 2019 (7y) | |
| Jacob Bradley Jordison | Registered representative | Jul 2019 (7y) | ||
| Mark Joseph Lynn | Registered representative | Jul 2019 (7y) | ||
| Amanda Elyse Murray | Registered representative | Jul 2019 (7y) | ||
| Bjorn Mark Miller | Registered representative | CFP | Jul 2019 (7y) | |
| Mariah Kate Lightfoot | Registered representative | Jul 2019 (7y) | ||
| Casey Douglas Craig | Registered representative | Jul 2019 (7y) | ||
| David Alan Vang | Registered representative | Jul 2019 (7y) | ||
| Edmond N Karam | Registered representative | Jul 2019 (7y) | ||
| Jordan Searle Priest | Registered representative | Jul 2019 (7y) | ||
| Marc Andrew Stein | Registered representative | Jul 2019 (7y) | ||
| Tiffani Lynn Hamilton | Registered representative | Jul 2019 (7y) | ||
| Linda Susan Kazyak | Registered representative | Jul 2019 (7y) | ||
| Peter David Dubin | Registered representative | Jul 2019 (7y) | ||
| Troy Rhyne Jackson | Registered representative | Jul 2019 (7y) | ||
| Ann Stidom Bone | Registered representative | Jul 2019 (7y) | ||
| Cary L Hall | Registered representative | Jul 2019 (7y) | ||
| David Blane Brantley | Registered representative | Jul 2019 (7y) | ||
| John Radford Compton | Registered representative | Jul 2019 (7y) | ||
| John Roland Taylor | Registered representative | Jul 2019 (7y) | ||
| Kathleen Marie Keable | Registered representative | Jul 2019 (7y) | ||
| Stephanie Mae Bissell | Registered representative | Jul 2019 (7y) | ||
| Elizabeth Branham Baker | Registered representative | Jul 2019 (7y) | ||
| Roy Myron Fakoury | Registered representative | CFP | Jul 2019 (7y) | |
| Sean Richard Considine | Registered representative | Jul 2019 (7y) | ||
| Vladislav Michael Romanov | Registered representative | Jul 2019 (7y) | ||
| Daniel Patrick Callaghan | Registered representative | Jul 2019 (7y) | ||
| James Allen Summers | Registered representative | Jul 2019 (7y) | ||
| Chad Michael Winn | Registered representative | Jul 2019 (7y) | ||
| Carter Johns | Registered representative | Jul 2019 (7y) | ||
| Eugene James Yelverton | Registered representative | Jul 2019 (7y) | ||
| Michael Scott Chu | Registered representative | Jul 2019 (7y) | ||
| Ryan Sean Willette | Registered representative | Jul 2019 (7y) | ||
| Christopher Ronald Landherr | Registered representative | Jul 2019 (7y) | ||
| James Arthur Russell | Registered representative | Jul 2019 (7y) | ||
| Scott Wayne Lair | Registered representative | Jul 2019 (7y) | ||
| Brian James Gernant | Registered representative | Jul 2019 (7y) | ||
| Jeffrey William Myers | Registered representative | Jul 2019 (7y) | ||
| John Carter Gillis | Registered representative | Jul 2019 (7y) | ||
| Mike R Donaldson | Registered representative | Jul 2019 (7y) | ||
| Robert James Mckee | Registered representative | Jul 2019 (7y) | ||
| Tyler Lowell Mitchell | Registered representative | Jul 2019 (7y) | ||
| Brian Glen Kasteler | Registered representative | Jul 2019 (7y) | ||
| Crystal M. Lance | Registered representative | Jul 2019 (7y) | ||
| Michael Howard Towle | Registered representative | Jul 2019 (7y) | ||
| Steven Joel Fox | Registered representative | Jul 2019 (7y) | ||
| William George Vlahos | Registered representative | Jul 2019 (7y) | ||
| Brooks Andrew Hastings | Registered representative | Aug 2019 (7y) | ||
| Heikki Olavi Rouvinen | Registered representative | Aug 2019 (7y) | ||
| Joseph Lionel Taylor | Registered representative | Aug 2019 (7y) | ||
| Michael Joseph Johnson | Registered representative | Aug 2019 (7y) | ||
| Nathan Jensen Woodward | Registered representative | Aug 2019 (7y) | ||
| Scott Allen | Registered representative | Aug 2019 (7y) | ||
| Scott Michael Frayler | Registered representative | Aug 2019 (7y) | ||
| Jeffrey Allan Rodgers | Registered representative | Aug 2019 (7y) | ||
| Jason Reynolds Hatley | Registered representative | Aug 2019 (7y) | ||
| David Alan Ivey | Registered representative | Chartered Financial Consultant | Aug 2019 (7y) | |
| David J Blount | Registered representative | CFP | Aug 2019 (7y) | |
| David Victor Rashid | Registered representative | Aug 2019 (7y) | ||
| Derek Robert Dimanno | Registered representative | CFP | Aug 2019 (7y) | |
| Felix Paul Mcelroy | Registered representative | Aug 2019 (7y) | ||
| Gerald Linen | Registered representative | Aug 2019 (7y) | ||
| James Grant Farmer | Registered representative | Aug 2019 (7y) | ||
| Micah Alton Willis | Registered representative | Aug 2019 (7y) | ||
| Todd Gregory Pam | Registered representative | Aug 2019 (7y) | ||
| Kalin Virginia Rooney | Registered representative | Aug 2019 (7y) | ||
| Robert Neal Cohen | Registered representative | Chartered Financial Consultant | Aug 2019 (7y) | |
| Heather M Cripps | Registered representative | Aug 2019 (7y) | ||
| Mark David Hunter | Registered representative | Aug 2019 (7y) | ||
| David Joseph Conley | Registered representative | Aug 2019 (7y) | ||
| Michael Beric Christiansen | Registered representative | Aug 2019 (7y) | ||
| Philip Albert Sgariglia | Registered representative | Aug 2019 (7y) | ||
| Stuart Adam Cohen | Registered representative | Aug 2019 (7y) | ||
| Brian Dyndur | Registered representative | Aug 2019 (7y) | ||
| John Michael Machak | Registered representative | Aug 2019 (7y) | ||
| Kimberly S Weithman | Registered representative | Aug 2019 (7y) | ||
| Lauren H Mcdonald | Registered representative | Aug 2019 (7y) | ||
| Aaron D Burga | Registered representative | Aug 2019 (7y) | ||
| Andrew S Holte | Registered representative | Aug 2019 (7y) | ||
| Brian Edward Schlotter | Registered representative | Aug 2019 (7y) | ||
| Cory Edmond Marlow | Registered representative | Aug 2019 (7y) | ||
| Matthew Westin Gentry | Registered representative | Aug 2019 (7y) | ||
| Melvin Jacobson | Registered representative | Aug 2019 (7y) | ||
| Michael Allen Travis | Registered representative | CFP | Aug 2019 (7y) | |
| Michael Louis Bauman | Registered representative | Aug 2019 (7y) | ||
| Teresa Margaret White | Registered representative | Aug 2019 (7y) | ||
| Karen Marie Savage | Registered representative | CFP | Aug 2019 (7y) | |
| Marcin Urbanowicz | Registered representative | CFP | Aug 2019 (7y) | |
| Steven Patrick Gimeli | Registered representative | Aug 2019 (7y) | ||
| Gabriella Alana Richard | Registered representative | Aug 2019 (7y) | ||
| Kevin A. Patterson | Registered representative | Aug 2019 (7y) | ||
| Timothy James Harlow | Registered representative | Aug 2019 (7y) | ||
| Adam M Levy | Registered representative | Aug 2019 (7y) | ||
| Bradley James Dijulio | Registered representative | Aug 2019 (7y) | ||
| Bradley W Ohmes | Registered representative | Aug 2019 (7y) | ||
| Gary David Sudol | Registered representative | Aug 2019 (7y) | ||
| Jeffrey Robert Lavin | Registered representative | Aug 2019 (7y) | ||
| Mark James Sudol | Registered representative | CFP | Aug 2019 (7y) | |
| Steven Mark Dalton | Registered representative | Aug 2019 (7y) | ||
| Barbara Wilbur Sullins | Registered representative | Aug 2019 (7y) | ||
| Dara A Rocchi | Registered representative | Aug 2019 (7y) | ||
| Fadi Mansour | Registered representative | CFP | Aug 2019 (7y) | |
| Scott Wesley Mckay | Registered representative | CFP | Aug 2019 (7y) | |
| Derek Roy Hartmann | Registered representative | Aug 2019 (7y) | ||
| Jeffrey Gordon Pasternak | Registered representative | Aug 2019 (7y) | ||
| Charles Mitchell Allen | Registered representative | Aug 2019 (7y) | ||
| Patrick Allen Haney | Registered representative | Chartered Financial Consultant | Aug 2019 (7y) | |
| Philip Francis Arnheiter | Registered representative | Aug 2019 (7y) | ||
| Patrick Stephen Coor | Registered representative | Aug 2019 (7y) | ||
| Cynthia Strong Thompson | Registered representative | Aug 2019 (7y) | ||
| Laura A Rutkiewicz | Registered representative | Aug 2019 (7y) | ||
| Anthony Edward Slezak | Registered representative | Aug 2019 (7y) | ||
| Jessica Marie Geary | Registered representative | Aug 2019 (7y) | ||
| Kimberly A Parker Hansen | Registered representative | Aug 2019 (7y) | ||
| Paul Scott Groeber | Registered representative | Aug 2019 (7y) | ||
| William Jason Urbanik | Registered representative | Aug 2019 (7y) | ||
| Bryan Roger Lawrence | Registered representative | Aug 2019 (7y) | ||
| Michael D Munn | Registered representative | CFP | Aug 2019 (7y) | |
| Patrick Henry Janssen | Registered representative | Aug 2019 (7y) | ||
| Patrick Vaughn | Registered representative | Aug 2019 (7y) | ||
| Victor Alexander Koby | Registered representative | Aug 2019 (7y) | ||
| William Robert Wiggins | Registered representative | Sep 2019 (7y) | ||
| Joshua Kane Lambert | Registered representative | Sep 2019 (7y) | ||
| Mollie Hannah Eldridge | Registered representative | Sep 2019 (7y) | ||
| John Paul Mollica | Registered representative | Sep 2019 (7y) | ||
| Kay Chere Smith | Registered representative | Sep 2019 (7y) | ||
| Keith Lovell Cash | Registered representative | Sep 2019 (7y) | ||
| Christopher Todd Wilhoit | Registered representative | Sep 2019 (7y) | ||
| Donald Keith Hoehler | Registered representative | Sep 2019 (7y) | ||
| Haruka Takahashi Shoji | Registered representative | Sep 2019 (7y) | ||
| Jason John Bogaczyk | Registered representative | Sep 2019 (7y) | ||
| Jeremy Christopher Meyer | Registered representative | Sep 2019 (7y) | ||
| Patrick Lee Barnett | Registered representative | CFP | Sep 2019 (7y) | |
| Terry Lee Hoover | Registered representative | Sep 2019 (7y) | ||
| Glen Adair Tyler | Registered representative | Sep 2019 (7y) | ||
| Robert Scott Zaidman | Registered representative | Sep 2019 (7y) | ||
| Patrick F Russo | Registered representative | Sep 2019 (7y) | ||
| Robert J Shannon | Registered representative | Sep 2019 (7y) | ||
| Shawn R. White | Registered representative | Sep 2019 (7y) | ||
| Donald Morrell Hartley | Registered representative | Sep 2019 (7y) | ||
| Ofir Maman | Registered representative | Sep 2019 (7y) | ||
| William Elijah Heath | Registered representative | CFP Chartered Financial Consultant | Sep 2019 (7y) | |
| William Elsberry Lloyd | Registered representative | Sep 2019 (7y) | ||
| Paul John Raymond | Registered representative | Chartered Financial Consultant | Sep 2019 (7y) | |
| Stephen Anthony Carella | Registered representative | Sep 2019 (7y) | ||
| Craig Alexander Mcdonald | Registered representative | Sep 2019 (7y) | ||
| Matthew Price Estes | Registered representative | Sep 2019 (7y) | ||
| Nicolas Robert Delyon | Registered representative | Sep 2019 (7y) | ||
| Christopher J Mallon | Registered representative | Sep 2019 (7y) | ||
| Joseph Carlton Morse | Registered representative | CFP | Sep 2019 (7y) | |
| Kelle Barlow Huffman | Registered representative | Sep 2019 (7y) | ||
| Leslie Dyke Stewart | Registered representative | Sep 2019 (7y) | ||
| Michele Carol Davis | Registered representative | Sep 2019 (7y) | ||
| Paul Robert Davis | Registered representative | Sep 2019 (7y) | ||
| Robert Beatty Fincher | Registered representative | Sep 2019 (7y) | ||
| Samuel Ryan Edwards | Registered representative | Sep 2019 (7y) | ||
| Samuth Siden Ean | Registered representative | Sep 2019 (7y) | ||
| Timothy Chris Burkhart | Registered representative | Sep 2019 (7y) | ||
| Yekaterina S Ferraro | Registered representative | Sep 2019 (7y) | ||
| Colin Joel Wymer | Registered representative | Sep 2019 (7y) | ||
| John Stewart Fletcher | Registered representative | Sep 2019 (7y) | ||
| Matthew Glynn Oxenreiter | Registered representative | Chartered Financial Consultant | Sep 2019 (7y) | |
| Tyler Coe | Registered representative | Sep 2019 (7y) | ||
| Amanda Erin Campbell | Registered representative | Sep 2019 (7y) | ||
| Brad Jensen Meador | Registered representative | Sep 2019 (7y) | ||
| David Jerome Jackson | Registered representative | CFP | Sep 2019 (7y) | |
| Elliott Hill Jennings | Registered representative | CFP | Sep 2019 (7y) | |
| Jeffrey Allan Morris | Registered representative | Sep 2019 (7y) | ||
| Kathryn Bernatchez | Registered representative | Sep 2019 (7y) | ||
| Michael Kevin Kennedy | Registered representative | Sep 2019 (7y) | ||
| Nicholas Anthony Parise | Registered representative | Sep 2019 (7y) | ||
| William Dennis Filer | Registered representative | Sep 2019 (7y) | ||
| Christopher Ambros Ward | Registered representative | Sep 2019 (7y) | ||
| Christopher O'brien Bott | Registered representative | Sep 2019 (7y) | ||
| Christopher Thomas Varga | Registered representative | Sep 2019 (7y) | ||
| Nicholas John Schmitz | Registered representative | Sep 2019 (7y) | ||
| Thomas James Varga | Registered representative | Chartered Financial Consultant | Sep 2019 (7y) | |
| Azad Rad | Registered representative | Sep 2019 (7y) | ||
| Fred David Abajelo | Registered representative | Sep 2019 (7y) | ||
| James Harold Veneziano | Registered representative | Sep 2019 (7y) | ||
| Trevor Moore Johnson | Registered representative | Sep 2019 (7y) | ||
| Christopher Derek Sweeney | Registered representative | Sep 2019 (7y) | ||
| Brian Morgan Talbert | Registered representative | Sep 2019 (7y) | ||
| Deborah Ruth Krumwiede | Registered representative | Sep 2019 (7y) | ||
| Kevin Patrick Wall | Registered representative | Sep 2019 (7y) | ||
| Nora Jupei Yeh Shen | Registered representative | Sep 2019 (7y) | ||
| Aaron Lee Landis | Registered representative | Oct 2019 (7y) | ||
| Adam T Hill | Registered representative | CFP | Oct 2019 (7y) | |
| April Dawn Nugent | Registered representative | Oct 2019 (7y) | ||
| Bart Barron Schmolke | Registered representative | Oct 2019 (7y) | ||
| Blake Edward Whitten | Registered representative | Oct 2019 (7y) | ||
| Brian Barron Schmolke | Registered representative | Oct 2019 (7y) | ||
| Brooks Taylor Harris | Registered representative | Oct 2019 (7y) | ||
| Christopher F Soprano | Registered representative | Oct 2019 (7y) | ||
| Deborah Jean Renshaw | Registered representative | Oct 2019 (7y) | ||
| Gregory Burton Oquin | Registered representative | Oct 2019 (7y) | ||
| John Byard Keener Iii | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| John Philip Heintjes | Registered representative | Oct 2019 (7y) | ||
| Joseph Anthony Catanzaro | Registered representative | CFP | Oct 2019 (7y) | |
| Jesse John Bowman | Registered representative | Oct 2019 (7y) | ||
| Kathryn S Maxwell Ufferman | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| Marcus Quitman Elliott | Registered representative | Oct 2019 (7y) | ||
| Michael Lee Young | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| Michael S Mccracken | Registered representative | Oct 2019 (7y) | ||
| Patrick Ewing O'quin | Registered representative | Oct 2019 (7y) | ||
| Philip Gregory O'quin | Registered representative | Oct 2019 (7y) | ||
| Richard Anthony Painter | Registered representative | Oct 2019 (7y) | ||
| Robert John Barnes | Registered representative | Oct 2019 (7y) | ||
| Terrence Daniel Wittman | Registered representative | Oct 2019 (7y) | ||
| Thomas Grayson Easterling | Registered representative | Oct 2019 (7y) | ||
| William Russell Doup | Registered representative | Oct 2019 (7y) | ||
| Alexander Wren Reuben | Registered representative | Oct 2019 (7y) | ||
| Blanca E Blanco | Registered representative | Oct 2019 (7y) | ||
| Douglas Michael Steve | Registered representative | Oct 2019 (7y) | ||
| James A Halsch | Registered representative | Oct 2019 (7y) | ||
| James Daniel Vavas | Registered representative | Oct 2019 (7y) | ||
| Daniel Lee Jones | Registered representative | Oct 2019 (7y) | ||
| James Francis Curley | Registered representative | Oct 2019 (7y) | ||
| John Paul Tosi | Registered representative | Oct 2019 (7y) | ||
| Jeffery Gardner | Registered representative | CFP | Oct 2019 (7y) | |
| Richard Oliver Johnson | Registered representative | Oct 2019 (7y) | ||
| Anu Disanayaka | Registered representative | Oct 2019 (7y) | ||
| Bridy Condon Oreshack | Registered representative | Oct 2019 (7y) | ||
| Glenn Cohen | Registered representative | Oct 2019 (7y) | ||
| Mary Renee Holcomb | Registered representative | Oct 2019 (7y) | ||
| Nicole Ann Gilbert | Registered representative | Oct 2019 (7y) | ||
| Ted Andrew Matuszak | Registered representative | Oct 2019 (7y) | ||
| Brenda Marie Henning | Registered representative | Oct 2019 (7y) | ||
| James Edward Curran | Registered representative | Oct 2019 (7y) | ||
| Paul Andrew Coroneos | Registered representative | Oct 2019 (7y) | ||
| Joseph James Cina | Registered representative | Oct 2019 (7y) | ||
| Justin Ryan Rizzo | Registered representative | Oct 2019 (7y) | ||
| Matthew S Brown | Registered representative | Oct 2019 (7y) | ||
| Matthew Tyler Beck | Registered representative | Oct 2019 (7y) | ||
| Michael David Palma | Registered representative | Oct 2019 (7y) | ||
| Scott Martin Tonkovich | Registered representative | Oct 2019 (7y) | ||
| Gary Mark Barnes | Registered representative | Oct 2019 (7y) | ||
| Laree Kennedy | Registered representative | Oct 2019 (7y) | ||
| Mayra A Guigou | Registered representative | Oct 2019 (7y) | ||
| John Cavanaugh | Registered representative | CFP | Oct 2019 (7y) | |
| Julie Joe Logsden Mellor | Registered representative | Oct 2019 (7y) | ||
| Michael Duane Lafleche | Registered representative | Oct 2019 (7y) | ||
| Michelle Lynne Minisci | Registered representative | CFP | Oct 2019 (7y) | |
| Nicholas Wilken Clark | Registered representative | Oct 2019 (7y) | ||
| Stephen Chapman Winslow | Registered representative | Oct 2019 (7y) | ||
| Stephen Christopher Martin | Registered representative | Oct 2019 (7y) | ||
| William Carl Westcott | Registered representative | Oct 2019 (7y) | ||
| David Lyle Mathias | Registered representative | CFP | Oct 2019 (7y) | |
| Bahram Khafajizadeh | Registered representative | Oct 2019 (7y) | ||
| John Howell Swift | Registered representative | Oct 2019 (7y) | ||
| Randall Hugh Richard | Registered representative | Oct 2019 (7y) | ||
| Thomas A Trost | Registered representative | CFP | Oct 2019 (7y) | |
| Frederick Scott Lowe | Registered representative | Oct 2019 (7y) | ||
| Gregory Thomas Hadel | Registered representative | Oct 2019 (7y) | ||
| John Michael Nuzzi | Registered representative | Oct 2019 (7y) | ||
| Natalie A Jump | Registered representative | Oct 2019 (7y) | ||
| Perry Gray Hudspeth | Registered representative | Oct 2019 (7y) | ||
| Sean Patrick Aikmus | Registered representative | CFP | Oct 2019 (7y) | |
| Steven Jacob Rubin | Registered representative | CFP | Oct 2019 (7y) | |
| William Edward Hege | Registered representative | CFP | Oct 2019 (7y) | |
| David Paul Kanne | Registered representative | Oct 2019 (7y) | ||
| Bradley Dees Mayo | Registered representative | Oct 2019 (7y) | ||
| John Eftin Andraos | Registered representative | Oct 2019 (7y) | ||
| Richard Charles Oaster | Registered representative | CFP | Oct 2019 (7y) | |
| Steven Mark Goldsmith | Registered representative | CFP Chartered Financial Consultant | Oct 2019 (7y) | |
| Cassandra Dale Depena | Registered representative | Oct 2019 (7y) | ||
| Christopher Peter Larkin | Registered representative | Oct 2019 (7y) | ||
| Glenn Ray Richardson | Registered representative | Oct 2019 (7y) | ||
| John Lawrence Kramer | Registered representative | Oct 2019 (7y) | ||
| Christopher F Ginther | Registered representative | Oct 2019 (7y) | ||
| Danny Lynn Woodall | Registered representative | Oct 2019 (7y) | ||
| James Kent Knause | Registered representative | Oct 2019 (7y) | ||
| Kevin W Davis | Registered representative | CFP | Oct 2019 (7y) | |
| Richard Robert Knause | Registered representative | Oct 2019 (7y) | ||
| Vladimir Nicolay Boulatnikov | Registered representative | Oct 2019 (7y) | ||
| Ashleigh Marie Mc Farlin | Registered representative | CFP | Oct 2019 (7y) | |
| Catherine Mary Arnet Valega | Registered representative | Oct 2019 (7y) | ||
| Tina Marie Nofzinger | Registered representative | Oct 2019 (7y) | ||
| Craig Alan Loney | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| Douglas Turner Farr | Registered representative | Oct 2019 (7y) | ||
| Howard Tayloe Styron | Registered representative | Oct 2019 (7y) | ||
| Kelly Duane Wisdom | Registered representative | Oct 2019 (7y) | ||
| Michael Charles Cummings | Registered representative | Oct 2019 (7y) | ||
| Robert Scott Lockard | Registered representative | Oct 2019 (7y) | ||
| Sharon Rena' Ireland | Registered representative | Oct 2019 (7y) | ||
| Gavin Thomas Stringer | Registered representative | Nov 2019 (7y) | ||
| James Karl Duke | Registered representative | Nov 2019 (7y) | ||
| John Rodney Engh | Registered representative | CFP | Nov 2019 (7y) | |
| Robert Patrick Hoynes | Registered representative | Chartered Financial Consultant | Nov 2019 (7y) | |
| Stephen Robert Judge | Registered representative | Chartered Financial Consultant | Nov 2019 (7y) | |
| Justin Scott Campbell | Registered representative | Nov 2019 (7y) | ||
| Zachary D Silk | Registered representative | Nov 2019 (7y) | ||
| Barry Alan Krumwiede | Registered representative | Nov 2019 (7y) | ||
| Derek Hofeling | Registered representative | Nov 2019 (7y) | ||
| Jacinda Rae Webber | Registered representative | Nov 2019 (7y) | ||
| Thomas Andrew Curtin | Registered representative | CFP | Nov 2019 (7y) | |
| Daniel Michael Waddick | Registered representative | Nov 2019 (7y) | ||
| Peter Carroll Thompson | Registered representative | Chartered Financial Consultant | Nov 2019 (7y) | |
| Robert Foster Kransberger | Registered representative | Nov 2019 (7y) | ||
| Andrew James Powers | Registered representative | CFP | Nov 2019 (7y) | |
| Keith Richard Jones | Registered representative | CFP | Nov 2019 (7y) | |
| Patrick Joseph Gilmore | Registered representative | CFP | Nov 2019 (7y) | |
| Richard Anthony Behan | Registered representative | Nov 2019 (7y) | ||
| Chase Allen Coffman | Registered representative | Nov 2019 (7y) | ||
| Daniel Joel Lindquist | Registered representative | CFA | Nov 2019 (7y) | |
| Kelly Rae Welker | Registered representative | Nov 2019 (7y) | ||
| Nicholas Joseph Arena | Registered representative | CFP | Nov 2019 (7y) | |
| Yun Lieh Chuu | Registered representative | Nov 2019 (7y) | ||
| Charles W Foust | Registered representative | Nov 2019 (7y) | ||
| Joseph Michael Mchugh | Registered representative | Nov 2019 (7y) | ||
| Steven John Deboy | Registered representative | Nov 2019 (7y) | ||
| Thomas Quinn Ellis | Registered representative | Nov 2019 (7y) | ||
| Aaron Gregory Cook | Registered representative | Nov 2019 (7y) | ||
| Angelo Chris Theodorou | Registered representative | Nov 2019 (7y) | ||
| Blake Hayden Henry | Registered representative | Nov 2019 (7y) | ||
| Eric Todd Murr | Registered representative | Nov 2019 (7y) | ||
| Jeffrey Norwood Hall | Registered representative | Nov 2019 (7y) | ||
| Kozue M Wang | Registered representative | Nov 2019 (7y) | ||
| Scott Reynolds Nickerson | Registered representative | Nov 2019 (7y) | ||
| Bradford Elias Johnathan Spangler | Registered representative | Nov 2019 (7y) | ||
| Joseph Thomas Murphy | Registered representative | CFP | Nov 2019 (7y) | |
| Paul Joseph Haire | Registered representative | Nov 2019 (7y) | ||
| Edwin Keith Richardson | Registered representative | Nov 2019 (7y) | ||
| Harry Robert Bayard | Registered representative | Nov 2019 (7y) | ||
| James Franklin Adair | Registered representative | Nov 2019 (7y) | ||
| Patrick C Gibbons | Registered representative | Nov 2019 (7y) | ||
| David Mattos | Registered representative | Nov 2019 (7y) | ||
| Michael Dean Gourley | Registered representative | Nov 2019 (7y) | ||
| Pedro Antonio Valadez | Registered representative | Nov 2019 (7y) | ||
| Aaron C Tuttle | Registered representative | CFP CFA | Nov 2019 (7y) | |
| Brian Christopher Mcgeehon | Registered representative | CFA | Nov 2019 (7y) | |
| David Edward Waite | Registered representative | Nov 2019 (7y) | ||
| John Gaspar Gatewood | Registered representative | CFP | Nov 2019 (7y) | |
| Nina Marie Breen | Registered representative | CFP | Nov 2019 (7y) | |
| Christina Nicole Shockley | Registered representative | CFP | Nov 2019 (7y) | |
| Michael Patrick Costelloe | Registered representative | CFP | Nov 2019 (7y) | |
| Charles Robert Cooper | Registered representative | CFA | Nov 2019 (7y) | |
| Cheryl Ann Brown | Registered representative | Nov 2019 (7y) | ||
| Christina Nicole Jacobs Hughes | Registered representative | CFP | Nov 2019 (7y) | |
| Clifford Raymond Rayburn | Registered representative | Chartered Financial Consultant | Nov 2019 (7y) | |
| Donna Marie Stevenson | Registered representative | Nov 2019 (7y) | ||
| Hershel Coleman Proffitt | Registered representative | Nov 2019 (7y) | ||
| James Clifford Danner | Registered representative | Nov 2019 (7y) | ||
| James Franklin Calvert | Registered representative | Nov 2019 (7y) | ||
| Jason Ronald Loiselle | Registered representative | Nov 2019 (7y) | ||
| Jonathan Michael Larocca | Registered representative | Nov 2019 (7y) | ||
| Ryan Jaire Louie | Registered representative | CFP | Nov 2019 (7y) | |
| Steven Curtis Oxley | Registered representative | Nov 2019 (7y) | ||
| Steven Herweyer | Registered representative | Chartered Financial Consultant | Nov 2019 (7y) | |
| Stephanie L Lovria | Registered representative | Nov 2019 (7y) | ||
| Michael Christopher Davell | Registered representative | Nov 2019 (7y) | ||
| Charles West Gardner | Registered representative | CFP | Dec 2019 (7y) | |
| Christopher J Haring | Registered representative | Dec 2019 (7y) | ||
| Danielle Marie Gates | Registered representative | CFP | Dec 2019 (7y) | |
| Dennis Casimier Roginski | Registered representative | Dec 2019 (7y) | ||
| Jon Ashley Strine | Registered representative | Dec 2019 (7y) | ||
| Kyle Charles Gardner | Registered representative | CFP | Dec 2019 (7y) | |
| Rabih Adnan Harmoush | Registered representative | Dec 2019 (7y) | ||
| Christopher James Green | Registered representative | Dec 2019 (7y) | ||
| Daniel Allen Ciolek | Registered representative | Dec 2019 (7y) | ||
| Catherine Mary Mc Dougall | Registered representative | CFP | Dec 2019 (7y) | |
| Daniel Xavier Namey | Registered representative | Dec 2019 (7y) | ||
| Kevin Brooks Kugley | Registered representative | Dec 2019 (7y) | ||
| Kevin Michael Pierce | Registered representative | CFP | Dec 2019 (7y) | |
| Kara Nicole Case | Registered representative | CFP | Dec 2019 (7y) | |
| Lois Ann Bratkovich | Registered representative | CFP | Dec 2019 (7y) | |
| Scott David Torosian | Registered representative | CFP | Dec 2019 (7y) | |
| Timothy Gerard Herbert | Registered representative | Dec 2019 (7y) | ||
| Alexandra Marie Armstrong | Registered representative | Dec 2019 (7y) | ||
| Curtis J Patterson | Registered representative | Dec 2019 (7y) | ||
| David Alan Cormier | Registered representative | Dec 2019 (7y) | ||
| David James Peckham | Registered representative | CFP | Dec 2019 (7y) | |
| David M Rice | Registered representative | Dec 2019 (7y) | ||
| Loretta Michelle Miller | Registered representative | Dec 2019 (7y) | ||
| Mark Henry Orvin | Registered representative | CFP | Dec 2019 (7y) | |
| Stacey Ann Williams | Registered representative | Dec 2019 (7y) | ||
| Anthony Joseph Palmiscno | Registered representative | Chartered Financial Consultant | Dec 2019 (7y) | |
| David Anthony Deleon | Registered representative | Dec 2019 (7y) | ||
| Steven Everette Stroud | Registered representative | Dec 2019 (7y) | ||
| Tyler Joseph Palmiscno | Registered representative | Dec 2019 (7y) | ||
| Andrew Todd Gilinsky | Registered representative | Dec 2019 (7y) | ||
| Charles Wilensky | Registered representative | CFP | Dec 2019 (7y) | |
| Earl Arthur Clairmont | Registered representative | CFP | Dec 2019 (7y) | |
| Frank Joseph Imperial | Registered representative | CFP | Dec 2019 (7y) | |
| Michael Jon Nagelvoort | Registered representative | Dec 2019 (7y) | ||
| Richard C Capasso | Registered representative | CFP | Dec 2019 (7y) | |
| Theresa Anne Pohlman | Registered representative | Dec 2019 (7y) | ||
| Todd Johnathon Masus | Registered representative | CFP | Dec 2019 (7y) | |
| Wesley Tyrone Burns | Registered representative | Dec 2019 (7y) | ||
| Andrew James Tufford | Registered representative | CFP | Dec 2019 (7y) | |
| David James Brady | Registered representative | CFP | Dec 2019 (7y) | |
| Jeffrey Dean Partridge | Registered representative | Dec 2019 (7y) | ||
| Nathen John Schneider | Registered representative | Dec 2019 (7y) | ||
| Richard Michael Clairmont | Registered representative | Dec 2019 (7y) | ||
| Brianna Autumn Saed | Registered representative | Dec 2019 (7y) | ||
| David Robert Klenske | Registered representative | Dec 2019 (7y) | ||
| Julian Paul Bourgeois | Registered representative | Dec 2019 (7y) | ||
| Ann L Mac Naughton | Registered representative | CFP | Dec 2019 (7y) | |
| Daniel James Gikher | Registered representative | Dec 2019 (7y) | ||
| Gary Anthony Blount | Registered representative | Dec 2019 (7y) | ||
| Mark Kingsley Simpson | Registered representative | CFP | Dec 2019 (7y) | |
| Matthew Jason Starnes | Registered representative | Dec 2019 (7y) | ||
| Ronyetta Johnson | Registered representative | Dec 2019 (7y) | ||
| Sara Elizabeth Church | Registered representative | Dec 2019 (7y) | ||
| Anthony Peter Ricci | Registered representative | Dec 2019 (7y) | ||
| Connor Bryce Boyd | Registered representative | CFP | Dec 2019 (7y) | |
| Dean Mamoru Kumagawa | Registered representative | Dec 2019 (7y) | ||
| Irwin Noah Lowi | Registered representative | Chartered Financial Consultant | Dec 2019 (7y) | |
| Lee Daniel Dudinsky | Registered representative | Dec 2019 (7y) | ||
| Marcia Hope Goldberg | Registered representative | Dec 2019 (7y) | ||
| Rocco Addona | Registered representative | Dec 2019 (7y) | ||
| Brent Allen Harpster | Registered representative | CFP | Dec 2019 (7y) | |
| Christopher Karl Brenner | Registered representative | Dec 2019 (7y) | ||
| John Michael Bean | Registered representative | Dec 2019 (7y) | ||
| Jason Edward Campbell | Registered representative | Dec 2019 (7y) | ||
| Kenneth Allen Mason | Registered representative | Dec 2019 (7y) | ||
| Michael James Williams | Registered representative | Dec 2019 (7y) | ||
| Royce Allen Stewart | Registered representative | Dec 2019 (7y) | ||
| Sarah Deskovich | Registered representative | Dec 2019 (7y) | ||
| Terry Edward Rumker | Registered representative | CFP | Dec 2019 (7y) | |
| Patrick Lee Hayman | Registered representative | Dec 2019 (7y) | ||
| Walter Royal Mcdaniel | Registered representative | CFP | Dec 2019 (7y) | |
| Peter Anthony Baldini | Registered representative | Dec 2019 (7y) | ||
| Robert Gerard Hermansen | Registered representative | Dec 2019 (7y) | ||
| Vicki Rene Brackens | Registered representative | Chartered Financial Consultant | Dec 2019 (7y) | |
| Meredith Elizabeth Marchand | Registered representative | Dec 2019 (7y) | ||
| Brittany Alexandria Elgin | Registered representative | Dec 2019 (7y) | ||
| David Elroy Roberson | Registered representative | Dec 2019 (7y) | ||
| Craig Lewis Andres | Registered representative | Dec 2019 (7y) | ||
| Casey Allen Larson | Registered representative | Jan 2020 (7y) | ||
| Christopher Edward Marshall | Registered representative | Jan 2020 (7y) | ||
| David Michael Dalton | Registered representative | Jan 2020 (7y) | ||
| Megan Rose Dalton | Registered representative | Jan 2020 (7y) | ||
| Michael Lee Sisco | Registered representative | Jan 2020 (7y) | ||
| Rebecca Lou Koranek | Registered representative | Jan 2020 (7y) | ||
| Sandra Jane Larson | Registered representative | Jan 2020 (7y) | ||
| Steven Scott Larson | Registered representative | Jan 2020 (7y) | ||
| Alan H Berman | Registered representative | CFP | Jan 2020 (7y) | |
| Adam Barona Machado | Registered representative | Jan 2020 (7y) | ||
| Brent Andrew Mares | Registered representative | CFP | Jan 2020 (7y) | |
| Bruce C Woodbury | Registered representative | Jan 2020 (7y) | ||
| Craig E Lewelling | Registered representative | Jan 2020 (7y) | ||
| Gregory Jan Krpalek | Registered representative | Chartered Financial Consultant | Jan 2020 (7y) | |
| Michele Kathleen Johnson | Registered representative | Jan 2020 (7y) | ||
| Richard Stevens Yoder | Registered representative | Jan 2020 (7y) | ||
| Samuel Dewey Sigler | Registered representative | CFP | Jan 2020 (7y) | |
| David White Rogers | Registered representative | Jan 2020 (7y) | ||
| Michael Garfield Tobash | Registered representative | Jan 2020 (7y) | ||
| Christopher Anthony Rondinelli | Registered representative | CFP | Jan 2020 (7y) | |
| Jeffrey J Knight | Registered representative | Jan 2020 (7y) | ||
| Marc Leonard Cohen | Registered representative | Jan 2020 (7y) | ||
| Brianne Sue Timmerman | Registered representative | Jan 2020 (7y) | ||
| Douglas Wayne Cole | Registered representative | Jan 2020 (7y) | ||
| David Andrew Stroud | Registered representative | Jan 2020 (7y) | ||
| John Patrick Davitt | Registered representative | Jan 2020 (7y) | ||
| John Wesley Conrad Robinson | Registered representative | Jan 2020 (7y) | ||
| Larysa Anatoliyivna Prytula | Registered representative | CFP | Jan 2020 (7y) | |
| Michael Wayne Chinn | Registered representative | Jan 2020 (7y) | ||
| George Ly | Registered representative | Jan 2020 (7y) | ||
| James Michael Freisen | Registered representative | CFP | Jan 2020 (7y) | |
| Jordan Scott Celkupa | Registered representative | CFP | Jan 2020 (7y) | |
| Maria Elena P Villaflor | Registered representative | Jan 2020 (7y) | ||
| Carly Katherine Griffin | Registered representative | CFP | Jan 2020 (7y) | |
| Chelsea Brown Magby | Registered representative | Jan 2020 (7y) | ||
| Constantinos Dean Frank Yianas | Registered representative | Jan 2020 (7y) | ||
| Jason Ray Berry | Registered representative | Jan 2020 (7y) | ||
| Michael Andrew Hastings | Registered representative | Jan 2020 (7y) | ||
| Michael J Lynch | Registered representative | Jan 2020 (7y) | ||
| Ming Hong Chung | Registered representative | Jan 2020 (7y) | ||
| Tarik Eldin | Registered representative | Jan 2020 (7y) | ||
| Aaron Monoogan | Registered representative | Jan 2020 (7y) | ||
| Donald Jerry Paroda | Registered representative | Jan 2020 (7y) | ||
| Eric Kyle Birch | Registered representative | CFP | Jan 2020 (7y) | |
| Jacob Michael Peaty | Registered representative | Jan 2020 (7y) | ||
| Madeleine Cloutier Underwood | Registered representative | Jan 2020 (7y) | ||
| Mark Alan Likes | Registered representative | Jan 2020 (7y) | ||
| Matthew Bryce Gournay | Registered representative | CFP | Jan 2020 (7y) | |
| Patrick Joseph Cloutier | Registered representative | Jan 2020 (7y) | ||
| Peter James Coleman | Registered representative | Jan 2020 (7y) | ||
| Angela Jo Baurley | Registered representative | Jan 2020 (7y) | ||
| Samuel Michael Eric Croucher | Registered representative | CFP | Jan 2020 (7y) | |
| Timothy Carl Vandenboom | Registered representative | Jan 2020 (7y) | ||
| Andrew M Focht | Registered representative | Jan 2020 (7y) | ||
| Daniel Lee Grote | Registered representative | CFP | Jan 2020 (7y) | |
| Diane Marie Edwards | Registered representative | Jan 2020 (7y) | ||
| Kerry Lee Monif | Registered representative | Jan 2020 (7y) | ||
| Kevin Thomas Dunn | Registered representative | Jan 2020 (7y) | ||
| Roy Michael Straub | Registered representative | CFP | Jan 2020 (7y) | |
| Stephen R Dempsey | Registered representative | Jan 2020 (7y) | ||
| Brett James Cipperley | Registered representative | Jan 2020 (7y) | ||
| Bruce Allen Zirpel | Registered representative | CFP | Jan 2020 (7y) | |
| Carl Hicks White | Registered representative | Jan 2020 (7y) | ||
| Christopher Ryan Allred | Registered representative | Jan 2020 (7y) | ||
| Gary M Klobchar | Registered representative | Jan 2020 (7y) | ||
| John Michael Moon | Registered representative | Jan 2020 (7y) | ||
| Taylor Lynn Cleveland | Registered representative | Jan 2020 (7y) | ||
| Ted Bancroft Sego | Registered representative | Jan 2020 (7y) | ||
| Thomas Dale Cook | Registered representative | CFP | Jan 2020 (7y) | |
| Thomas James Mcdonald | Registered representative | Jan 2020 (7y) | ||
| Corry Lynn Johnson | Registered representative | Jan 2020 (7y) | ||
| Cory J Nye | Registered representative | Jan 2020 (7y) | ||
| Helen Waleta Hartman | Registered representative | Jan 2020 (7y) | ||
| Nicole Tarlton Cole | Registered representative | Jan 2020 (7y) | ||
| Megan Kathleen Cunningham | Registered representative | CFP | Jan 2020 (7y) | |
| R. David De La Rosa | Registered representative | Jan 2020 (7y) | ||
| Carrie Lee Altman | Registered representative | Jan 2020 (7y) | ||
| Paul Markiewicz | Registered representative | Jan 2020 (7y) | ||
| April L Martin | Registered representative | Jan 2020 (7y) | ||
| Loel Glen Heupel | Registered representative | Jan 2020 (7y) | ||
| Paul Christopher Chaput | Registered representative | Jan 2020 (7y) | ||
| Jody Kim Hinsey | Registered representative | Jan 2020 (7y) | ||
| Patrick Joseph Thorogood | Registered representative | Jan 2020 (7y) | ||
| Alexander Willhite | Registered representative | Jan 2020 (7y) | ||
| Bradford Kyle Small | Registered representative | Jan 2020 (7y) | ||
| Andrea Gough Beegle | Registered representative | CFP | Jan 2020 (7y) | |
| Jamshid Hoorfar | Registered representative | Jan 2020 (7y) | ||
| Andrew James Wallisch | Registered representative | Jan 2020 (7y) | ||
| James Robert Wallisch | Registered representative | Jan 2020 (7y) | ||
| Billy James Funderburk | Registered representative | CFP | Jan 2020 (7y) | |
| Christopher Michael Mueller | Registered representative | CFP | Jan 2020 (7y) | |
| Chad Joseph Troxclair | Registered representative | Jan 2020 (7y) | ||
| Joel Cameron Magruder | Registered representative | Jan 2020 (7y) | ||
| Shawn Anthony Walton | Registered representative | Jan 2020 (7y) | ||
| Aaron Kenneth Kosch | Registered representative | Feb 2020 (6y) | ||
| David W Hunt | Registered representative | CFP CFA | Feb 2020 (6y) | |
| Deborah Sue Hawksworth | Registered representative | Feb 2020 (6y) | ||
| Joshua Steven Daily | Registered representative | CFP | Feb 2020 (6y) | |
| Michael David Mendoza | Registered representative | Chartered Financial Consultant | Feb 2020 (6y) | |
| Paul Kenneth Rudoy | Registered representative | Personal Financial Specialist | Feb 2020 (6y) | |
| Blake Richard Dandurand | Registered representative | Feb 2020 (6y) | ||
| Eric L Purdy | Registered representative | Feb 2020 (6y) | ||
| Jeremy Thomas Gunderson | Registered representative | Feb 2020 (6y) | ||
| Christopher Jon Davis | Registered representative | Feb 2020 (6y) | ||
| Joshua Claxton Walker | Registered representative | Feb 2020 (6y) | ||
| Manford Wayne Laws | Registered representative | Feb 2020 (6y) | ||
| Edward Paul Gormley | Registered representative | CFP | Feb 2020 (6y) | |
| Brandon Tyler Wann | Registered representative | Feb 2020 (6y) | ||
| John Joseph Noone | Registered representative | Feb 2020 (6y) | ||
| Ryan Richard Miller | Registered representative | Feb 2020 (6y) | ||
| Brett Alan Bayer | Registered representative | Feb 2020 (6y) | ||
| Allison Christine Weiler | Registered representative | Feb 2020 (6y) | ||
| Luke Daniel Van Houten | Registered representative | CFP | Feb 2020 (6y) | |
| Lauren E Miller | Registered representative | Feb 2020 (6y) | ||
| Lauren Huntsman Michelotti | Registered representative | Feb 2020 (6y) | ||
| Randy Curtis Richter | Registered representative | Feb 2020 (6y) | ||
| Stephen Robert Fitzgerald | Registered representative | Feb 2020 (6y) | ||
| Travis Scott Moomey | Registered representative | CFP | Feb 2020 (6y) | |
| Christopher Russo | Registered representative | Feb 2020 (6y) | ||
| Frank L Reid | Registered representative | Feb 2020 (6y) | ||
| Roger Dale Haag | Registered representative | CFP | Feb 2020 (6y) | |
| Anthony Samuel Asterino | Registered representative | Feb 2020 (6y) | ||
| Daryl Charles Debol | Registered representative | Feb 2020 (6y) | ||
| Thomas Richard Fleck | Registered representative | Feb 2020 (6y) | ||
| Brandon Jeffrey Waters | Registered representative | Feb 2020 (6y) | ||
| David Charles Bellsky | Registered representative | Feb 2020 (6y) | ||
| David Lawrence Russell | Registered representative | Feb 2020 (6y) | ||
| Elaine Ardith Parlberg | Registered representative | Feb 2020 (6y) | ||
| James Patrick Flynn | Registered representative | Feb 2020 (6y) | ||
| Nicholas Lee Neisius | Registered representative | Feb 2020 (6y) | ||
| Steven Paul Masker | Registered representative | Feb 2020 (6y) | ||
| Miranda Leigh Schenebeck | Registered representative | Feb 2020 (6y) | ||
| Richard Brian Coloni | Registered representative | Feb 2020 (6y) | ||
| Alex Gregory Gutierrez | Registered representative | Feb 2020 (6y) | ||
| Joseph Aaron Brownback | Registered representative | CFP CFA | Feb 2020 (6y) | |
| Mark David Armstrong | Registered representative | Feb 2020 (6y) | ||
| Aaron Steven Broz | Registered representative | CFP | Feb 2020 (6y) | |
| Anthony Michael Mantellino | Registered representative | Feb 2020 (6y) | ||
| Glenn Kevin Rose | Registered representative | CFP | Feb 2020 (6y) | |
| Levi Nathan Morris | Registered representative | CFP | Feb 2020 (6y) | |
| Robert Craig Findley | Registered representative | CFP | Feb 2020 (6y) | |
| Charles Earl Trauger | Registered representative | Feb 2020 (6y) | ||
| David Fremont Frook | Registered representative | Feb 2020 (6y) | ||
| James Anthony Faranda | Registered representative | Feb 2020 (6y) | ||
| John Steven Damiano | Registered representative | Feb 2020 (6y) | ||
| Keith Ryan Dorson | Registered representative | Feb 2020 (6y) | ||
| Laurie Sue Stuhr | Registered representative | Feb 2020 (6y) | ||
| Norman William Wilkins | Registered representative | Feb 2020 (6y) | ||
| Peter Frederick Bolay | Registered representative | Feb 2020 (6y) | ||
| Tricia Lynn Kubik | Registered representative | Feb 2020 (6y) | ||
| Alan Spraggins | Registered representative | Feb 2020 (6y) | ||
| Michael Power Rainbolt | Registered representative | Feb 2020 (6y) | ||
| Michelle Nicole Bricker | Registered representative | Feb 2020 (6y) | ||
| Christian Michael Mc Murray | Registered representative | Feb 2020 (6y) | ||
| Jude Justin Digidio | Registered representative | CFP | Feb 2020 (6y) | |
| Robert Donald Lamperti | Registered representative | Feb 2020 (6y) | ||
| William Thomas Zimmer | Registered representative | Chartered Financial Consultant | Feb 2020 (6y) | |
| Stracy Darrin Chatham | Registered representative | Feb 2020 (6y) | ||
| Adam Scott Langdon | Registered representative | Mar 2020 (6y) | ||
| Alexander Todd Overbeek | Registered representative | Mar 2020 (6y) | ||
| Benjamin Paul Loberg | Registered representative | Mar 2020 (6y) | ||
| Matthew Ryan Gray | Registered representative | Mar 2020 (6y) | ||
| Paul E Carlson | Registered representative | Mar 2020 (6y) | ||
| Stoney Ray Foster | Registered representative | Mar 2020 (6y) | ||
| Thomas M Anderson | Registered representative | CFP | Mar 2020 (6y) | |
| Christopher Scott Hall | Registered representative | Mar 2020 (6y) | ||
| Irshad Jamal Bannister | Registered representative | Mar 2020 (6y) | ||
| Kim David Frink | Registered representative | Mar 2020 (6y) | ||
| Connor Allen Woods Brisson | Registered representative | Mar 2020 (6y) | ||
| Jeffrey Bennett Cornelius | Registered representative | Mar 2020 (6y) | ||
| Laurie Elizabeth Burling Page | Registered representative | Mar 2020 (6y) | ||
| Anthony Thomas Lodovico | Registered representative | CFP | Mar 2020 (6y) | |
| Rachel Louise Betzwieser | Registered representative | Mar 2020 (6y) | ||
| Tyler Waner | Registered representative | Mar 2020 (6y) | ||
| Wesley Thomas Holcomb | Registered representative | Mar 2020 (6y) | ||
| Ervie Don Houston | Registered representative | Mar 2020 (6y) | ||
| Miryana Trgo | Registered representative | Mar 2020 (6y) | ||
| Bruce Persky | Registered representative | Mar 2020 (6y) | ||
| David William Powers | Registered representative | Mar 2020 (6y) | ||
| Jacob Bryan Ackerman | Registered representative | Mar 2020 (6y) | ||
| Jason Rigoberto Valle | Registered representative | Mar 2020 (6y) | ||
| Kenneth Scott Small | Registered representative | CFP | Mar 2020 (6y) | |
| Ashley Marie Pockrandt | Registered representative | Mar 2020 (6y) | ||
| Jared Brant Koelker | Registered representative | Mar 2020 (6y) | ||
| Kariann C Kelley | Registered representative | Mar 2020 (6y) | ||
| Sean Christopher Gay | Registered representative | Mar 2020 (6y) | ||
| David Charles Steger | Registered representative | CFP CFA | Mar 2020 (6y) | |
| Erin Mae Juley Dahlenburg | Registered representative | Mar 2020 (6y) | ||
| James Brent Gilbert | Registered representative | Mar 2020 (6y) | ||
| Robert Thomas Weil | Registered representative | Mar 2020 (6y) | ||
| Shannon Gerald Bender | Registered representative | Mar 2020 (6y) | ||
| Stephenson Paul Juley | Registered representative | Chartered Financial Consultant | Mar 2020 (6y) | |
| Todd Avrom Chalem | Registered representative | Mar 2020 (6y) | ||
| Carole Elizabeth Bolduc | Registered representative | Mar 2020 (6y) | ||
| Joel Alan Rovner | Registered representative | Chartered Financial Consultant | Mar 2020 (6y) | |
| John Patrick Obrien | Registered representative | Mar 2020 (6y) | ||
| Sean J Naftel | Registered representative | Mar 2020 (6y) | ||
| Scott Robert Belshaw | Registered representative | Mar 2020 (6y) | ||
| Dawn M Koger | Registered representative | Mar 2020 (6y) | ||
| Jay Christian Boger | Registered representative | Mar 2020 (6y) | ||
| Nicholas John Stam | Registered representative | Mar 2020 (6y) | ||
| Steven Robert Herrmann | Registered representative | CFP | Mar 2020 (6y) | |
| Thomas Winfield Steele | Registered representative | Mar 2020 (6y) | ||
| Tyler J Swanson | Registered representative | CFP | Mar 2020 (6y) | |
| Andrew Scott Ketchum | Registered representative | Mar 2020 (6y) | ||
| Carrie Elizabeth Bowman | Registered representative | Mar 2020 (6y) | ||
| John Chapman Childress | Registered representative | Mar 2020 (6y) | ||
| Silva R Padowski | Registered representative | CFP | Mar 2020 (6y) | |
| Thomas Roe Oldt | Registered representative | Mar 2020 (6y) | ||
| Krystian Leonard Cieplucha | Registered representative | CFA | Mar 2020 (6y) | |
| Cole Braden Gillespie | Registered representative | Mar 2020 (6y) | ||
| Louis Joseph D'angelis | Registered representative | Mar 2020 (6y) | ||
| Mark Clifford Richmond | Registered representative | CFP | Mar 2020 (6y) | |
| Vincent Christopher D'angelis | Registered representative | Mar 2020 (6y) | ||
| Amit Shah | Registered representative | Mar 2020 (6y) | ||
| Christopher Frazzetta | Registered representative | Mar 2020 (6y) | ||
| Maria Irene Jarvis | Registered representative | Chartered Financial Consultant | Mar 2020 (6y) | |
| Milton Wade Arnold | Registered representative | CFP | Mar 2020 (6y) | |
| Kelly Jean Aversa | Registered representative | Mar 2020 (6y) | ||
| Monica Ann Callen | Registered representative | Mar 2020 (6y) | ||
| Thomas Edward Shupe | Registered representative | Mar 2020 (6y) | ||
| Bernard August Ventura | Registered representative | Mar 2020 (6y) | ||
| Christopher Michael Kasecamp | Registered representative | Mar 2020 (6y) | ||
| Darren Ray Kushto | Registered representative | Mar 2020 (6y) | ||
| Geoffrey Charles Steger | Registered representative | Chartered Financial Consultant | Mar 2020 (6y) | |
| Jeffery Adam Vandiver | Registered representative | Mar 2020 (6y) | ||
| Scott Thomas Coutts | Registered representative | Mar 2020 (6y) | ||
| Damon Mark Schimming | Registered representative | Mar 2020 (6y) | ||
| James Clinton Nix | Registered representative | Mar 2020 (6y) | ||
| James Sidney Carter | Registered representative | Mar 2020 (6y) | ||
| Jamison Shireman | Registered representative | Mar 2020 (6y) | ||
| Michael Clay Mashburn | Registered representative | Mar 2020 (6y) | ||
| Carla Marie Nitz | Registered representative | CFP | Mar 2020 (6y) | |
| Christopher John Fudacz | Registered representative | CFP | Mar 2020 (6y) | |
| Horacio Daniel Piccininno | Registered representative | Mar 2020 (6y) | ||
| Megan Louise Avery | Registered representative | Mar 2020 (6y) | ||
| William Joseph Blyth | Registered representative | Mar 2020 (6y) | ||
| Douglas Clay Arthur | Registered representative | Mar 2020 (6y) | ||
| Gregory Scott Jackson | Registered representative | Mar 2020 (6y) | ||
| Michael Keith Smith | Registered representative | Mar 2020 (6y) | ||
| Ronald Martin Hyde | Registered representative | Mar 2020 (6y) | ||
| Carol A Oneal | Registered representative | Mar 2020 (6y) | ||
| Chemerin Mame Gregg | Registered representative | CFP | Mar 2020 (6y) | |
| Hubert Estees Tuttle | Registered representative | Mar 2020 (6y) | ||
| Jay Keith Svehla | Registered representative | Chartered Financial Consultant | Apr 2020 (6y) | |
| Justin Michael Carriere | Registered representative | Apr 2020 (6y) | ||
| Katheryn Lee Gordon | Registered representative | Apr 2020 (6y) | ||
| Nathaniel J Hintz | Registered representative | Apr 2020 (6y) | ||
| Anatol Tony Maxwell | Registered representative | Apr 2020 (6y) | ||
| Fredrick L Alexander | Registered representative | CFP | Apr 2020 (6y) | |
| Michael Edward Kostich | Registered representative | Apr 2020 (6y) | ||
| Richard Lee Rimel | Registered representative | Apr 2020 (6y) | ||
| Demetrios John Zarefakis | Registered representative | Apr 2020 (6y) | ||
| Gary Thomas Hess | Registered representative | CFP | Apr 2020 (6y) | |
| Heather Lynne Harms | Registered representative | Apr 2020 (6y) | ||
| Andrew Harpp | Registered representative | Apr 2020 (6y) | ||
| Kenna Muriel Hesseling | Registered representative | Apr 2020 (6y) | ||
| Tracy Alan Troxel | Registered representative | Chartered Financial Consultant | Apr 2020 (6y) | |
| Colin Jacob Johnson | Registered representative | Apr 2020 (6y) | ||
| John Harold Sulyma | Registered representative | Apr 2020 (6y) | ||
| Matthew Robert Crescenzo | Registered representative | Apr 2020 (6y) | ||
| Ricardo Rodriguez | Registered representative | Apr 2020 (6y) | ||
| Robert Alan Apple | Registered representative | Apr 2020 (6y) | ||
| Lisa Page Murphy | Registered representative | Apr 2020 (6y) | ||
| Michael Keith Ashworth | Registered representative | CFP | Apr 2020 (6y) | |
| Nicholas Alton Ostdiek | Registered representative | Apr 2020 (6y) | ||
| Norman Frank Hall | Registered representative | Apr 2020 (6y) | ||
| Clayton James Cheney | Registered representative | Apr 2020 (6y) | ||
| Ricky Calvin Kiel | Registered representative | Apr 2020 (6y) | ||
| Staci Bagwell Bennett | Registered representative | Apr 2020 (6y) | ||
| Angel Manuel Perez | Registered representative | CFP | Apr 2020 (6y) | |
| Deann Yvonne Peter | Registered representative | Apr 2020 (6y) | ||
| Dianna Kristine Laney | Registered representative | CFP Chartered Financial Consultant | Apr 2020 (6y) | |
| Jackie Sue Shupe | Registered representative | Apr 2020 (6y) | ||
| Karla Ross | Registered representative | CFP | Apr 2020 (6y) | |
| Alexis Nicole Brown | Registered representative | Apr 2020 (6y) | ||
| Chris Brian Fletcher | Registered representative | CFP | Apr 2020 (6y) | |
| Craig Steven Brooks | Registered representative | CFP | Apr 2020 (6y) | |
| Jeremy Wenzlow | Registered representative | CFP | Apr 2020 (6y) | |
| Timothy P Schlosser | Registered representative | Apr 2020 (6y) | ||
| Andrew Curtis Stotler | Registered representative | Apr 2020 (6y) | ||
| Neel John Keiser | Registered representative | Apr 2020 (6y) | ||
| Todd William Sivak | Registered representative | Apr 2020 (6y) | ||
| Jp Rizzitelli | Registered representative | Apr 2020 (6y) | ||
| Matthew J Prentice | Registered representative | Apr 2020 (6y) | ||
| Douglas Anthony Paul | Registered representative | Apr 2020 (6y) | ||
| James Francis Aten | Registered representative | Apr 2020 (6y) | ||
| Jessica Marie Shiflet | Registered representative | Apr 2020 (6y) | ||
| Kevin Warren Macwilliams | Registered representative | Apr 2020 (6y) | ||
| Bradford Dewitt Delanoy | Registered representative | Apr 2020 (6y) | ||
| Korey Don Rogers | Registered representative | CFP | Apr 2020 (6y) | |
| Brian Thomas Wall | Registered representative | Apr 2020 (6y) | ||
| Joseph Anthony Nastasi | Registered representative | Apr 2020 (6y) | ||
| Christopher Grant Keefe | Registered representative | Apr 2020 (6y) | ||
| John Aloysius Hodges | Registered representative | Apr 2020 (6y) | ||
| John Joseph Morgan | Registered representative | Apr 2020 (6y) | ||
| Saji Philip | Registered representative | Apr 2020 (6y) | ||
| James Allen Lebzelter | Registered representative | Apr 2020 (6y) | ||
| Steven W Landwersiek | Registered representative | Apr 2020 (6y) | ||
| Aaron James Schmitz | Registered representative | Apr 2020 (6y) | ||
| Brandon Brooks Nicklas | Registered representative | Apr 2020 (6y) | ||
| Chester A Wallace | Registered representative | Apr 2020 (6y) | ||
| Daniel Ewen Oleary | Registered representative | Apr 2020 (6y) | ||
| James Randy Snodgrass | Registered representative | CFP | Apr 2020 (6y) | |
| Jerry Wayne Christian | Registered representative | CFP | Apr 2020 (6y) | |
| John Francis Connealy | Registered representative | CFP | Apr 2020 (6y) | |
| John William Anderson | Registered representative | Apr 2020 (6y) | ||
| Michael Anthony Calabrese | Registered representative | CFP | Apr 2020 (6y) | |
| Trent Jeffries Helton | Registered representative | Apr 2020 (6y) | ||
| Ariel Bactat Oasay | Registered representative | May 2020 (6y) | ||
| Benjamin Fraser Fernandez | Registered representative | May 2020 (6y) | ||
| David Bert Winston | Registered representative | May 2020 (6y) | ||
| Jacob Lezan Winston | Registered representative | CFP | May 2020 (6y) | |
| Teuta Morina | Registered representative | May 2020 (6y) | ||
| Courtney Faith Jones | Registered representative | May 2020 (6y) | ||
| Micah R Schroeder | Registered representative | May 2020 (6y) | ||
| Peter B Lucia | Registered representative | May 2020 (6y) | ||
| Russell Vinson Dawson | Registered representative | May 2020 (6y) | ||
| Gregory Ernest Rufa | Registered representative | May 2020 (6y) | ||
| James Mark Rockwell | Registered representative | May 2020 (6y) | ||
| Patrick James Kelly | Registered representative | May 2020 (6y) | ||
| Anne Mack | Registered representative | May 2020 (6y) | ||
| Craig Edwin Sjonell | Registered representative | May 2020 (6y) | ||
| John William Wirtz | Registered representative | May 2020 (6y) | ||
| Patrick S. Latimer | Registered representative | May 2020 (6y) | ||
| Trevor Sean Graham | Registered representative | May 2020 (6y) | ||
| John William Kennelly | Registered representative | Personal Financial Specialist | May 2020 (6y) | |
| Joseph Thomas Smith | Registered representative | CFP | May 2020 (6y) | |
| Marc Joseph Haverkamp | Registered representative | CFP | May 2020 (6y) | |
| Gregory Samuel Meyer | Registered representative | May 2020 (6y) | ||
| Richard Erwin Meyer | Registered representative | May 2020 (6y) | ||
| Steven R Howard | Registered representative | May 2020 (6y) | ||
| Chun Mei Zhu | Registered representative | CFP | May 2020 (6y) | |
| Elias Gee Randel | Registered representative | May 2020 (6y) | ||
| Todd Lance Dreyer | Registered representative | CFP | May 2020 (6y) | |
| Glenn William Galloway | Registered representative | May 2020 (6y) | ||
| Jane Marie Mathews | Registered representative | May 2020 (6y) | ||
| Jenifer Gilchrist | Registered representative | May 2020 (6y) | ||
| Jeremy Heath Wester | Registered representative | May 2020 (6y) | ||
| John Delaney Foster | Registered representative | May 2020 (6y) | ||
| Richard P Morrow | Registered representative | May 2020 (6y) | ||
| Sandra Lee Walsh | Registered representative | May 2020 (6y) | ||
| Stephen Brookman Guy | Registered representative | CFP | May 2020 (6y) | |
| Vernon Terrell Kalmbach | Registered representative | May 2020 (6y) | ||
| Anthony Lee Van Keuren | Registered representative | May 2020 (6y) | ||
| Besart Morina | Registered representative | May 2020 (6y) | ||
| Brian Michael Lynn | Registered representative | CFP | May 2020 (6y) | |
| David James Metzger | Registered representative | May 2020 (6y) | ||
| James Edward Pacheco | Registered representative | May 2020 (6y) | ||
| John Raymond Fessler | Registered representative | May 2020 (6y) | ||
| Keith Byron Banks | Registered representative | May 2020 (6y) | ||
| Samuel Darden | Registered representative | May 2020 (6y) | ||
| Francis Xavier Astorino | Registered representative | CFP | May 2020 (6y) | |
| Gerald Paul Butrimovitz | Registered representative | CFP | May 2020 (6y) | |
| Graham Chambers Hartley | Registered representative | May 2020 (6y) | ||
| Daniel James Goeddel | Registered representative | May 2020 (6y) | ||
| Benita Creacy | Registered representative | CFP | May 2020 (6y) | |
| Corinne Gail Koehler | Registered representative | CFP | May 2020 (6y) | |
| Dennis Charles Jackson | Registered representative | May 2020 (6y) | ||
| George Henry Smith | Registered representative | CFA | May 2020 (6y) | |
| Joseph John Wenrich | Registered representative | May 2020 (6y) | ||
| Bonnie Zupancic | Registered representative | May 2020 (6y) | ||
| Elliott Adam Hurford | Registered representative | May 2020 (6y) | ||
| Kyle Gregory Anderson | Registered representative | May 2020 (6y) | ||
| Lance Anthony Rao | Registered representative | May 2020 (6y) | ||
| Michael Thomas Meehan | Registered representative | May 2020 (6y) | ||
| Ralph Edward Luchterhand | Registered representative | CFP | May 2020 (6y) | |
| Robert Donald Mc Queen | Registered representative | May 2020 (6y) | ||
| Daniel Evan Burke | Registered representative | May 2020 (6y) | ||
| Duncan George Kelm | Registered representative | May 2020 (6y) | ||
| James Terence Hasson | Registered representative | CFP | May 2020 (6y) | |
| Jason Michael Hoody | Registered representative | CFA | May 2020 (6y) | |
| Judith Ofelia Polak | Registered representative | May 2020 (6y) | ||
| Jack Alex Glessner | Registered representative | May 2020 (6y) | ||
| Lawton R Smith | Registered representative | May 2020 (6y) | ||
| Robert Andrew Cody | Registered representative | May 2020 (6y) | ||
| Philip J Shafer | Registered representative | May 2020 (6y) | ||
| Thomas Lee Henry | Registered representative | May 2020 (6y) | ||
| Terence Barnett | Registered representative | May 2020 (6y) | ||
| Douglas John Almeida | Registered representative | May 2020 (6y) | ||
| Jimmy Jack Pannell | Registered representative | May 2020 (6y) | ||
| Sarah Marshall | Registered representative | May 2020 (6y) | ||
| Wesley James Ursick | Registered representative | May 2020 (6y) | ||
| Lillie Ann Lindsay | Registered representative | May 2020 (6y) | ||
| Michael Carl Gauss | Registered representative | May 2020 (6y) | ||
| Steven Joel Moran | Registered representative | May 2020 (6y) | ||
| David James Dunn | Registered representative | May 2020 (6y) | ||
| Richard Paul Pucci | Registered representative | May 2020 (6y) | ||
| Vincent Charles Montanti | Registered representative | CFP CFA | May 2020 (6y) | |
| Joseph Bedford James | Registered representative | CFP | May 2020 (6y) | |
| Matthew James Berry | Registered representative | May 2020 (6y) | ||
| Scott Bradley Swinchock | Registered representative | May 2020 (6y) | ||
| Alfred Frank Cassinelli | Registered representative | Jun 2020 (6y) | ||
| Blake Michael Dorvillier | Registered representative | Jun 2020 (6y) | ||
| Elizabeth Anna Chirino | Registered representative | Jun 2020 (6y) | ||
| James Joseph Stossel | Registered representative | Jun 2020 (6y) | ||
| Kaitlyn T Mathis | Registered representative | Jun 2020 (6y) | ||
| Patricia Mary Loris | Registered representative | CFP | Jun 2020 (6y) | |
| Tae Shin Kang | Registered representative | Jun 2020 (6y) | ||
| Zachary Dalton Hefner | Registered representative | Jun 2020 (6y) | ||
| Benjamin David Harber | Registered representative | Jun 2020 (6y) | ||
| Michael Steven Gradl | Registered representative | Jun 2020 (6y) | ||
| Randy Lee Dunn | Registered representative | Jun 2020 (6y) | ||
| Ronald Akira Tanaka | Registered representative | CFP | Jun 2020 (6y) | |
| Trammell H Cooper | Registered representative | CFP | Jun 2020 (6y) | |
| Corey Crafton Miller | Registered representative | Jun 2020 (6y) | ||
| Daniel Patrick Dornan | Registered representative | Jun 2020 (6y) | ||
| Glen Edward Bennett | Registered representative | Jun 2020 (6y) | ||
| John Leon Kozar | Registered representative | Jun 2020 (6y) | ||
| Matthew Robert Boehm | Registered representative | Jun 2020 (6y) | ||
| Michael Stephen Krzywdzinski | Registered representative | Jun 2020 (6y) | ||
| Sharif Ahmed | Registered representative | Jun 2020 (6y) | ||
| Stephen Dale Mcfeely | Registered representative | CFA | Jun 2020 (6y) | |
| Thomas Kobylinski | Registered representative | Jun 2020 (6y) | ||
| Elysia Gingue Daigneault | Registered representative | Jun 2020 (6y) | ||
| Jacob David Lavely | Registered representative | Jun 2020 (6y) | ||
| Tyler Stacy Cahoon | Registered representative | Jun 2020 (6y) | ||
| David Bryan Austin | Registered representative | Jun 2020 (6y) | ||
| Lance Arnold Pelky | Registered representative | Jun 2020 (6y) | ||
| Michael Andrew Grodotzke | Registered representative | Jun 2020 (6y) | ||
| Timothy George Fitzgerald | Registered representative | Jun 2020 (6y) | ||
| Jeff Corey Prichard | Registered representative | Jun 2020 (6y) | ||
| Jeffrey Alan Buchbinder | Registered representative | CFA | Jun 2020 (6y) | |
| John Anthony Ruggiero | Registered representative | Jun 2020 (6y) | ||
| John Michael Munka | Registered representative | Jun 2020 (6y) | ||
| Barry Alan Hamilton | Registered representative | Jun 2020 (6y) | ||
| Martin F Shreibak | Registered representative | CFP | Jun 2020 (6y) | |
| Taggert Marshall Kelly | Registered representative | Jun 2020 (6y) | ||
| Tonya N Parker | Registered representative | Jun 2020 (6y) | ||
| Alan Morgan | Registered representative | Jun 2020 (6y) | ||
| Kimberly Jean Debusk | Registered representative | Jun 2020 (6y) | ||
| Mallory Laufer Lester | Registered representative | Jun 2020 (6y) | ||
| Mark Wayne Drewry | Registered representative | Jun 2020 (6y) | ||
| Brian Dale Trowbridge | Registered representative | Personal Financial Specialist | Jun 2020 (6y) | |
| Russell David Murfitt | Registered representative | Jun 2020 (6y) | ||
| Kristopher Arthur Staples | Registered representative | Jun 2020 (6y) | ||
| Nathan F Kohlhoff | Registered representative | Jun 2020 (6y) | ||
| Richard Joel Wilson | Registered representative | CFP | Jun 2020 (6y) | |
| Trevor Adam Johnson | Registered representative | Jun 2020 (6y) | ||
| Walter Fred Munoz | Registered representative | Jun 2020 (6y) | ||
| Timothy William Risher | Registered representative | Jun 2020 (6y) | ||
| Carl Allen Ritchlin | Registered representative | Jun 2020 (6y) | ||
| Craig Lee Soule | Registered representative | CFP | Jun 2020 (6y) | |
| Martin M Hippler | Registered representative | Jun 2020 (6y) | ||
| Patrick Ray Raasch | Registered representative | Jun 2020 (6y) | ||
| Scott Allen Mcdougal | Registered representative | Jun 2020 (6y) | ||
| Timothy Joseph Weyer | Registered representative | CFP | Jun 2020 (6y) | |
| Ali Mozaffar | Registered representative | Jun 2020 (6y) | ||
| Ann Catherine Agozzino | Registered representative | Jun 2020 (6y) | ||
| Amelia Justice Harmon | Registered representative | Jun 2020 (6y) | ||
| Michael Charles Marron | Registered representative | Jun 2020 (6y) | ||
| Richard Ewing Martin | Registered representative | Jun 2020 (6y) | ||
| Andrew Cutter Baldwin | Registered representative | Jun 2020 (6y) | ||
| Scott Charles Baldwin | Registered representative | Jun 2020 (6y) | ||
| Todd Steven Sander | Registered representative | Jun 2020 (6y) | ||
| William Herbert Langdon | Registered representative | Jun 2020 (6y) | ||
| Daniel Michael Reilly | Registered representative | Jun 2020 (6y) | ||
| John Hannah | Registered representative | CFP | Jun 2020 (6y) | |
| Justin Hewlett Skidmore | Registered representative | Jun 2020 (6y) | ||
| Tamara Jo Julien | Registered representative | CFP | Jun 2020 (6y) | |
| Andrew Ricardo Roybal | Registered representative | Jun 2020 (6y) | ||
| Kirsten Carol Roybal | Registered representative | Jun 2020 (6y) | ||
| Rafael Fernandes Molina | Registered representative | CFP | Jun 2020 (6y) | |
| Adam Paul Bishop | Registered representative | CFP | Jun 2020 (6y) | |
| Matthew Walter Meyers | Registered representative | CFP | Jun 2020 (6y) | |
| Matthew Walter Meyers | Registered representative | Jun 2020 (6y) | ||
| Ryan Anthony Weber | Registered representative | CFP | Jun 2020 (6y) | |
| Andrew S. Winters | Registered representative | Jun 2020 (6y) | ||
| Charles M Noparstak | Registered representative | CFP | Jun 2020 (6y) | |
| Charles Thomas Cunliffe | Registered representative | Jun 2020 (6y) | ||
| Earl Carl Robinson | Registered representative | Jun 2020 (6y) | ||
| Gail Virginia Crowley | Registered representative | Jun 2020 (6y) | ||
| Ian Kenneth Clark | Registered representative | Jun 2020 (6y) | ||
| John William Kopenhaver | Registered representative | CFP | Jun 2020 (6y) | |
| Joshua Samuel Noparstak | Registered representative | Jun 2020 (6y) | ||
| Matthew Jon Michael | Registered representative | Jun 2020 (6y) | ||
| Richard Charles Tegge | Registered representative | Jun 2020 (6y) | ||
| Stacy Tedrick | Registered representative | CFP | Jun 2020 (6y) | |
| Steven Lawrence Hyman | Registered representative | Jun 2020 (6y) | ||
| Benjamin Wade Compton | Registered representative | Jul 2020 (6y) | ||
| Kevin J Kehres | Registered representative | CFA | Jul 2020 (6y) | |
| Breanne Nicole Smith | Registered representative | Jul 2020 (6y) | ||
| Jason Michael Grover | Registered representative | Jul 2020 (6y) | ||
| Jerome Samuel Aron | Registered representative | Jul 2020 (6y) | ||
| Kevin Torres | Registered representative | Jul 2020 (6y) | ||
| David Lee Travis | Registered representative | Jul 2020 (6y) | ||
| Jason Dale Willard | Registered representative | Jul 2020 (6y) | ||
| Ronald Thomas Yeaton | Registered representative | Chartered Financial Consultant | Jul 2020 (6y) | |
| Joel Michael Roth | Registered representative | Jul 2020 (6y) | ||
| Richard Joseph Fisher | Registered representative | Jul 2020 (6y) | ||
| Brock James Mumford | Registered representative | Jul 2020 (6y) | ||
| James Herbert Gillingham | Registered representative | Jul 2020 (6y) | ||
| Michael Patrick Mehltretter | Registered representative | Jul 2020 (6y) | ||
| Adam Philip Ghantous | Registered representative | Jul 2020 (6y) | ||
| Michael Hughes | Registered representative | Jul 2020 (6y) | ||
| Paul Arthur Peterson | Registered representative | CFP | Jul 2020 (6y) | |
| Robert Matthew Grella | Registered representative | Jul 2020 (6y) | ||
| William Scott Thompson | Registered representative | Jul 2020 (6y) | ||
| George Anton Howard | Registered representative | Jul 2020 (6y) | ||
| Ina Felder | Registered representative | Jul 2020 (6y) | ||
| Jesse Armand Pigoni | Registered representative | CFP | Jul 2020 (6y) | |
| Anthony Lee Hough | Registered representative | Jul 2020 (6y) | ||
| Thomas Allen Sutton | Registered representative | Jul 2020 (6y) | ||
| Cody Douglas Callaway | Registered representative | Jul 2020 (6y) | ||
| Gregg Frank Himfar | Registered representative | Jul 2020 (6y) | ||
| David Baitel | Registered representative | Jul 2020 (6y) | ||
| Edward Bell | Registered representative | CFP | Jul 2020 (6y) | |
| Laura Lynn Kelley | Registered representative | Jul 2020 (6y) | ||
| Marcello Vincenzo Difrancesco | Registered representative | Jul 2020 (6y) | ||
| Michael Lentz | Registered representative | Jul 2020 (6y) | ||
| Nicholas Scott Geric | Registered representative | Jul 2020 (6y) | ||
| Steve Dean Williams | Registered representative | Jul 2020 (6y) | ||
| Gretchen Mcthenia Collins | Registered representative | Jul 2020 (6y) | ||
| Christopher Lee Bialke | Registered representative | Jul 2020 (6y) | ||
| Edward Gene Leedom | Registered representative | CFP | Jul 2020 (6y) | |
| Jeremy Kemp Bateman | Registered representative | CFP | Jul 2020 (6y) | |
| Terri Ann C Lindo | Registered representative | Jul 2020 (6y) | ||
| Brian A Powell | Registered representative | Jul 2020 (6y) | ||
| David William Mcquade | Registered representative | Jul 2020 (6y) | ||
| Thomas Scott Dudley | Registered representative | Jul 2020 (6y) | ||
| Charles Tamayo Mayorga | Registered representative | Jul 2020 (6y) | ||
| David Alexander Mantell | Registered representative | CFP CFA | Jul 2020 (6y) | |
| Mary Ann Ernette | Registered representative | Jul 2020 (6y) | ||
| Sean Desmond O'connor | Registered representative | Jul 2020 (6y) | ||
| Albert John Delorenzo | Registered representative | CFP | Jul 2020 (6y) | |
| Aaron Lee Black | Registered representative | Jul 2020 (6y) | ||
| Shane Mitchell Robinson | Registered representative | Jul 2020 (6y) | ||
| Amanda Lynn Florea | Registered representative | Jul 2020 (6y) | ||
| Keegan James Tanghe | Registered representative | Jul 2020 (6y) | ||
| Thomas R Bender | Registered representative | CFP | Jul 2020 (6y) | |
| Crista Lee Mckenna | Registered representative | Jul 2020 (6y) | ||
| Robert Siegler | Registered representative | Jul 2020 (6y) | ||
| William Arthur Baxter | Registered representative | Jul 2020 (6y) | ||
| Deanna Lynn Renfro | Registered representative | CFP | Aug 2020 (6y) | |
| Donald David Tomlin | Registered representative | Aug 2020 (6y) | ||
| Gregg Stewart Saunders | Registered representative | Aug 2020 (6y) | ||
| Matthew David Altmeyer | Registered representative | Aug 2020 (6y) | ||
| Robert Thomas Masters | Registered representative | Aug 2020 (6y) | ||
| Bryan James Cenky | Registered representative | Aug 2020 (6y) | ||
| Zachary Michael Elliott | Registered representative | Aug 2020 (6y) | ||
| Clayton Aaron Nall | Registered representative | Aug 2020 (6y) | ||
| Richard Harris Sall | Registered representative | Aug 2020 (6y) | ||
| Trevor Scott Young | Registered representative | Aug 2020 (6y) | ||
| Chadrick Dale Campbell | Registered representative | CFP | Aug 2020 (6y) | |
| David Jens Nielsen | Registered representative | Aug 2020 (6y) | ||
| Erik Schwarz | Registered representative | CFP | Aug 2020 (6y) | |
| Rick Betancourt | Registered representative | Aug 2020 (6y) | ||
| Caitlin Anne Kuhnen | Registered representative | CFP | Aug 2020 (6y) | |
| Jonathan Patrick Tully | Registered representative | Aug 2020 (6y) | ||
| Robert Joseph Menz | Registered representative | Aug 2020 (6y) | ||
| Robert Stephan Ruckman | Registered representative | Aug 2020 (6y) | ||
| Ira Marc Shapiro | Registered representative | Aug 2020 (6y) | ||
| Jonathan Smith | Registered representative | Aug 2020 (6y) | ||
| Michael James Walker | Registered representative | CFP | Aug 2020 (6y) | |
| Allen Bruno Lorenzi | Registered representative | Aug 2020 (6y) | ||
| Cyril Augustine Wyse | Registered representative | CFP | Aug 2020 (6y) | |
| Jeffrey Lawrence Swearingen | Registered representative | Aug 2020 (6y) | ||
| Ilan N Tsapovski | Registered representative | Aug 2020 (6y) | ||
| Lisa R. Cross | Registered representative | Aug 2020 (6y) | ||
| Michael J Reichman | Registered representative | Aug 2020 (6y) | ||
| Richard John Vinar | Registered representative | Aug 2020 (6y) | ||
| Robert Clay Blackwell | Registered representative | Aug 2020 (6y) | ||
| Stephen Jerome Lafollette | Registered representative | Aug 2020 (6y) | ||
| Jan Francis Jumet | Registered representative | Aug 2020 (6y) | ||
| Christopher Michael Manzi | Registered representative | Aug 2020 (6y) | ||
| Edgardo Bruzzone | Registered representative | Aug 2020 (6y) | ||
| Jason Christopher Heise | Registered representative | Aug 2020 (6y) | ||
| Jerald Frank Henderson | Registered representative | Aug 2020 (6y) | ||
| Joseph David Winslow | Registered representative | Aug 2020 (6y) | ||
| Justin Charles Skelton | Registered representative | Aug 2020 (6y) | ||
| Matthew Benjamin Bond | Registered representative | Aug 2020 (6y) | ||
| Neil Kristian Fluken | Registered representative | CFP | Aug 2020 (6y) | |
| Peter Martin Evans | Registered representative | Chartered Financial Consultant | Aug 2020 (6y) | |
| Richard Anthony Diregolo | Registered representative | Aug 2020 (6y) | ||
| Robert Lyle Ostenberg | Registered representative | Aug 2020 (6y) | ||
| Sarah Ann Wallace | Registered representative | Aug 2020 (6y) | ||
| Valerie Cisneros | Registered representative | Aug 2020 (6y) | ||
| Brian James Donley | Registered representative | CFP | Aug 2020 (6y) | |
| Douglas John Richey | Registered representative | CFP | Aug 2020 (6y) | |
| Forrest Eugene Williams | Registered representative | Aug 2020 (6y) | ||
| Kyle Williams | Registered representative | Aug 2020 (6y) | ||
| Louise Dorothy Holtz | Registered representative | Aug 2020 (6y) | ||
| Brent Mason Webber | Registered representative | Aug 2020 (6y) | ||
| Joshua Armoni Williams | Registered representative | Aug 2020 (6y) | ||
| Mark Edward Engle | Registered representative | Aug 2020 (6y) | ||
| Yu Ye | Registered representative | Aug 2020 (6y) | ||
| Christopher Leonard Sarlo | Registered representative | Aug 2020 (6y) | ||
| Daniel Kanwar Singh Dhillon | Registered representative | CFP | Aug 2020 (6y) | |
| Lindsey Marie Cameron | Registered representative | Aug 2020 (6y) | ||
| Mitchell Aaron Tokowitz | Registered representative | Aug 2020 (6y) | ||
| Mark Herbert Schnizer | Registered representative | Aug 2020 (6y) | ||
| Oswaldo Sayon | Registered representative | Aug 2020 (6y) | ||
| Marshall Marraccini | Registered representative | Aug 2020 (6y) | ||
| Matthew Harold Richardson | Registered representative | CFP | Aug 2020 (6y) | |
| Michael L Kuebler | Registered representative | Aug 2020 (6y) | ||
| Brian Lee Drumgoole | Registered representative | Aug 2020 (6y) | ||
| Christopher Louis Mitta | Registered representative | Aug 2020 (6y) | ||
| Janelle O'brien | Registered representative | Aug 2020 (6y) | ||
| Ara Freedman | Registered representative | Sep 2020 (6y) | ||
| Brandon Mitchell Hibdon | Registered representative | CFP | Sep 2020 (6y) | |
| Carlyn Rae Earl | Registered representative | Sep 2020 (6y) | ||
| Catherine Ann Ford | Registered representative | CFP | Sep 2020 (6y) | |
| Charles D Ker | Registered representative | Sep 2020 (6y) | ||
| Christopher Allen Lloyd | Registered representative | CFP Chartered Financial Consultant | Sep 2020 (6y) | |
| Christopher Anthony Panagiotu | Registered representative | CFP | Sep 2020 (6y) | |
| Darren Joseph Poland | Registered representative | Sep 2020 (6y) | ||
| Garret Gleiss Gotaas | Registered representative | Sep 2020 (6y) | ||
| Greta Messarra Woodward | Registered representative | Sep 2020 (6y) | ||
| Hillary Dale Moore | Registered representative | Sep 2020 (6y) | ||
| Janean Evon Stripe | Registered representative | CFP | Sep 2020 (6y) | |
| Jerome Carl Williams | Registered representative | Sep 2020 (6y) | ||
| Jill Ann Lukehart | Registered representative | Sep 2020 (6y) | ||
| John Prokos | Registered representative | Sep 2020 (6y) | ||
| Jonathan Cabigas Ferrer | Registered representative | Sep 2020 (6y) | ||
| Jonathan Paul Savona | Registered representative | Sep 2020 (6y) | ||
| Joseph Paul Lucia | Registered representative | Sep 2020 (6y) | ||
| Lance Taylor Peters | Registered representative | Sep 2020 (6y) | ||
| Preston W Schumacher | Registered representative | CFP Chartered Financial Consultant | Sep 2020 (6y) | |
| Rashard Jermaine Cook | Registered representative | Sep 2020 (6y) | ||
| Raymond Joseph Lucia | Registered representative | Sep 2020 (6y) | ||
| Richard Bruce Plum | Registered representative | CFP | Sep 2020 (6y) | |
| Ronnie Ray Sanchez | Registered representative | Sep 2020 (6y) | ||
| Sondra Forkner | Registered representative | Sep 2020 (6y) | ||
| Steven Robert Rich | Registered representative | Sep 2020 (6y) | ||
| Terrance William Keyes | Registered representative | Chartered Financial Consultant | Sep 2020 (6y) | |
| Timothy John Shea | Registered representative | CFP | Sep 2020 (6y) | |
| Tiy Lynn Oneal | Registered representative | Sep 2020 (6y) | ||
| Tracy Lynn Marlin | Registered representative | Sep 2020 (6y) | ||
| Brad Alan Hendrix | Registered representative | Sep 2020 (6y) | ||
| Brad Alan Hendrix | Registered representative | Sep 2020 (6y) | ||
| Christen Anne Owen | Registered representative | Sep 2020 (6y) | ||
| David Alan Rosengard | Registered representative | Sep 2020 (6y) | ||
| Gary P Motyczka | Registered representative | Sep 2020 (6y) | ||
| Michael Jason Mann | Registered representative | Sep 2020 (6y) | ||
| Peter Scott Rosengard | Registered representative | Sep 2020 (6y) | ||
| Albert Gonzalez | Registered representative | Sep 2020 (6y) | ||
| Bellann Morales Hyten | Registered representative | Sep 2020 (6y) | ||
| Charles Bennett Carlton | Registered representative | CFP | Sep 2020 (6y) | |
| Christopher Brian Mankoff | Registered representative | CFP | Sep 2020 (6y) | |
| Dean Allan Gambrell | Registered representative | Sep 2020 (6y) | ||
| Ira Jay Krulik | Registered representative | CFP | Sep 2020 (6y) | |
| Isabelle Roethe | Registered representative | CFP | Sep 2020 (6y) | |
| Jeffrey Michael Nunes | Registered representative | Sep 2020 (6y) | ||
| Jimmy Tsong(hsin) Lee | Registered representative | Sep 2020 (6y) | ||
| Joseph Anthony Rosio | Registered representative | Sep 2020 (6y) | ||
| Kevin Lynn Deaver | Registered representative | CFP | Sep 2020 (6y) | |
| Teresa Marie Watters | Registered representative | Sep 2020 (6y) | ||
| Vincent Paul Montenegro | Registered representative | CFP | Sep 2020 (6y) | |
| Joseph Harry Baylouny | Registered representative | Sep 2020 (6y) | ||
| Michael Eugene Peterson | Registered representative | Sep 2020 (6y) | ||
| Anthony William Frigoletto | Registered representative | Sep 2020 (6y) | ||
| Cole Philip Chiappialle | Registered representative | Sep 2020 (6y) | ||
| David Caleb Hughes | Registered representative | Sep 2020 (6y) | ||
| Emily Quatman | Registered representative | Sep 2020 (6y) | ||
| Garrett L Halton | Registered representative | CFP | Sep 2020 (6y) | |
| Jayeeta Choudhury | Registered representative | Sep 2020 (6y) | ||
| John P Thompson | Registered representative | Sep 2020 (6y) | ||
| Julie Roosth | Registered representative | Sep 2020 (6y) | ||
| James Duncan Mc Gary | Registered representative | Sep 2020 (6y) | ||
| Spencer Keith Schoch | Registered representative | Sep 2020 (6y) | ||
| Victor Fredrick Newman Ii | Registered representative | Sep 2020 (6y) | ||
| Derek Alan Bergfeld | Registered representative | Sep 2020 (6y) | ||
| Hannah Susanne Sorensen | Registered representative | Sep 2020 (6y) | ||
| Shilo Anne Nicole Chavez | Registered representative | Sep 2020 (6y) | ||
| Scot Samuel Fairchild | Registered representative | CFP | Sep 2020 (6y) | |
| Adam Christopher Halm | Registered representative | CFP | Sep 2020 (6y) | |
| Derek Kenneth Lee | Registered representative | Sep 2020 (6y) | ||
| James Robert Mellendick | Registered representative | Sep 2020 (6y) | ||
| Joseph John Howe | Registered representative | CFP | Sep 2020 (6y) | |
| Lauren H. Peck | Registered representative | CFP | Sep 2020 (6y) | |
| Michael Irving Tan | Registered representative | Sep 2020 (6y) | ||
| Clark James Geranen | Registered representative | Sep 2020 (6y) | ||
| Cameron Matthew St. Martin | Registered representative | Sep 2020 (6y) | ||
| Matthew Scott Bagell | Registered representative | Sep 2020 (6y) | ||
| Patrick Michael Oreilly | Registered representative | CFP | Sep 2020 (6y) | |
| Taunya Kae Villicana | Registered representative | Sep 2020 (6y) | ||
| Tyler Lynn Johnson | Registered representative | Sep 2020 (6y) | ||
| Andrew Ogden Gile | Registered representative | Sep 2020 (6y) | ||
| Michael Gregory Feduccia | Registered representative | CFP | Sep 2020 (6y) | |
| Christopher David Rankin | Registered representative | CFP | Sep 2020 (6y) | |
| Chase Hall | Registered representative | Sep 2020 (6y) | ||
| Marc Decicco | Registered representative | Sep 2020 (6y) | ||
| Richard Dale Gant | Registered representative | Sep 2020 (6y) | ||
| Tad Matthew Wilson | Registered representative | Sep 2020 (6y) | ||
| Thomas A Wyckoff | Registered representative | CFP CFA | Sep 2020 (6y) | |
| David Emil Johnson | Registered representative | Sep 2020 (6y) | ||
| Joseph Paul Preddy | Registered representative | CFP | Sep 2020 (6y) | |
| Leah Marie Backus | Registered representative | Sep 2020 (6y) | ||
| Robert Dante Scafa | Registered representative | Sep 2020 (6y) | ||
| Stephen Sowers | Registered representative | Sep 2020 (6y) | ||
| Steven Elmer Zarr | Registered representative | Sep 2020 (6y) | ||
| Tommy E. Smothers | Registered representative | Sep 2020 (6y) | ||
| Lori Jean Barry | Registered representative | Chartered Financial Consultant | Sep 2020 (6y) | |
| Thomas Herbert Thornton | Registered representative | Sep 2020 (6y) | ||
| Angela R Sodrel | Registered representative | Sep 2020 (6y) | ||
| Kelly I. Batey | Registered representative | Sep 2020 (6y) | ||
| Laurel A Fewer | Registered representative | Sep 2020 (6y) | ||
| Charles Christian Specht | Registered representative | Sep 2020 (6y) | ||
| Dana Brunansky Specht | Registered representative | Sep 2020 (6y) | ||
| Chad Michael Mills | Registered representative | CFP | Sep 2020 (6y) | |
| James Bernard Johnson | Registered representative | Sep 2020 (6y) | ||
| Samuel Edward Hard | Registered representative | Sep 2020 (6y) | ||
| Jeffrey Scott Mumma | Registered representative | Sep 2020 (6y) | ||
| Matthew Scott Saltzgaber | Registered representative | Sep 2020 (6y) | ||
| Ashton James Urda | Registered representative | Sep 2020 (6y) | ||
| Christopher Lee Rask | Registered representative | CFP | Sep 2020 (6y) | |
| Christine Day Reyes | Registered representative | Sep 2020 (6y) | ||
| Jane M Miller | Registered representative | CFP | Sep 2020 (6y) | |
| Luis Chavez | Registered representative | Sep 2020 (6y) | ||
| Mitchell Naceem Rask | Registered representative | Sep 2020 (6y) | ||
| Andrew D Zanowski | Registered representative | Sep 2020 (6y) | ||
| Guillermo Alberto | Registered representative | CFP | Sep 2020 (6y) | |
| Matthew William Rohde | Registered representative | Sep 2020 (6y) | ||
| Ryan William Peters | Registered representative | Sep 2020 (6y) | ||
| Alan Michael Romero | Registered representative | Sep 2020 (6y) | ||
| Douglas Robert Schulte | Registered representative | Sep 2020 (6y) | ||
| James Clarence Wachendorf | Registered representative | CFP | Sep 2020 (6y) | |
| James Weber Wachendorf | Registered representative | Sep 2020 (6y) | ||
| Joni Lynne Reiling | Registered representative | Sep 2020 (6y) | ||
| Leonel Calderon | Registered representative | Sep 2020 (6y) | ||
| Robert Louis Iglehart | Registered representative | Sep 2020 (6y) | ||
| Terry Lee Whitney | Registered representative | Sep 2020 (6y) | ||
| Alexis A Zulueta | Registered representative | Oct 2020 (6y) | ||
| Benjamin Wayne Melton | Registered representative | CFP CFA | Oct 2020 (6y) | |
| Charles Mitchell Richey | Registered representative | Oct 2020 (6y) | ||
| Clayton B Vandenbossche | Registered representative | Oct 2020 (6y) | ||
| David Rupert Wimer | Registered representative | CFA | Oct 2020 (6y) | |
| Hellen Marie Justus | Registered representative | Oct 2020 (6y) | ||
| John William Kennedy | Registered representative | Oct 2020 (6y) | ||
| Joseph Paul Mushel | Registered representative | Oct 2020 (6y) | ||
| Nathan Gregor Richardson | Registered representative | Oct 2020 (6y) | ||
| Patrick Lawrence Crook | Registered representative | Oct 2020 (6y) | ||
| Phylos Emanuel Tobler | Registered representative | Oct 2020 (6y) | ||
| Richard Mason Lawrence | Registered representative | Oct 2020 (6y) | ||
| Robin Pengkoon Tan | Registered representative | CFP | Oct 2020 (6y) | |
| Rocky D Howe | Registered representative | Oct 2020 (6y) | ||
| Evelyn Contreras | Registered representative | Oct 2020 (6y) | ||
| Joseph Barcellona | Registered representative | CFP | Oct 2020 (6y) | |
| Joyce E Brady | Registered representative | Oct 2020 (6y) | ||
| Zachary William Payne | Registered representative | Oct 2020 (6y) | ||
| Kevin Gregory Jinkerson | Registered representative | Oct 2020 (6y) | ||
| Paulette S Behan | Registered representative | Oct 2020 (6y) | ||
| Remington Kaylynn Van Raden | Registered representative | Oct 2020 (6y) | ||
| Stephen Hever | Registered representative | Chartered Financial Consultant | Oct 2020 (6y) | |
| Steven Michael Dillhoff | Registered representative | Oct 2020 (6y) | ||
| William Edward Stewart | Registered representative | Chartered Financial Consultant | Oct 2020 (6y) | |
| Julius Pappas | Registered representative | Oct 2020 (6y) | ||
| Robin Lynn Kagan | Registered representative | Oct 2020 (6y) | ||
| Donovan Jay Ehrman | Registered representative | Oct 2020 (6y) | ||
| Fred J Abbott | Registered representative | CFP | Oct 2020 (6y) | |
| Frederick W. Cotton | Registered representative | Oct 2020 (6y) | ||
| Geoffrey John Hemenway | Registered representative | Oct 2020 (6y) | ||
| Jerry Nicholas Giordano | Registered representative | Oct 2020 (6y) | ||
| Joan Lorraine Hemenway | Registered representative | Oct 2020 (6y) | ||
| John Clarence Woods | Registered representative | Oct 2020 (6y) | ||
| Michael Alan Binz | Registered representative | Oct 2020 (6y) | ||
| Andrew Lee Bensey | Registered representative | Oct 2020 (6y) | ||
| Benjamin Andrew Rosengard | Registered representative | Oct 2020 (6y) | ||
| Jerry Lee Kendall | Registered representative | Oct 2020 (6y) | ||
| Trisha Lynn Mcmahon | Registered representative | Oct 2020 (6y) | ||
| Tyson Lee Hilovsky | Registered representative | Oct 2020 (6y) | ||
| Anthony John Sorrentino | Registered representative | Oct 2020 (6y) | ||
| Caleb Nathaniel Russell | Registered representative | Oct 2020 (6y) | ||
| Craig C Hutton | Registered representative | Oct 2020 (6y) | ||
| Daniel Patrick Walsh | Registered representative | Oct 2020 (6y) | ||
| Jeffrey Adelglass | Registered representative | Oct 2020 (6y) | ||
| Maria Bonino Houserman | Registered representative | Oct 2020 (6y) | ||
| Michael Domenic Antonio | Registered representative | Oct 2020 (6y) | ||
| Randy Alan Malm | Registered representative | Oct 2020 (6y) | ||
| Brock Andrew Brauer | Registered representative | Oct 2020 (6y) | ||
| Corey J Yost | Registered representative | Oct 2020 (6y) | ||
| Joshua Aaron Youngblood | Registered representative | Oct 2020 (6y) | ||
| Marlyse Marie Johnson | Registered representative | Oct 2020 (6y) | ||
| Brent C Wells | Registered representative | CFP | Oct 2020 (6y) | |
| Kerri Ann Patrick | Registered representative | CFP | Oct 2020 (6y) | |
| Bradley Scott Araki | Registered representative | CFP | Oct 2020 (6y) | |
| Derwin Kiyoshi Osada | Registered representative | CFA | Oct 2020 (6y) | |
| Kellie Lynn Raasch | Registered representative | CFP | Oct 2020 (6y) | |
| Peter Masa Tsukazaki | Registered representative | Oct 2020 (6y) | ||
| William Paul Comer | Registered representative | Oct 2020 (6y) | ||
| Claude Damian Nesis | Registered representative | CFP | Oct 2020 (6y) | |
| Derek S Mcnew | Registered representative | Oct 2020 (6y) | ||
| Arielle M Peterson Duranczyk | Registered representative | Oct 2020 (6y) | ||
| Andrew Lee Kroll | Registered representative | Oct 2020 (6y) | ||
| James Augustus Devlin Jr. | Registered representative | Oct 2020 (6y) | ||
| Jared Michael Sosa | Registered representative | Oct 2020 (6y) | ||
| John Joseph Conaway | Registered representative | Oct 2020 (6y) | ||
| Karlie Jean Robbins | Registered representative | Oct 2020 (6y) | ||
| Katie Lynn Keller | Registered representative | Oct 2020 (6y) | ||
| Leif Eric Peterson | Registered representative | Oct 2020 (6y) | ||
| Luke Haymond | Registered representative | Oct 2020 (6y) | ||
| Michael Constantine Skourtes | Registered representative | Oct 2020 (6y) | ||
| Russell G Baker | Registered representative | Oct 2020 (6y) | ||
| Sarah Helena Kosmerl | Registered representative | Oct 2020 (6y) | ||
| Fred James Nero | Registered representative | Oct 2020 (6y) | ||
| Jenifer Marie Kemper | Registered representative | Oct 2020 (6y) | ||
| Katherine Lee Thornton | Registered representative | Oct 2020 (6y) | ||
| Raymond Lopez | Registered representative | Oct 2020 (6y) | ||
| Benjamin Chiang | Registered representative | CFP | Oct 2020 (6y) | |
| David Melvin Rindal | Registered representative | Oct 2020 (6y) | ||
| Garret Allen Geist | Registered representative | Oct 2020 (6y) | ||
| George Wayne Rabel | Registered representative | Oct 2020 (6y) | ||
| Harry B Overton | Registered representative | Oct 2020 (6y) | ||
| Jess Michael Charles Yourkavitch | Registered representative | Oct 2020 (6y) | ||
| John Michael Losquadro | Registered representative | Oct 2020 (6y) | ||
| Kenneth John Kellner | Registered representative | Oct 2020 (6y) | ||
| Kerrick Walter Bubb | Registered representative | Oct 2020 (6y) | ||
| Kraleigh B Woodford | Registered representative | Oct 2020 (6y) | ||
| Kristopher J Jantzen | Registered representative | Oct 2020 (6y) | ||
| Miguel Arreguin | Registered representative | Oct 2020 (6y) | ||
| Rosemina Hudani | Registered representative | Oct 2020 (6y) | ||
| Ryan James Cunningham | Registered representative | Oct 2020 (6y) | ||
| Thomas Gerald Decker | Registered representative | CFP | Oct 2020 (6y) | |
| Briana Rae Smith | Registered representative | Oct 2020 (6y) | ||
| Dalton Brant Tibbs | Registered representative | Oct 2020 (6y) | ||
| Kenneth John Reilly | Registered representative | Oct 2020 (6y) | ||
| Rod Chisholm | Registered representative | CFP | Oct 2020 (6y) | |
| Brent Allen Wichlacz | Registered representative | Oct 2020 (6y) | ||
| Brice Louis Pelliccioni | Registered representative | Oct 2020 (6y) | ||
| Carolyn Irene Friend | Registered representative | Oct 2020 (6y) | ||
| Charles Paul Craves | Registered representative | Oct 2020 (6y) | ||
| David Richard Vanderhovel | Registered representative | Oct 2020 (6y) | ||
| Duran Fabre Allen | Registered representative | Oct 2020 (6y) | ||
| Gianni A Valenti | Registered representative | Oct 2020 (6y) | ||
| Jeffrey Brian Burns | Registered representative | Oct 2020 (6y) | ||
| Joseph Lester Crain | Registered representative | CFP | Oct 2020 (6y) | |
| Louis Pelliccioni | Registered representative | Oct 2020 (6y) | ||
| Neil E Bitzer | Registered representative | Oct 2020 (6y) | ||
| William Calvert Bates | Registered representative | Oct 2020 (6y) | ||
| Brian Paul Murphy | Registered representative | Oct 2020 (6y) | ||
| Christian Hans De Paul | Registered representative | Oct 2020 (6y) | ||
| Danielle S Gaudette | Registered representative | Oct 2020 (6y) | ||
| Michael Scott Glavin | Registered representative | Oct 2020 (6y) | ||
| Skipper Wayne Riley | Registered representative | CFP | Oct 2020 (6y) | |
| Anthony M Tringali | Registered representative | Oct 2020 (6y) | ||
| Barbara Sanders Ellis | Registered representative | Oct 2020 (6y) | ||
| Jayne Marie Byrne | Registered representative | CFP | Oct 2020 (6y) | |
| Michael Jay Lerner | Registered representative | CFP | Oct 2020 (6y) | |
| Steven Keith Lerner | Registered representative | Oct 2020 (6y) | ||
| Philip T Devargas | Registered representative | Oct 2020 (6y) | ||
| Corey Randall Crews | Registered representative | Nov 2020 (6y) | ||
| Jason Michael Lau | Registered representative | Nov 2020 (6y) | ||
| Scott Michael Dirksen | Registered representative | CFP | Nov 2020 (6y) | |
| Christian Alexander Chapman | Registered representative | Nov 2020 (6y) | ||
| Danielle K Henry | Registered representative | Nov 2020 (6y) | ||
| Charles Andrew Kaschalk | Registered representative | Nov 2020 (6y) | ||
| Peter Dean Berlin | Registered representative | Nov 2020 (6y) | ||
| Rolfe Robert Young | Registered representative | CFP | Nov 2020 (6y) | |
| Celia Cayce | Registered representative | Nov 2020 (6y) | ||
| Christine Ann Walker | Registered representative | Nov 2020 (6y) | ||
| John Lyndon Volden | Registered representative | Nov 2020 (6y) | ||
| Mark Anthony Cochran | Registered representative | Nov 2020 (6y) | ||
| Steven T. Novotny | Registered representative | CFP | Nov 2020 (6y) | |
| Bryan L Schneider | Registered representative | Nov 2020 (6y) | ||
| Caroline Ruff Burns | Registered representative | Nov 2020 (6y) | ||
| Christopher James Dacey | Registered representative | Nov 2020 (6y) | ||
| Cody Wojdyla | Registered representative | Nov 2020 (6y) | ||
| Joseph Paul Turo | Registered representative | Nov 2020 (6y) | ||
| Michael Jason White | Registered representative | CFP | Nov 2020 (6y) | |
| Paul G Coluccio | Registered representative | Nov 2020 (6y) | ||
| Rene Ryan Farrington | Registered representative | CFP | Nov 2020 (6y) | |
| Andrew Scott Norris | Registered representative | CFP | Nov 2020 (6y) | |
| George Delos Snyder | Registered representative | Nov 2020 (6y) | ||
| Annette Josephine Mctaggart | Registered representative | CFP | Nov 2020 (6y) | |
| Claire Jeanne Ciarciello | Registered representative | Nov 2020 (6y) | ||
| Erik David Mickelson | Registered representative | Nov 2020 (6y) | ||
| John William Gallagher | Registered representative | Nov 2020 (6y) | ||
| Michael Steven Brady | Registered representative | Nov 2020 (6y) | ||
| Ryan Richard Mabie | Registered representative | Nov 2020 (6y) | ||
| Stewart John Burchfield | Registered representative | Nov 2020 (6y) | ||
| Tanya Marie Hawley | Registered representative | Nov 2020 (6y) | ||
| William Evans Doughty | Registered representative | Nov 2020 (6y) | ||
| Carlton Kazumi Kusunoki | Registered representative | Nov 2020 (6y) | ||
| Christopher M Gilbert | Registered representative | Nov 2020 (6y) | ||
| David Edward Sherlock | Registered representative | Nov 2020 (6y) | ||
| Derwood Scott Miller | Registered representative | CFP | Nov 2020 (6y) | |
| Mark Todd Levin | Registered representative | Chartered Financial Consultant | Nov 2020 (6y) | |
| Melissa Rose Moss | Registered representative | Nov 2020 (6y) | ||
| Ross Krause | Registered representative | CFP | Nov 2020 (6y) | |
| Brandon Christopher Williams | Registered representative | Nov 2020 (6y) | ||
| George John Chardukian | Registered representative | Nov 2020 (6y) | ||
| John Francis O'hara | Registered representative | Nov 2020 (6y) | ||
| Joseph Robert Betts | Registered representative | Nov 2020 (6y) | ||
| Michelle Pamela Reed | Registered representative | Nov 2020 (6y) | ||
| Michael Tyler Covington | Registered representative | Nov 2020 (6y) | ||
| Rocky Joe Norris | Registered representative | Nov 2020 (6y) | ||
| Adam Phillip Goldstein | Registered representative | CFP | Nov 2020 (6y) | |
| Allison R Barden | Registered representative | Nov 2020 (6y) | ||
| David M Kujawa | Registered representative | CFP Chartered Financial Consultant | Nov 2020 (6y) | |
| Kory Labarga | Registered representative | Nov 2020 (6y) | ||
| Andrew Evan Harper | Registered representative | Nov 2020 (6y) | ||
| Gregory Leo Hauer | Registered representative | Nov 2020 (6y) | ||
| Jaime Samudio | Registered representative | Nov 2020 (6y) | ||
| Kirk Dean Rosenstrauch | Registered representative | Nov 2020 (6y) | ||
| Marianne Elizabeth Hobson | Registered representative | Nov 2020 (6y) | ||
| Roger Randall Given | Registered representative | Nov 2020 (6y) | ||
| William Blaise Conte | Registered representative | Nov 2020 (6y) | ||
| Jeffrey Lance Prince | Registered representative | CFP | Nov 2020 (6y) | |
| Justin Anderson | Registered representative | Nov 2020 (6y) | ||
| Loni Jason Conley | Registered representative | Nov 2020 (6y) | ||
| Nancy Katherine Fortier | Registered representative | Nov 2020 (6y) | ||
| Robert Lee Brite | Registered representative | Nov 2020 (6y) | ||
| Jorge M Madero | Registered representative | Nov 2020 (6y) | ||
| Scott Michael Nanney | Registered representative | CFP | Nov 2020 (6y) | |
| Amy D Deken | Registered representative | Nov 2020 (6y) | ||
| Brian Michael Sweatt | Registered representative | Nov 2020 (6y) | ||
| Brandon Guy Martinek | Registered representative | Nov 2020 (6y) | ||
| Daniel Thomas Foran | Registered representative | CFP | Nov 2020 (6y) | |
| David E Selden | Registered representative | Nov 2020 (6y) | ||
| John Andrew Correll | Registered representative | Nov 2020 (6y) | ||
| John Francis Foran | Registered representative | CFP | Nov 2020 (6y) | |
| Joshua Paul Renfro | Registered representative | Nov 2020 (6y) | ||
| Lukas Hubers | Registered representative | Nov 2020 (6y) | ||
| Laura Michelle Cooper | Registered representative | Nov 2020 (6y) | ||
| Leilani Lyn Shortt | Registered representative | CFP | Nov 2020 (6y) | |
| Mark Zachary Walters | Registered representative | Nov 2020 (6y) | ||
| Matthew Samuel Sumner | Registered representative | Nov 2020 (6y) | ||
| Maxwell Christopher Clark | Registered representative | CFP | Nov 2020 (6y) | |
| Nathan James Vanstippen | Registered representative | Nov 2020 (6y) | ||
| Nils Alain Nolan | Registered representative | Nov 2020 (6y) | ||
| Robin Bailey Liebes | Registered representative | Nov 2020 (6y) | ||
| Todd Mckinley Cherry | Registered representative | Nov 2020 (6y) | ||
| Travis Scott Eaton | Registered representative | Nov 2020 (6y) | ||
| William Holden Fox | Registered representative | Nov 2020 (6y) | ||
| Joseph John Mastroianni | Registered representative | Dec 2020 (6y) | ||
| Waqar Kasim Meyer | Registered representative | Dec 2020 (6y) | ||
| Alexandra Storke | Registered representative | Dec 2020 (6y) | ||
| Kenneth Wayne Minto | Registered representative | Dec 2020 (6y) | ||
| Andrew Christian Hollingsworth | Registered representative | CFP | Dec 2020 (6y) | |
| John Ralph Mccoy | Registered representative | Dec 2020 (6y) | ||
| John Evan Mc Coy | Registered representative | Dec 2020 (6y) | ||
| Michael Gerard Peters | Registered representative | Dec 2020 (6y) | ||
| Michael Warren Magee | Registered representative | Dec 2020 (6y) | ||
| Susan Renee Haney | Registered representative | Dec 2020 (6y) | ||
| Gregory Eric Yuen | Registered representative | Dec 2020 (6y) | ||
| James Arthur Baker | Registered representative | Dec 2020 (6y) | ||
| Robert M Ashegh | Registered representative | Dec 2020 (6y) | ||
| Todd Evans Lansing | Registered representative | Dec 2020 (6y) | ||
| Jeff Mejac | Registered representative | Dec 2020 (6y) | ||
| Geoffrey Michael Keller | Registered representative | Dec 2020 (6y) | ||
| Jason Michael Solodkin | Registered representative | CFP | Dec 2020 (6y) | |
| Jeffrey Solodkin | Registered representative | Chartered Financial Consultant | Dec 2020 (6y) | |
| Jeremy Alan Schinder | Registered representative | Dec 2020 (6y) | ||
| Joseph Michael Dambrosio | Registered representative | Dec 2020 (6y) | ||
| Meredith Mcburney Barbour | Registered representative | Dec 2020 (6y) | ||
| Michael Joe D'ambrosio | Registered representative | Dec 2020 (6y) | ||
| William Maurice Gribble | Registered representative | Dec 2020 (6y) | ||
| Eric Dwain Mathes | Registered representative | Dec 2020 (6y) | ||
| Francisco Isaac Cossio Franco | Registered representative | Dec 2020 (6y) | ||
| Jeffrey Neil Blaze | Registered representative | CFP | Dec 2020 (6y) | |
| Mayrely Janine Fernandez | Registered representative | Dec 2020 (6y) | ||
| Bonnie N Nelson | Registered representative | Dec 2020 (6y) | ||
| Daniel Kelly Clark | Registered representative | Dec 2020 (6y) | ||
| Leslie Harold Zuckerman | Registered representative | Dec 2020 (6y) | ||
| Scott Thomas Dewhurst | Registered representative | Chartered Financial Consultant | Dec 2020 (6y) | |
| Joel M Feiger | Registered representative | Personal Financial Specialist | Dec 2020 (6y) | |
| Mary Jo Simmons Chorbagian | Registered representative | CFP | Dec 2020 (6y) | |
| Nico Frank March | Registered representative | Dec 2020 (6y) | ||
| Richard A Lewis | Registered representative | CFP | Dec 2020 (6y) | |
| Roland Jason Martinez | Registered representative | Dec 2020 (6y) | ||
| Shane Thomas Swanke | Registered representative | Dec 2020 (6y) | ||
| William James Griffith | Registered representative | Dec 2020 (6y) | ||
| Beaux Guthrie Treguboff | Registered representative | Dec 2020 (6y) | ||
| Jeremy Lee Mefford | Registered representative | Dec 2020 (6y) | ||
| Paulette Treguboff | Registered representative | Dec 2020 (6y) | ||
| Rachel Lauren Howe | Registered representative | Dec 2020 (6y) | ||
| Steven Ray Allison | Registered representative | Dec 2020 (6y) | ||
| Christopher Joseph Grieco | Registered representative | Dec 2020 (6y) | ||
| Jonathan David Cummings | Registered representative | Dec 2020 (6y) | ||
| William Frederick Fox | Registered representative | Chartered Financial Consultant | Dec 2020 (6y) | |
| Austin Fernando Moreira | Registered representative | Dec 2020 (6y) | ||
| Christopher Michael Davis | Registered representative | Dec 2020 (6y) | ||
| Craig Sterling Forsberg | Registered representative | CFP | Dec 2020 (6y) | |
| Jeffrey Alan Delcorse | Registered representative | CFP | Dec 2020 (6y) | |
| Leigh Ashley Robertson | Registered representative | Dec 2020 (6y) | ||
| Kelly La Voie | Registered representative | Dec 2020 (6y) | ||
| Michael Ernest Fornero | Registered representative | Dec 2020 (6y) | ||
| Philip Thomas Straley | Registered representative | Personal Financial Specialist | Dec 2020 (6y) | |
| Timothy Edward Barlow | Registered representative | Dec 2020 (6y) | ||
| Diane Williams | Registered representative | Dec 2020 (6y) | ||
| Jeffery Ryan Bickel | Registered representative | Dec 2020 (6y) | ||
| Nolan Kauhiahiwa Sam Ku | Registered representative | Dec 2020 (6y) | ||
| Paul Joseph Carico | Registered representative | Dec 2020 (6y) | ||
| Scott David Vineberg | Registered representative | CFP | Dec 2020 (6y) | |
| Susan S Lewis | Registered representative | Dec 2020 (6y) | ||
| Jeffrey Thomas Conroy | Registered representative | Dec 2020 (6y) | ||
| Kevin Jay Mcmichael | Registered representative | Dec 2020 (6y) | ||
| Mark Nicholas Lontchar | Registered representative | Dec 2020 (6y) | ||
| Allie Lynnette Gamble Taylor | Registered representative | Dec 2020 (6y) | ||
| Richard Kerber Eisenreich | Registered representative | Dec 2020 (6y) | ||
| Ti'tiana Lenae Davis Frederick | Registered representative | Dec 2020 (6y) | ||
| Vera Daikovich | Registered representative | Dec 2020 (6y) | ||
| Brent Alan Reed | Registered representative | Jan 2021 (6y) | ||
| Cassandra Green Fillingim | Registered representative | Jan 2021 (6y) | ||
| Catherine Quinn Weaver | Registered representative | Jan 2021 (6y) | ||
| Joshua P Marvin | Registered representative | Jan 2021 (6y) | ||
| Leslie Erin Jurado | Registered representative | Jan 2021 (6y) | ||
| Michael Gene Gardiner | Registered representative | CFP | Jan 2021 (6y) | |
| Maribeth A Brown | Registered representative | Jan 2021 (6y) | ||
| Sean A Setaro | Registered representative | Jan 2021 (6y) | ||
| Ashwin Bipin Patel | Registered representative | Jan 2021 (6y) | ||
| Donna Denise Rudd | Registered representative | Jan 2021 (6y) | ||
| Jason Michael Statuta | Registered representative | Jan 2021 (6y) | ||
| Mark Joseph Korte | Registered representative | Jan 2021 (6y) | ||
| Marijan Pavicic | Registered representative | Jan 2021 (6y) | ||
| Ryan Jacob Tibbo | Registered representative | Jan 2021 (6y) | ||
| Elaine Mcnair | Registered representative | CFP | Jan 2021 (6y) | |
| Gary Michael Stiles | Registered representative | Jan 2021 (6y) | ||
| Katrina C Lessard | Registered representative | CFP | Jan 2021 (6y) | |
| Mark T Schenkel | Registered representative | Jan 2021 (6y) | ||
| Jarret Rodriguez Conklin | Registered representative | Chartered Financial Consultant | Jan 2021 (6y) | |
| Jeremiah Anthony Beam | Registered representative | Jan 2021 (6y) | ||
| Andrew Fredrick Aubrey | Registered representative | CFP | Jan 2021 (6y) | |
| Cohen Michael Paul La Cour | Registered representative | Jan 2021 (6y) | ||
| Arthur Copperthite | Registered representative | CFP | Jan 2021 (6y) | |
| Trellanee T Moore | Registered representative | Jan 2021 (6y) | ||
| Ty Stetson Martinelli | Registered representative | CFP | Jan 2021 (6y) | |
| Vincent Douglas Beaudoin | Registered representative | Jan 2021 (6y) | ||
| Bradly Edward Tharp | Registered representative | Chartered Financial Consultant | Jan 2021 (6y) | |
| Craig Michael Zaleck | Registered representative | CFP | Jan 2021 (6y) | |
| David Raymond Goforth | Registered representative | Jan 2021 (6y) | ||
| John Paul Prehatny | Registered representative | Jan 2021 (6y) | ||
| Allison Marie Davidson | Registered representative | Jan 2021 (6y) | ||
| Elijah Kramer Lee | Registered representative | Jan 2021 (6y) | ||
| John Michael Copas | Registered representative | Jan 2021 (6y) | ||
| Diana Wolf | Registered representative | Jan 2021 (6y) | ||
| John Scott Rogers | Registered representative | Jan 2021 (6y) | ||
| Michael Mais | Registered representative | CFA | Jan 2021 (6y) | |
| Rahamin Suares | Registered representative | CFP | Jan 2021 (6y) | |
| Richard Michael Walsh | Registered representative | Jan 2021 (6y) | ||
| Wayne Campbell | Registered representative | Jan 2021 (6y) | ||
| Adelina Patrica Vela | Registered representative | Jan 2021 (6y) | ||
| Daniel Brown | Registered representative | Jan 2021 (6y) | ||
| Michael Angelo Nisivoccia | Registered representative | Jan 2021 (6y) | ||
| Sheena Denise Hogue | Registered representative | Jan 2021 (6y) | ||
| Brendan Lee Biruk | Registered representative | CFP | Jan 2021 (6y) | |
| Carlos Enrique Rubio | Registered representative | Jan 2021 (6y) | ||
| Daniel F Rattigan | Registered representative | CFP | Jan 2021 (6y) | |
| Denielle Palting | Registered representative | Jan 2021 (6y) | ||
| Leslie Gabell Crilley | Registered representative | Jan 2021 (6y) | ||
| Marc David Warren | Registered representative | Jan 2021 (6y) | ||
| Ronald Henry Bender | Registered representative | Jan 2021 (6y) | ||
| Charles Wilson Geiss | Registered representative | Jan 2021 (6y) | ||
| Deborah K Mccormick | Registered representative | Jan 2021 (6y) | ||
| Bradly Allen Broadbent | Registered representative | Jan 2021 (6y) | ||
| Bryan Keith Bolten | Registered representative | Chartered Financial Consultant | Jan 2021 (6y) | |
| Kyle Joseph Ruggio | Registered representative | Jan 2021 (6y) | ||
| Darrell Todd | Registered representative | Jan 2021 (6y) | ||
| James Robert Griggers | Registered representative | Jan 2021 (6y) | ||
| Thomas R Bette | Registered representative | Jan 2021 (6y) | ||
| Hayden Gregory Lowry | Registered representative | Jan 2021 (6y) | ||
| Michael Alan Kurzer | Registered representative | Jan 2021 (6y) | ||
| Michael James Ray | Registered representative | Jan 2021 (6y) | ||
| Steven Jacob Wiles | Registered representative | Jan 2021 (6y) | ||
| Brian Charles Laux | Registered representative | Jan 2021 (6y) | ||
| Colleen R. Hamel | Registered representative | Jan 2021 (6y) | ||
| Dorothea Danielle Zando | Registered representative | Jan 2021 (6y) | ||
| Brendan Patrick Byrne | Registered representative | Jan 2021 (6y) | ||
| Kyle Travis Presson | Registered representative | Jan 2021 (6y) | ||
| Reed Allen Gerth | Registered representative | Jan 2021 (6y) | ||
| Robert James Bentley | Registered representative | Jan 2021 (6y) | ||
| Tobin Carroll Nadeau | Registered representative | Jan 2021 (6y) | ||
| William Patrick Harvey | Registered representative | CFP | Jan 2021 (6y) | |
| Sean Michael Pahut | Registered representative | Jan 2021 (6y) | ||
| Glen A Neeley | Registered representative | Jan 2021 (6y) | ||
| Adolfo Gaspar Sotomayor | Registered representative | Feb 2021 (6y) | ||
| Daniel John Welch | Registered representative | Feb 2021 (6y) | ||
| Jason Matthew Welch | Registered representative | Feb 2021 (6y) | ||
| John Benard Love | Registered representative | Feb 2021 (6y) | ||
| Mark Charles Morlock | Registered representative | Feb 2021 (6y) | ||
| Sean Bryant Chrissinger | Registered representative | Feb 2021 (6y) | ||
| Janice Marie Myers | Registered representative | Feb 2021 (5y) | ||
| Joshua Peter Lorek | Registered representative | Feb 2021 (5y) | ||
| Luke Mckay Gunther | Registered representative | Feb 2021 (5y) | ||
| Byron Edwards | Registered representative | Feb 2021 (5y) | ||
| Jennifer Barrios | Registered representative | Feb 2021 (5y) | ||
| Jacob Andrew Thiem | Registered representative | Feb 2021 (5y) | ||
| Matthew Heath Mcdaniel | Registered representative | Feb 2021 (5y) | ||
| Nicholas Samuel Disney Fairchild | Registered representative | Feb 2021 (5y) | ||
| Aaron David Stevens | Registered representative | Feb 2021 (5y) | ||
| Daniel Lorenzo Pelosi | Registered representative | Feb 2021 (5y) | ||
| Mark Linwood Granger | Registered representative | Feb 2021 (5y) | ||
| Alexander Ramon Carro | Registered representative | Feb 2021 (5y) | ||
| Nancy Rose Mcelroy | Registered representative | Feb 2021 (5y) | ||
| Thad Wesley Richardson | Registered representative | Feb 2021 (5y) | ||
| Robert Anthony Laraia | Registered representative | Feb 2021 (5y) | ||
| Christine Iammarino Wale | Registered representative | Feb 2021 (5y) | ||
| Ian Michael Dougherty | Registered representative | Feb 2021 (5y) | ||
| Timothy Tyrone Ashley | Registered representative | Feb 2021 (5y) | ||
| Jamie Jo Meisinger | Registered representative | Feb 2021 (5y) | ||
| John Wilton Walker | Registered representative | Feb 2021 (5y) | ||
| Joshua Yoonkun Jun | Registered representative | Feb 2021 (5y) | ||
| Kathryn Ellyn Mathis | Registered representative | Feb 2021 (5y) | ||
| Richard Joseph Pakes | Registered representative | Feb 2021 (5y) | ||
| Austin M Gardner | Registered representative | Feb 2021 (5y) | ||
| James Andrew Hotchkiss | Registered representative | Feb 2021 (5y) | ||
| Martha Gail Oneill | Registered representative | Feb 2021 (5y) | ||
| Michelle Balatero | Registered representative | CFP | Feb 2021 (5y) | |
| Alyssa Michelle Sarkies | Registered representative | Feb 2021 (5y) | ||
| Derek Robert Mazzarella | Registered representative | Feb 2021 (5y) | ||
| Marc Adam Sack | Registered representative | Feb 2021 (5y) | ||
| Michael Stewart Lewis | Registered representative | Feb 2021 (5y) | ||
| Patrick Jay Murphy | Registered representative | Feb 2021 (5y) | ||
| Spencer Price Cunningham | Registered representative | Feb 2021 (5y) | ||
| Anne Marie Wishon | Registered representative | Feb 2021 (5y) | ||
| Catherine S. Robinson | Registered representative | Feb 2021 (5y) | ||
| Harry Russell Grant | Registered representative | Feb 2021 (5y) | ||
| James Christopher Kilian | Registered representative | Feb 2021 (5y) | ||
| Janet Lynn Munce | Registered representative | CFP | Feb 2021 (5y) | |
| Austin C Kuehl | Registered representative | Feb 2021 (5y) | ||
| Clare Mccarren Kiesel | Registered representative | Feb 2021 (5y) | ||
| Eric Reis Chaves | Registered representative | Feb 2021 (5y) | ||
| Grant Richard Ellis | Registered representative | Feb 2021 (5y) | ||
| Jeffrey Scott Bird | Registered representative | Feb 2021 (5y) | ||
| Robert Joseph Whelan | Registered representative | CFP | Feb 2021 (5y) | |
| Robert Vincent Ponciroli | Registered representative | Feb 2021 (5y) | ||
| Brian Jonathan Diehlman | Registered representative | Feb 2021 (5y) | ||
| Donald J Bohonko | Registered representative | Feb 2021 (5y) | ||
| Mary Kathryn Clark | Registered representative | CFP | Feb 2021 (5y) | |
| Robin Marie Johnson | Registered representative | Feb 2021 (5y) | ||
| Wayne P Sellar | Registered representative | CFP | Feb 2021 (5y) | |
| Jeffrey R. St John | Registered representative | Feb 2021 (5y) | ||
| Brian Joseph West | Registered representative | Feb 2021 (5y) | ||
| Mark Antony Josephs | Registered representative | Feb 2021 (5y) | ||
| Shawn Patrick Gormley | Registered representative | Feb 2021 (5y) | ||
| Annalea Marie Gray | Registered representative | Feb 2021 (5y) | ||
| Cara Perrotta Gardner | Registered representative | CFP | Feb 2021 (5y) | |
| Eric Dudik | Registered representative | Feb 2021 (5y) | ||
| Todd Erik Shagin | Registered representative | Feb 2021 (5y) | ||
| Lisa My Phuong Koyama | Registered representative | Feb 2021 (5y) | ||
| Arium Renee Devine | Registered representative | Feb 2021 (5y) | ||
| Jared Matthew Conrad | Registered representative | Mar 2021 (5y) | ||
| Kurt Barry Simmons | Registered representative | Mar 2021 (5y) | ||
| Matthew Boyd Warntz | Registered representative | Mar 2021 (5y) | ||
| Michael Everett Diers | Registered representative | CFP | Mar 2021 (5y) | |
| Ryan Christopher Timmins | Registered representative | Mar 2021 (5y) | ||
| Sara Lee Putz | Registered representative | Mar 2021 (5y) | ||
| Christian Horacio Ortez | Registered representative | Mar 2021 (5y) | ||
| Loi Chong Yu | Registered representative | Mar 2021 (5y) | ||
| Nicolas Rich | Registered representative | Mar 2021 (5y) | ||
| Patricia Hope Regan | Registered representative | Mar 2021 (5y) | ||
| Joshua Daniel Jeffries | Registered representative | Mar 2021 (5y) | ||
| Barbara Jean Delponte | Registered representative | Mar 2021 (5y) | ||
| David Adam Woodson | Registered representative | Mar 2021 (5y) | ||
| Fred Allen Bell | Registered representative | Mar 2021 (5y) | ||
| Robert James Boshar | Registered representative | Mar 2021 (5y) | ||
| William Louis Hyman | Registered representative | Mar 2021 (5y) | ||
| William Simmermacher | Registered representative | CFA | Mar 2021 (5y) | |
| David Michael Phipps | Registered representative | Mar 2021 (5y) | ||
| Wendy Yin Chan | Registered representative | CFP | Mar 2021 (5y) | |
| Elliot F Palabe | Registered representative | Mar 2021 (5y) | ||
| Jaymes Thomas Arnold | Registered representative | Mar 2021 (5y) | ||
| Robin Patout Yates | Registered representative | Mar 2021 (5y) | ||
| John Henry Kay | Registered representative | Mar 2021 (5y) | ||
| Kory Licht Budinger | Registered representative | Mar 2021 (5y) | ||
| Adri James Giacobine Bleier | Registered representative | Mar 2021 (5y) | ||
| Antonio Loffreda Mancinelli | Registered representative | Mar 2021 (5y) | ||
| Craig Alan Shensa | Registered representative | Mar 2021 (5y) | ||
| James Wesley Monteverde | Registered representative | Chartered Financial Consultant | Mar 2021 (5y) | |
| Jason Charles Haswell | Registered representative | Mar 2021 (5y) | ||
| Nicholas Carlton Kloster | Registered representative | CFP | Mar 2021 (5y) | |
| Ryan Peter Duchak | Registered representative | Mar 2021 (5y) | ||
| Thomas Christian Hall | Registered representative | Mar 2021 (5y) | ||
| Travis Jay Kohn | Registered representative | Mar 2021 (5y) | ||
| Teresa Dawn Clements | Registered representative | CFP | Mar 2021 (5y) | |
| Wendy Wetzel Astorino | Registered representative | Mar 2021 (5y) | ||
| Alex J Kastrinakis | Registered representative | Mar 2021 (5y) | ||
| Daniel Blake Price | Registered representative | Mar 2021 (5y) | ||
| Daniel James Martin | Registered representative | Mar 2021 (5y) | ||
| Erin Elizabeth Homsy | Registered representative | Mar 2021 (5y) | ||
| James Wallace Dicocco | Registered representative | Mar 2021 (5y) | ||
| Anne Marie Clayton | Registered representative | Mar 2021 (5y) | ||
| Donald Bruce Jaynes | Registered representative | Mar 2021 (5y) | ||
| Dustin James Lester | Registered representative | Mar 2021 (5y) | ||
| Jeremiah R Butout | Registered representative | Mar 2021 (5y) | ||
| Kristin Ashley Afelumo | Registered representative | Mar 2021 (5y) | ||
| Matthew A Weaver | Registered representative | CFA | Mar 2021 (5y) | |
| Ryan David Evans | Registered representative | Mar 2021 (5y) | ||
| Dustin Ryan Tondreau | Registered representative | Mar 2021 (5y) | ||
| Richard Frank Martino | Registered representative | Mar 2021 (5y) | ||
| Jon Kelly Henderson | Registered representative | Mar 2021 (5y) | ||
| Kristopher William Horn | Registered representative | Mar 2021 (5y) | ||
| Stanley Earl Waldrop | Registered representative | Mar 2021 (5y) | ||
| Anthony Craig Morton | Registered representative | Mar 2021 (5y) | ||
| David Anthony Massaroni | Registered representative | Mar 2021 (5y) | ||
| Duncan Gerard Maceachern | Registered representative | Mar 2021 (5y) | ||
| Harold Vernon Collett | Registered representative | Mar 2021 (5y) | ||
| Kelsey Lindsey | Registered representative | Mar 2021 (5y) | ||
| Thomas Michael Kriss | Registered representative | Mar 2021 (5y) | ||
| Christopher Jacob Stratton | Registered representative | Mar 2021 (5y) | ||
| Derek Adrian Shifflett | Registered representative | Mar 2021 (5y) | ||
| Matthew Ryan Lindsey | Registered representative | Mar 2021 (5y) | ||
| Rachel Mackenzie Dick | Registered representative | Mar 2021 (5y) | ||
| Charles Francis Giordano | Registered representative | Mar 2021 (5y) | ||
| Liliana Rurup | Registered representative | Mar 2021 (5y) | ||
| Michael Charles Samoska | Registered representative | Mar 2021 (5y) | ||
| Arlie Afton Rogers | Registered representative | Mar 2021 (5y) | ||
| Guy Maxwell Loftin | Registered representative | Mar 2021 (5y) | ||
| John Howard Denler | Registered representative | Mar 2021 (5y) | ||
| Aaron Denver Dyer | Registered representative | Mar 2021 (5y) | ||
| Franklin Britt Borders | Registered representative | Mar 2021 (5y) | ||
| Jorge Molina | Registered representative | Mar 2021 (5y) | ||
| Aaron Vincent Cross | Registered representative | CFP | Mar 2021 (5y) | |
| Adam Joseph Tatroe | Registered representative | CFP | Mar 2021 (5y) | |
| Agnieszka Domanski | Registered representative | Mar 2021 (5y) | ||
| Amy L Hume | Registered representative | Mar 2021 (5y) | ||
| Andy W Saeger | Registered representative | CFP | Mar 2021 (5y) | |
| Anthony Christopher Pecoraro | Registered representative | Chartered Financial Consultant | Mar 2021 (5y) | |
| Anthony Robert Trainor | Registered representative | CFP | Mar 2021 (5y) | |
| Anton Kurt Hessner | Registered representative | Mar 2021 (5y) | ||
| Arturo Ramirez | Registered representative | Mar 2021 (5y) | ||
| Amanda Rae Biggar | Registered representative | Mar 2021 (5y) | ||
| Andrew Jensen Klinzing | Registered representative | Mar 2021 (5y) | ||
| Barbara Marie Frosch | Registered representative | Mar 2021 (5y) | ||
| Benjamin John Urban | Registered representative | Mar 2021 (5y) | ||
| Bernard Lynn | Registered representative | Mar 2021 (5y) | ||
| Brad Allan Herman | Registered representative | CFP Chartered Financial Consultant | Mar 2021 (5y) | |
| Bradley Mallott Martin | Registered representative | Mar 2021 (5y) | ||
| Bradley Richard King | Registered representative | Mar 2021 (5y) | ||
| Brian Everett Bonewell | Registered representative | CFP | Mar 2021 (5y) | |
| Brian Lee Sonnenberg | Registered representative | Mar 2021 (5y) | ||
| Brian Michael Dombroski | Registered representative | Mar 2021 (5y) | ||
| Catherine Reardon Cornille | Registered representative | Mar 2021 (5y) | ||
| Charles James Thompson | Registered representative | Mar 2021 (5y) | ||
| Chelsea Marie Roth | Registered representative | Mar 2021 (5y) | ||
| Christopher Lee Fredrick | Registered representative | Mar 2021 (5y) | ||
| Connie J Campbell | Registered representative | Mar 2021 (5y) | ||
| Dale Graham Stern | Registered representative | Mar 2021 (5y) | ||
| Daniel Kalani Tano | Registered representative | Mar 2021 (5y) | ||
| Daniel P Mitchell | Registered representative | Mar 2021 (5y) | ||
| Daniel Paul Feldstein | Registered representative | CFP Chartered Financial Consultant | Mar 2021 (5y) | |
| Dann Joseph Ingebritson | Registered representative | Mar 2021 (5y) | ||
| David Joseph Capitan | Registered representative | Mar 2021 (5y) | ||
| David Judd Edwards | Registered representative | CFP | Mar 2021 (5y) | |
| David Matthew Alonzo | Registered representative | Mar 2021 (5y) | ||
| David Matthew Olson | Registered representative | Mar 2021 (5y) | ||
| David Matthew Robson | Registered representative | Mar 2021 (5y) | ||
| David Morales | Registered representative | Mar 2021 (5y) | ||
| David Scott Lex | Registered representative | CFP | Mar 2021 (5y) | |
| David Tsang | Registered representative | Mar 2021 (5y) | ||
| Derek Weatherford | Registered representative | CFP | Mar 2021 (5y) | |
| Don Jerome Dahlman | Registered representative | Mar 2021 (5y) | ||
| Douglas Howard Steiner | Registered representative | Mar 2021 (5y) | ||
| David Markiewicz | Registered representative | Mar 2021 (5y) | ||
| Earlline Lillian Davis | Registered representative | Mar 2021 (5y) | ||
| Edward Jason Snoble | Registered representative | Mar 2021 (5y) | ||
| Eglantina Ismolli | Registered representative | Mar 2021 (5y) | ||
| Eric Bowden | Registered representative | Mar 2021 (5y) | ||
| Eric James Demmon | Registered representative | CFP | Mar 2021 (5y) | |
| Eric S Hilgart | Registered representative | Mar 2021 (5y) | ||
| Erik Donavan Bunderson | Registered representative | Mar 2021 (5y) | ||
| Evan Loh | Registered representative | Mar 2021 (5y) | ||
| Elizabeth Anne Glazier | Registered representative | Mar 2021 (5y) | ||
| Frank H Grote | Registered representative | Mar 2021 (5y) | ||
| Gilbert James Garcia | Registered representative | Mar 2021 (5y) | ||
| Greg Thomas Lewandowski | Registered representative | Mar 2021 (5y) | ||
| Ignacio Alexander Guerrero | Registered representative | Mar 2021 (5y) | ||
| Ivana Blagojevic | Registered representative | Mar 2021 (5y) | ||
| James Michael Trent | Registered representative | Mar 2021 (5y) | ||
| James Patrick Kapala | Registered representative | CFP | Mar 2021 (5y) | |
| James Warren Larson | Registered representative | Mar 2021 (5y) | ||
| Jason A Roberts | Registered representative | Mar 2021 (5y) | ||
| Jeffrey Gerald Heinen | Registered representative | Mar 2021 (5y) | ||
| Jennifer Lasser Eilers | Registered representative | Mar 2021 (5y) | ||
| John Casper Furrer | Registered representative | Mar 2021 (5y) | ||
| John Douglas Potashnick | Registered representative | CFP | Mar 2021 (5y) | |
| Jonathan Patrick Mueller Schrader | Registered representative | Mar 2021 (5y) | ||
| Joseph Daniel Strack | Registered representative | Mar 2021 (5y) | ||
| Joseph Jordan Bachmeyer | Registered representative | Mar 2021 (5y) | ||
| Julianna Dawn Morales | Registered representative | CFP | Mar 2021 (5y) | |
| Julianne M Getty | Registered representative | Mar 2021 (5y) | ||
| Julie Jean Rafenstein | Registered representative | Mar 2021 (5y) | ||
| Justin Bryan Feigal | Registered representative | Mar 2021 (5y) | ||
| Jennifer Leigh Dreifuerst | Registered representative | Mar 2021 (5y) | ||
| Jeremy D Bardon | Registered representative | CFP | Mar 2021 (5y) | |
| Jose A Lopez Maldonado | Registered representative | Mar 2021 (5y) | ||
| Joshua Schaalma | Registered representative | Mar 2021 (5y) | ||
| Kent Dwayne Seacat | Registered representative | CFP | Mar 2021 (5y) | |
| Kevin John Mccormick | Registered representative | Mar 2021 (5y) | ||
| Kimberly M Wenzel | Registered representative | Mar 2021 (5y) | ||
| Larissa Marie Steffes | Registered representative | Mar 2021 (5y) | ||
| Leah A Koehnke | Registered representative | Mar 2021 (5y) | ||
| Lisa Ann Kim | Registered representative | CFP | Mar 2021 (5y) | |
| Laura Ann Schaal | Registered representative | Mar 2021 (5y) | ||
| Lawrence Allen Cooper | Registered representative | Mar 2021 (5y) | ||
| Marc James Salem | Registered representative | Mar 2021 (5y) | ||
| Matthew Joel Schutte | Registered representative | CFP | Mar 2021 (5y) | |
| Meeta Yadava | Registered representative | CFP | Mar 2021 (5y) | |
| Michael Aaron Short | Registered representative | Mar 2021 (5y) | ||
| Michael Anthony New | Registered representative | CFP | Mar 2021 (5y) | |
| Michael Charles Schilling | Registered representative | CFP | Mar 2021 (5y) | |
| Michelle Ann Schmitz | Registered representative | Mar 2021 (5y) | ||
| Michelle Lee Russell | Registered representative | CFP | Mar 2021 (5y) | |
| Mark Pingul | Registered representative | Mar 2021 (5y) | ||
| Nasser Y Zayed | Registered representative | Mar 2021 (5y) | ||
| Nathan J. Cluxton | Registered representative | CFP | Mar 2021 (5y) | |
| Nicole Renee Danke | Registered representative | CFP | Mar 2021 (5y) | |
| Nichole Garrido | Registered representative | Mar 2021 (5y) | ||
| Pedro Jose Dager | Registered representative | CFP | Mar 2021 (5y) | |
| Peter Leander Schmidt | Registered representative | CFP Chartered Financial Consultant | Mar 2021 (5y) | |
| Robert Charles Lorenz | Registered representative | Mar 2021 (5y) | ||
| Robert Wells Allbright | Registered representative | CFP | Mar 2021 (5y) | |
| Robin Marie Drost | Registered representative | Mar 2021 (5y) | ||
| Ryan Adam Osborn | Registered representative | Mar 2021 (5y) | ||
| Ryan Allan O'neill | Registered representative | Mar 2021 (5y) | ||
| Ryan J Furrer | Registered representative | Mar 2021 (5y) | ||
| Ryan Jack Stephenson | Registered representative | Mar 2021 (5y) | ||
| Ryan Krueger | Registered representative | Chartered Financial Consultant | Mar 2021 (5y) | |
| Scott James Burnoski | Registered representative | Mar 2021 (5y) | ||
| Scott R Leutenegger | Registered representative | Mar 2021 (5y) | ||
| Stefanie Ann Theuer | Registered representative | Mar 2021 (5y) | ||
| Stephanie Ann Warren | Registered representative | Mar 2021 (5y) | ||
| Stephen Peter Riordan | Registered representative | Mar 2021 (5y) | ||
| Steven Daniel Terradista | Registered representative | Mar 2021 (5y) | ||
| Theresa Marie Henslin | Registered representative | Mar 2021 (5y) | ||
| Thomas Hunt Spalding | Registered representative | Mar 2021 (5y) | ||
| Timothy Charles Cerny | Registered representative | Mar 2021 (5y) | ||
| Todd David Sprecher | Registered representative | CFP | Mar 2021 (5y) | |
| Todd Michael Gilleylen | Registered representative | CFP | Mar 2021 (5y) | |
| Todd Russell Youngberg | Registered representative | Mar 2021 (5y) | ||
| Todd Tyler Riggin | Registered representative | CFP | Mar 2021 (5y) | |
| Tatiana A Dickey | Registered representative | CFP | Mar 2021 (5y) | |
| Todd Michael Cherrington | Registered representative | Mar 2021 (5y) | ||
| Tyler Hagen | Registered representative | Mar 2021 (5y) | ||
| Vinay Phommachanh | Registered representative | Mar 2021 (5y) | ||
| Vito Partipilo | Registered representative | Mar 2021 (5y) | ||
| Wallace William Harris | Registered representative | Mar 2021 (5y) | ||
| Brian Dennis Mazgaj | Registered representative | Mar 2021 (5y) | ||
| Craig Thomas Lenhard | Registered representative | Mar 2021 (5y) | ||
| Jennifer Lynn Gould | Registered representative | CFP | Mar 2021 (5y) | |
| Nancy Ann See | Registered representative | Mar 2021 (5y) | ||
| Ashley Rose Dusek | Registered representative | CFP | Mar 2021 (5y) | |
| Benjamin Adam Whitacre | Registered representative | Chartered Financial Consultant | Mar 2021 (5y) | |
| Thomas Frederick White | Registered representative | Mar 2021 (5y) | ||
| Kristina L Gates | Registered representative | Mar 2021 (5y) | ||
| Daniel James Vansingel | Registered representative | Mar 2021 (5y) | ||
| Douglas Levasseur | Registered representative | Mar 2021 (5y) | ||
| John Andrew Gilmore | Registered representative | Mar 2021 (5y) | ||
| Michael James Rebischke | Registered representative | Mar 2021 (5y) | ||
| Andrew Joseph Donnelly | Registered representative | Apr 2021 (5y) | ||
| Damon Merrill Mapes | Registered representative | Apr 2021 (5y) | ||
| Daniel Burke Beltran | Registered representative | CFP | Apr 2021 (5y) | |
| Elliott Edward Clark | Registered representative | Apr 2021 (5y) | ||
| John D Goblet | Registered representative | Apr 2021 (5y) | ||
| Ken Anthony Bradshaw | Registered representative | Apr 2021 (5y) | ||
| Jared Richard Motzenbecker | Registered representative | CFP | Apr 2021 (5y) | |
| Jose Luis Rosales | Registered representative | Apr 2021 (5y) | ||
| Peggy Ann Kelleher | Registered representative | Apr 2021 (5y) | ||
| Allison Schuller | Registered representative | Apr 2021 (5y) | ||
| Edwin S Blanchard | Registered representative | Apr 2021 (5y) | ||
| Heath Burnett Haynes | Registered representative | Apr 2021 (5y) | ||
| John A Searer | Registered representative | Apr 2021 (5y) | ||
| Raymond P Kermend | Registered representative | CFP | Apr 2021 (5y) | |
| Scott Anthony Cimo | Registered representative | CFP | Apr 2021 (5y) | |
| Wendy Beth Hobbs | Registered representative | Apr 2021 (5y) | ||
| Evan M Vink | Registered representative | Apr 2021 (5y) | ||
| Monica L Owens | Registered representative | Apr 2021 (5y) | ||
| Samuel Whitfield Hodges | Registered representative | Apr 2021 (5y) | ||
| Scott William Carr | Registered representative | Apr 2021 (5y) | ||
| Shawn Michael Benedict | Registered representative | Apr 2021 (5y) | ||
| Spencer Christina Luecke | Registered representative | Apr 2021 (5y) | ||
| Brian S Bellot | Registered representative | Apr 2021 (5y) | ||
| Daniel J Guibert | Registered representative | Apr 2021 (5y) | ||
| Gary Richard Gilgen | Registered representative | CFP | Apr 2021 (5y) | |
| Gustavo Adolfo Caballero | Registered representative | Apr 2021 (5y) | ||
| John Dean Cavaliere | Registered representative | Apr 2021 (5y) | ||
| John Kendel Lohrenz | Registered representative | Apr 2021 (5y) | ||
| John Michael Holian | Registered representative | Apr 2021 (5y) | ||
| Wesley John Rowlands | Registered representative | Apr 2021 (5y) | ||
| Brett Howard Macbain | Registered representative | Apr 2021 (5y) | ||
| Gregory Lawrence Smith | Registered representative | Apr 2021 (5y) | ||
| James K Cluverius | Registered representative | Apr 2021 (5y) | ||
| Joel Gray | Registered representative | Apr 2021 (5y) | ||
| Joseph Scott Thompson | Registered representative | Apr 2021 (5y) | ||
| William J Brown | Registered representative | Apr 2021 (5y) | ||
| Derrick James Strub | Registered representative | Apr 2021 (5y) | ||
| Erin Williams | Registered representative | Apr 2021 (5y) | ||
| Austin Matthew Schlieman | Registered representative | Apr 2021 (5y) | ||
| Benjamin Douglas Hadley | Registered representative | Apr 2021 (5y) | ||
| Steven Benjamin | Registered representative | Apr 2021 (5y) | ||
| Domenic A Maitino | Registered representative | Apr 2021 (5y) | ||
| George Anthony Doria Medina | Registered representative | Apr 2021 (5y) | ||
| Amanda Leah Minter | Registered representative | Apr 2021 (5y) | ||
| Aaron Busse | Registered representative | Apr 2021 (5y) | ||
| David Scott Hogaboom | Registered representative | Apr 2021 (5y) | ||
| Dennis Paul Durocher | Registered representative | CFP | Apr 2021 (5y) | |
| Andrew James Metcalf | Registered representative | Apr 2021 (5y) | ||
| Brian Patrick Wloszczynski | Registered representative | Apr 2021 (5y) | ||
| Evan Matthew Lereah | Registered representative | Apr 2021 (5y) | ||
| Keith E Mc George | Registered representative | Apr 2021 (5y) | ||
| Michael Nilsson Metcalf | Registered representative | Apr 2021 (5y) | ||
| Timothy Michael Magner | Registered representative | Apr 2021 (5y) | ||
| Jared Incinelli | Registered representative | Apr 2021 (5y) | ||
| Meghan Hyland Dakan | Registered representative | Apr 2021 (5y) | ||
| David Allen Kroeninger | Registered representative | Apr 2021 (5y) | ||
| Garrett Newman | Registered representative | CFP | Apr 2021 (5y) | |
| Sean Thomas Carey | Registered representative | Apr 2021 (5y) | ||
| Amanda M Myers | Registered representative | Apr 2021 (5y) | ||
| Claire Elizabeth Shinholser | Registered representative | CFP | Apr 2021 (5y) | |
| Flavia V Mc Caughey | Registered representative | Apr 2021 (5y) | ||
| Justin Brooks Eldridge | Registered representative | Apr 2021 (5y) | ||
| Jesse Taylor | Registered representative | CFP Chartered Financial Consultant | Apr 2021 (5y) | |
| Kornmueng Eric Baccam | Registered representative | Apr 2021 (5y) | ||
| Vladislav Zherenovsky | Registered representative | Apr 2021 (5y) | ||
| Cameron Brooks Hall | Registered representative | Apr 2021 (5y) | ||
| Edward Anthony Kozak | Registered representative | Apr 2021 (5y) | ||
| Jason N Demarre | Registered representative | Apr 2021 (5y) | ||
| Thomas Dean Bales | Registered representative | CFP | Apr 2021 (5y) | |
| Andrew Klich | Registered representative | Apr 2021 (5y) | ||
| Chad Allen Taylor | Registered representative | CFP | Apr 2021 (5y) | |
| Glenn Robert Dehollander | Registered representative | CFP | Apr 2021 (5y) | |
| Jan Long | Registered representative | Apr 2021 (5y) | ||
| Joseph Frederick Pedrigi | Registered representative | Apr 2021 (5y) | ||
| Kristopher A Knight | Registered representative | Apr 2021 (5y) | ||
| Trent Derek Baer | Registered representative | Apr 2021 (5y) | ||
| Thomas Matthew Mitchell | Registered representative | Apr 2021 (5y) | ||
| Anthony Edward Soans | Registered representative | Apr 2021 (5y) | ||
| David James Petoskey | Registered representative | Apr 2021 (5y) | ||
| Scott Allen Richardson | Registered representative | Apr 2021 (5y) | ||
| Alexander Spang Taylor | Registered representative | Apr 2021 (5y) | ||
| Brian Gerard Ferguson | Registered representative | CFP | Apr 2021 (5y) | |
| Christopher Ralph Sordello | Registered representative | Chartered Financial Consultant | Apr 2021 (5y) | |
| Joseph Howard Ferguson | Registered representative | Apr 2021 (5y) | ||
| Karen D Lemmons Silva | Registered representative | CFP | Apr 2021 (5y) | |
| Michael David Camp | Registered representative | Apr 2021 (5y) | ||
| Robert Dale Parrish | Registered representative | Apr 2021 (5y) | ||
| Brian Michael Woods | Registered representative | Apr 2021 (5y) | ||
| Charles William Grant | Registered representative | Apr 2021 (5y) | ||
| Frank Charles Ward | Registered representative | CFP | Apr 2021 (5y) | |
| Jacob Eliahu Shulam | Registered representative | Chartered Financial Consultant | Apr 2021 (5y) | |
| James Richard Rensvold | Registered representative | Apr 2021 (5y) | ||
| John Richard Vaillancourt | Registered representative | Apr 2021 (5y) | ||
| Lisa M Solomon Kelso | Registered representative | Apr 2021 (5y) | ||
| Renee Wendy Senes | Registered representative | Apr 2021 (5y) | ||
| Stephanie Mealman Stuart | Registered representative | Apr 2021 (5y) | ||
| Spenser Stephen Rahm | Registered representative | Apr 2021 (5y) | ||
| Thomas Patrick Zinckgraf | Registered representative | Apr 2021 (5y) | ||
| David Jon Chwalek | Registered representative | May 2021 (5y) | ||
| Willard Everett Robertson | Registered representative | May 2021 (5y) | ||
| Alexander Love Hinson | Registered representative | May 2021 (5y) | ||
| Cynthia Marie Loftin | Registered representative | May 2021 (5y) | ||
| Jonathan Patrick Wasey | Registered representative | CFP | May 2021 (5y) | |
| Robert James Glownia | Registered representative | CFP CFA | May 2021 (5y) | |
| Timothy Michael Hogan | Registered representative | May 2021 (5y) | ||
| Tyler Paul Fridrich | Registered representative | May 2021 (5y) | ||
| Vicky Chik Teherani | Registered representative | May 2021 (5y) | ||
| Douglas Mark Johnson | Registered representative | May 2021 (5y) | ||
| Joel Robert Drake | Registered representative | May 2021 (5y) | ||
| Juan A Rodriguez | Registered representative | May 2021 (5y) | ||
| Mark Lawson Reynolds | Registered representative | May 2021 (5y) | ||
| Brian D Day Lewis | Registered representative | May 2021 (5y) | ||
| Brian Tuttle | Registered representative | May 2021 (5y) | ||
| Cortland Luster Golightly | Registered representative | May 2021 (5y) | ||
| James Joseph Kelble | Registered representative | May 2021 (5y) | ||
| Kenneth A Talentino | Registered representative | May 2021 (5y) | ||
| Mary Jean Robbins | Registered representative | May 2021 (5y) | ||
| Patrick Thomas English | Registered representative | May 2021 (5y) | ||
| Ricardo R Dacosta | Registered representative | May 2021 (5y) | ||
| Robert A Curtis | Registered representative | May 2021 (5y) | ||
| Steven Allyn Massey | Registered representative | May 2021 (5y) | ||
| Steven Michael Andrews | Registered representative | CFP | May 2021 (5y) | |
| Thomas Edward Lawnsby | Registered representative | May 2021 (5y) | ||
| Timothy John O'malley | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Timothy William Quill | Registered representative | May 2021 (5y) | ||
| David John Ross | Registered representative | May 2021 (5y) | ||
| Joseph S Zito | Registered representative | May 2021 (5y) | ||
| Matthew Joseph Cruz | Registered representative | May 2021 (5y) | ||
| Rosemary Neidermeyer | Registered representative | May 2021 (5y) | ||
| Alan Bendix Jensen | Registered representative | CFP | May 2021 (5y) | |
| Brent Jonathon Mowinski | Registered representative | CFP | May 2021 (5y) | |
| Tyler Westervelt Potts | Registered representative | May 2021 (5y) | ||
| David Michael Brunelle | Registered representative | May 2021 (5y) | ||
| Jessica Rogan Strini | Registered representative | May 2021 (5y) | ||
| Jennifer Marie Lugauer | Registered representative | May 2021 (5y) | ||
| Justin Wesley Powell | Registered representative | May 2021 (5y) | ||
| Kenneth Allen Wood | Registered representative | May 2021 (5y) | ||
| Maranda Bennett Lee | Registered representative | May 2021 (5y) | ||
| Mark Joseph Quercio | Registered representative | May 2021 (5y) | ||
| Troy Benjamin Stubbs | Registered representative | May 2021 (5y) | ||
| Cameron Earl Rice | Registered representative | May 2021 (5y) | ||
| Frank Christopher Adams | Registered representative | May 2021 (5y) | ||
| James Joseph Szykowny | Registered representative | May 2021 (5y) | ||
| Jeffrey Robert Mishol | Registered representative | May 2021 (5y) | ||
| Peter Joseph Cowen | Registered representative | May 2021 (5y) | ||
| Timothy D Rine | Registered representative | May 2021 (5y) | ||
| William Tyre Hendrix | Registered representative | May 2021 (5y) | ||
| Brian David Pelczarski | Registered representative | May 2021 (5y) | ||
| Daniel Decker Kundla | Registered representative | May 2021 (5y) | ||
| Gena Ann Barbato | Registered representative | May 2021 (5y) | ||
| Henri Louis Rocheleau | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Jeffrey S Schiffman | Registered representative | CFP | May 2021 (5y) | |
| Joan Gerarde Ripoli | Registered representative | May 2021 (5y) | ||
| Keith Allen Reardon | Registered representative | May 2021 (5y) | ||
| Mario Vizuet | Registered representative | May 2021 (5y) | ||
| Mary Elizabeth Woodward | Registered representative | May 2021 (5y) | ||
| Thomas Brian Davis | Registered representative | May 2021 (5y) | ||
| Zachary Michael Bombard | Registered representative | May 2021 (5y) | ||
| Eric Michael Delvo | Registered representative | May 2021 (5y) | ||
| Jyl Ann Barnard | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Peter J Beronio | Registered representative | May 2021 (5y) | ||
| Alicia Beth Curtis | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Charles William Moffitt | Registered representative | May 2021 (5y) | ||
| Erik Brian Spindler | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Robert C Hooker | Registered representative | May 2021 (5y) | ||
| Sotiraq Qirjollari | Registered representative | May 2021 (5y) | ||
| Zakaria Fourari | Registered representative | May 2021 (5y) | ||
| Alfred Carl Rich | Registered representative | May 2021 (5y) | ||
| Andrew D. Siegel | Registered representative | May 2021 (5y) | ||
| Brian Scott Jackson | Registered representative | May 2021 (5y) | ||
| Brooke Marie Angelovich | Registered representative | May 2021 (5y) | ||
| Gregory Daniel Bertagna | Registered representative | May 2021 (5y) | ||
| Jack Michael Dehaven | Registered representative | May 2021 (5y) | ||
| Kathryn Marie Cataldo | Registered representative | May 2021 (5y) | ||
| Manuel Alejandro De La Maza | Registered representative | May 2021 (5y) | ||
| Patrick George Armstrong | Registered representative | May 2021 (5y) | ||
| Christopher Easton Bradley | Registered representative | May 2021 (5y) | ||
| Garrett Barthelmes | Registered representative | May 2021 (5y) | ||
| Javier Ramos | Registered representative | May 2021 (5y) | ||
| Keith Stewart Kimberly | Registered representative | May 2021 (5y) | ||
| Michael Joseph Tolle | Registered representative | May 2021 (5y) | ||
| John Joseph Capece | Registered representative | May 2021 (5y) | ||
| John Paul Gauthier | Registered representative | May 2021 (5y) | ||
| Jordan Edwards | Registered representative | May 2021 (5y) | ||
| Xu Wan | Registered representative | May 2021 (5y) | ||
| Brent Kehrwecker | Registered representative | May 2021 (5y) | ||
| Richard Jason Winn | Registered representative | May 2021 (5y) | ||
| Steven Lawrence Halvorson | Registered representative | May 2021 (5y) | ||
| Bridget Arlene Mcdermott | Registered representative | May 2021 (5y) | ||
| John Savoie | Registered representative | CFP Chartered Financial Consultant | May 2021 (5y) | |
| Daniel James Kellogg | Registered representative | CFP | May 2021 (5y) | |
| Henry Aaron Greenberg | Registered representative | May 2021 (5y) | ||
| Jason Andrew Freeman | Registered representative | May 2021 (5y) | ||
| Attahjundwe Obiajulu | Registered representative | CFP | May 2021 (5y) | |
| Bilal Jibril Colbert | Registered representative | May 2021 (5y) | ||
| Claire Moscrop | Registered representative | May 2021 (5y) | ||
| Jeffrey Arthur Neel | Registered representative | May 2021 (5y) | ||
| Timothy Reid Bolinger | Registered representative | CFP | May 2021 (5y) | |
| Jeannie Polson Fowler | Registered representative | May 2021 (5y) | ||
| Kimberly Rachel Miller | Registered representative | May 2021 (5y) | ||
| Neal Gordon | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Scott Allen Thompson | Registered representative | May 2021 (5y) | ||
| Sean Michael Tomajan | Registered representative | CFP | May 2021 (5y) | |
| Sean T Pendrak | Registered representative | May 2021 (5y) | ||
| Andrew Paul Herbert | Registered representative | Jun 2021 (5y) | ||
| David Joseph Powell | Registered representative | Jun 2021 (5y) | ||
| Hao Du Lam | Registered representative | Jun 2021 (5y) | ||
| Kenneth K. Lee | Registered representative | Jun 2021 (5y) | ||
| Matthew Nicholas Rose | Registered representative | Jun 2021 (5y) | ||
| Michael Wayne Flewelling | Registered representative | Jun 2021 (5y) | ||
| Anthony Clarence Blauert | Registered representative | CFP | Jun 2021 (5y) | |
| Christopher John Byers | Registered representative | Jun 2021 (5y) | ||
| David Russell Allen | Registered representative | Jun 2021 (5y) | ||
| Jeffery Carlton Atwell | Registered representative | Jun 2021 (5y) | ||
| Jeremy Bossio | Registered representative | Jun 2021 (5y) | ||
| Melanie Ann Obura | Registered representative | Jun 2021 (5y) | ||
| Paul Richard Tencer | Registered representative | Jun 2021 (5y) | ||
| Peter James Moschak | Registered representative | Jun 2021 (5y) | ||
| Shane Christon Parouse | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Anthony Enrique Bird | Registered representative | Jun 2021 (5y) | ||
| Clinton Thomas Jones | Registered representative | Jun 2021 (5y) | ||
| Joshua Gilenson | Registered representative | Jun 2021 (5y) | ||
| Katherine Ann Ives | Registered representative | Jun 2021 (5y) | ||
| Michael Eugene Chapman | Registered representative | Jun 2021 (5y) | ||
| Rebecca Coleman Mirza | Registered representative | Jun 2021 (5y) | ||
| Christopher William Stevens | Registered representative | Jun 2021 (5y) | ||
| George Kostas Stambouloglou | Registered representative | Jun 2021 (5y) | ||
| Gregory Philip Boshart | Registered representative | Jun 2021 (5y) | ||
| Pankaj V Udeshi | Registered representative | Jun 2021 (5y) | ||
| Zachary Creed Scott | Registered representative | Jun 2021 (5y) | ||
| Jared Michael Tryon | Registered representative | CFA | Jun 2021 (5y) | |
| Sasson Afshari | Registered representative | Jun 2021 (5y) | ||
| Frank J Pizzichillo | Registered representative | Jun 2021 (5y) | ||
| Nicholas Quigley | Registered representative | Jun 2021 (5y) | ||
| Thomas J Schultz | Registered representative | Jun 2021 (5y) | ||
| Aimee Lynne Qualiana | Registered representative | Jun 2021 (5y) | ||
| Andre Jerome Brassard | Registered representative | Jun 2021 (5y) | ||
| Andrew Robert Fletcher | Registered representative | Jun 2021 (5y) | ||
| Anthony G Nick | Registered representative | Jun 2021 (5y) | ||
| Anthony Joseph Rossini | Registered representative | Jun 2021 (5y) | ||
| Autumn Lynzi Smith | Registered representative | Jun 2021 (5y) | ||
| Brian Allen Dowery | Registered representative | Jun 2021 (5y) | ||
| Brian John Mulvaney | Registered representative | Jun 2021 (5y) | ||
| Caitlin Mary Kahabka | Registered representative | Jun 2021 (5y) | ||
| Carlos A Ruiz | Registered representative | Jun 2021 (5y) | ||
| Chad N Germain | Registered representative | Jun 2021 (5y) | ||
| Christopher M Lops | Registered representative | Jun 2021 (5y) | ||
| Christopher Micah Pratt | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Christopher Thomas Fenton | Registered representative | CFP | Jun 2021 (5y) | |
| David Edward Dangler | Registered representative | Jun 2021 (5y) | ||
| Dean Martin Starr | Registered representative | Jun 2021 (5y) | ||
| Dominic Ruzzine | Registered representative | Jun 2021 (5y) | ||
| Dominick Carl Lanuti | Registered representative | Jun 2021 (5y) | ||
| Dustin Scott Witmer | Registered representative | CFP | Jun 2021 (5y) | |
| David Andrew Huhtala | Registered representative | CFP | Jun 2021 (5y) | |
| David Saffran | Registered representative | Jun 2021 (5y) | ||
| Edward Lisowski | Registered representative | CFP | Jun 2021 (5y) | |
| Edwin Libby Dooley | Registered representative | Jun 2021 (5y) | ||
| Eric S Wolf | Registered representative | Jun 2021 (5y) | ||
| Frank D Magri | Registered representative | Jun 2021 (5y) | ||
| Gerald Debenedictis | Registered representative | Jun 2021 (5y) | ||
| Ivaylo Nikolaev Tchoroleev | Registered representative | Jun 2021 (5y) | ||
| Jacob Boyce | Registered representative | Jun 2021 (5y) | ||
| Jacob Thomas Young | Registered representative | Jun 2021 (5y) | ||
| James Charles Polucha | Registered representative | CFP | Jun 2021 (5y) | |
| Jason Natale | Registered representative | Jun 2021 (5y) | ||
| Jeffrey Allen Bennett | Registered representative | Jun 2021 (5y) | ||
| Jenienne Miniter Fagan | Registered representative | Jun 2021 (5y) | ||
| Jenny Lynn Logsdon | Registered representative | CFP | Jun 2021 (5y) | |
| Jeremy Sauers | Registered representative | Jun 2021 (5y) | ||
| Joanne Letizia Meier | Registered representative | Jun 2021 (5y) | ||
| John Andrew Feeley | Registered representative | CFP | Jun 2021 (5y) | |
| John Bryant Lackovic | Registered representative | Jun 2021 (5y) | ||
| John Carl Nolt | Registered representative | Jun 2021 (5y) | ||
| John Francis Fabrizio | Registered representative | Jun 2021 (5y) | ||
| Joseph Pat Loschiavo | Registered representative | Jun 2021 (5y) | ||
| Jennifer Wood Burmeister | Registered representative | Jun 2021 (5y) | ||
| Justin Staie | Registered representative | Jun 2021 (5y) | ||
| Kari E Kroll | Registered representative | CFP | Jun 2021 (5y) | |
| Katie Lynn Catanzaro | Registered representative | Jun 2021 (5y) | ||
| Katy E Cleary | Registered representative | Jun 2021 (5y) | ||
| Kwun (Kevin) Yue Wong | Registered representative | Jun 2021 (5y) | ||
| Kenneth Greenwood | Registered representative | Jun 2021 (5y) | ||
| Khalila Taji Brokos | Registered representative | Jun 2021 (5y) | ||
| Larry Eugene Bloomer | Registered representative | Jun 2021 (5y) | ||
| Laura Mary O'geen | Registered representative | Jun 2021 (5y) | ||
| Lee Vincent Demma | Registered representative | Jun 2021 (5y) | ||
| Leesa Michelle Mereider | Registered representative | Jun 2021 (5y) | ||
| Linda Hobson Schwab | Registered representative | Jun 2021 (5y) | ||
| Luis A Romano | Registered representative | Jun 2021 (5y) | ||
| Marina Townsend | Registered representative | Jun 2021 (5y) | ||
| Matthew Philip Unger | Registered representative | Jun 2021 (5y) | ||
| Michael A Day | Registered representative | CFP | Jun 2021 (5y) | |
| Michael Frederick Pasco | Registered representative | Jun 2021 (5y) | ||
| Michael Joseph Viscosi | Registered representative | Jun 2021 (5y) | ||
| Michael Thomas Farquharson | Registered representative | CFP | Jun 2021 (5y) | |
| Michael Van Housen | Registered representative | Jun 2021 (5y) | ||
| Michael Viscardi | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Mikhail Abuzov | Registered representative | Jun 2021 (5y) | ||
| Michael Lentini | Registered representative | Jun 2021 (5y) | ||
| Natasha Amethyst Wilbur | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Nicholas L Popovec | Registered representative | Jun 2021 (5y) | ||
| Peter David George | Registered representative | Jun 2021 (5y) | ||
| Robert David Budde | Registered representative | CFP | Jun 2021 (5y) | |
| Robert Stedman Watson | Registered representative | Jun 2021 (5y) | ||
| Rocco Thomas Lattanzi | Registered representative | Jun 2021 (5y) | ||
| Ryan Scott Appleby | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Ryan Michael Keegan | Registered representative | Jun 2021 (5y) | ||
| Scott Alan Mcbride | Registered representative | Jun 2021 (5y) | ||
| Sharon Lynn Hobaugh | Registered representative | Jun 2021 (5y) | ||
| Stanley John Chronowski | Registered representative | Jun 2021 (5y) | ||
| Steven Louis Cavagnaro | Registered representative | Jun 2021 (5y) | ||
| Susan J Nieznanski | Registered representative | CFP | Jun 2021 (5y) | |
| Tammy L Panagos | Registered representative | Jun 2021 (5y) | ||
| Theodore Prout Reynolds | Registered representative | Jun 2021 (5y) | ||
| Thomas Dennis Martin | Registered representative | Jun 2021 (5y) | ||
| Timothy P Clouden | Registered representative | Jun 2021 (5y) | ||
| Tina Marie Powers | Registered representative | CFP | Jun 2021 (5y) | |
| Toby Scott Kline | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| William Kenneth Lundstrom | Registered representative | Jun 2021 (5y) | ||
| William Parisi | Registered representative | Jun 2021 (5y) | ||
| Daniel William Meyer | Registered representative | Jun 2021 (5y) | ||
| Lynn Anita Misner | Registered representative | Jun 2021 (5y) | ||
| Michele Elaina Wintersteen | Registered representative | Jun 2021 (5y) | ||
| Romer Mendez | Registered representative | Jun 2021 (5y) | ||
| Michael Robert Mailey | Registered representative | Jun 2021 (5y) | ||
| Samantha Brookes | Registered representative | Jun 2021 (5y) | ||
| Thomas Anthony Sconzo | Registered representative | Jun 2021 (5y) | ||
| Mark Calvin Gillelen | Registered representative | Jun 2021 (5y) | ||
| Paige Dael Hickman | Registered representative | Jun 2021 (5y) | ||
| Robert G Walker | Registered representative | Jun 2021 (5y) | ||
| Liam Patrick Vincent | Registered representative | Jun 2021 (5y) | ||
| Rhonda Ann Carr | Registered representative | Jun 2021 (5y) | ||
| Maximo Joseph Minervini | Registered representative | Jun 2021 (5y) | ||
| Regina Louise Banks | Registered representative | Jun 2021 (5y) | ||
| Larry Demar Boggs | Registered representative | Jun 2021 (5y) | ||
| Les James Miller | Registered representative | Jun 2021 (5y) | ||
| Mirjhana Alyce Buck | Registered representative | Jun 2021 (5y) | ||
| Patsy Anne Stullenbarger | Registered representative | CFP | Jun 2021 (5y) | |
| Richard Chadwick Davis | Registered representative | CFP | Jun 2021 (5y) | |
| Stephanie Kay Hescher | Registered representative | Jun 2021 (5y) | ||
| Steven Michael Stroup | Registered representative | Jun 2021 (5y) | ||
| Theresa Anne Damico | Registered representative | Jun 2021 (5y) | ||
| Thomas Joseph Harden | Registered representative | Jun 2021 (5y) | ||
| Zachary Christopher Williams | Registered representative | Jun 2021 (5y) | ||
| Alan Haruo Kodama | Registered representative | Jun 2021 (5y) | ||
| Anne Iannone Crowe | Registered representative | Jun 2021 (5y) | ||
| Carter E Chotin | Registered representative | Jun 2021 (5y) | ||
| John Toshio Araki | Registered representative | Jun 2021 (5y) | ||
| Matthew James Meek | Registered representative | Jun 2021 (5y) | ||
| Michael J Minervini | Registered representative | Jun 2021 (5y) | ||
| Michael Robert Rose | Registered representative | Jun 2021 (5y) | ||
| Roselyn Laurie Ann Antonio | Registered representative | Jun 2021 (5y) | ||
| Anthony N. Sivillo | Registered representative | Jun 2021 (5y) | ||
| Chris Yvette Potts | Registered representative | Jun 2021 (5y) | ||
| Eric Gerard Hosie | Registered representative | CFP | Jun 2021 (5y) | |
| Gregory Alan Jones | Registered representative | Jun 2021 (5y) | ||
| Jill Little Mumaw | Registered representative | Jun 2021 (5y) | ||
| Jonathan Richard Ferrell | Registered representative | Jun 2021 (5y) | ||
| Julie Mae Matthews Salvo | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| John Konefal | Registered representative | Jun 2021 (5y) | ||
| Letizia Josephine Centini | Registered representative | Jun 2021 (5y) | ||
| Lisa Ann Shilko | Registered representative | Jun 2021 (5y) | ||
| Michael David Webb | Registered representative | Jun 2021 (5y) | ||
| Michael Everardo Camacho | Registered representative | Jun 2021 (5y) | ||
| Susan Kay Hoyt | Registered representative | Jun 2021 (5y) | ||
| William Michael Horan | Registered representative | Jun 2021 (5y) | ||
| Christiana Lynn Chambers Lovelace | Registered representative | Jun 2021 (5y) | ||
| Katherine Ann Holcomb | Registered representative | Jun 2021 (5y) | ||
| Patricia Wojtonek Gioitta | Registered representative | Jun 2021 (5y) | ||
| Ramilo Ramos Reyes | Registered representative | Jun 2021 (5y) | ||
| Sathya Chey Patterson | Registered representative | CFP | Jun 2021 (5y) | |
| Steven Neil Carlsen | Registered representative | Jun 2021 (5y) | ||
| Pamela L. Dickson | Registered representative | Jun 2021 (5y) | ||
| Kimberly Jean Heavner | Registered representative | CFP | Jun 2021 (5y) | |
| Joseph Dennis Roddy | Registered representative | CFP | Jun 2021 (5y) | |
| Jacquelyn F Cloutier | Registered representative | Jun 2021 (5y) | ||
| Marty Monahan | Registered representative | CFP | Jun 2021 (5y) | |
| Racey Alan Morris | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Stephen P Mayer | Registered representative | CFP | Jun 2021 (5y) | |
| Tina Louise Wells Lee | Registered representative | CFP | Jun 2021 (5y) | |
| Anthony Edward Sementelli | Registered representative | Jun 2021 (5y) | ||
| Charles Upchurch | Registered representative | Jun 2021 (5y) | ||
| Denny Leon Breneman | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Philip John Schulte | Registered representative | Jun 2021 (5y) | ||
| Duane William Sunby | Registered representative | Jun 2021 (5y) | ||
| Everett Wayne Ice | Registered representative | CFP | Jun 2021 (5y) | |
| Kelly S Ernico | Registered representative | Jun 2021 (5y) | ||
| Matthew James Reichel | Registered representative | Jun 2021 (5y) | ||
| Sean Michael Jones | Registered representative | Jun 2021 (5y) | ||
| Todd Hayden Green | Registered representative | CFP | Jun 2021 (5y) | |
| Joseph Fennell Myer | Registered representative | Jul 2021 (5y) | ||
| Jason Scott Cohen | Registered representative | CFP | Jul 2021 (5y) | |
| Jordan Scott Kraus | Registered representative | CFP | Jul 2021 (5y) | |
| Keith James Broussard | Registered representative | Jul 2021 (5y) | ||
| Marcel Richard Morin | Registered representative | Jul 2021 (5y) | ||
| Michael Edward Short | Registered representative | Jul 2021 (5y) | ||
| Timothy Boyle Murphy | Registered representative | Jul 2021 (5y) | ||
| Matthew Lester Lantz | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Weston Gorman | Registered representative | Jul 2021 (5y) | ||
| Justine Donna Elie | Registered representative | Jul 2021 (5y) | ||
| Mary Kathleen Van Sickle | Registered representative | Jul 2021 (5y) | ||
| Michael David Jankowski | Registered representative | Jul 2021 (5y) | ||
| Michael Jeffrey Nevills | Registered representative | Jul 2021 (5y) | ||
| Denver Haddix | Registered representative | Jul 2021 (5y) | ||
| Robert Whitley Allen | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Jena Crawford | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Yi Weng | Registered representative | Jul 2021 (5y) | ||
| John P Mccabe | Registered representative | Jul 2021 (5y) | ||
| Angela Dee Banicki | Registered representative | Jul 2021 (5y) | ||
| Esai James Ferguson | Registered representative | Jul 2021 (5y) | ||
| Kosta Tanglis | Registered representative | Jul 2021 (5y) | ||
| Steven Anthony Corrado | Registered representative | Jul 2021 (5y) | ||
| Nicole Renee Farrell | Registered representative | Jul 2021 (5y) | ||
| Ryan James West | Registered representative | Jul 2021 (5y) | ||
| Wade Arthur Olson | Registered representative | CFP | Jul 2021 (5y) | |
| Benjamin Charles Davis | Registered representative | Jul 2021 (5y) | ||
| Charles Lee Plog | Registered representative | Jul 2021 (5y) | ||
| Dirk Alden Brown | Registered representative | Jul 2021 (5y) | ||
| Ira Gerald Turpin | Registered representative | Jul 2021 (5y) | ||
| James Anthony Stark | Registered representative | Jul 2021 (5y) | ||
| Jared Seth Harper | Registered representative | Jul 2021 (5y) | ||
| John Joseph Evers | Registered representative | Jul 2021 (5y) | ||
| Kyle Hardee Smith | Registered representative | CFP | Jul 2021 (5y) | |
| Michael James Sandlin | Registered representative | CFP | Jul 2021 (5y) | |
| Charity Renee Helvie | Registered representative | Jul 2021 (5y) | ||
| James Aloysius Cooper | Registered representative | Jul 2021 (5y) | ||
| Jodie Ann Cohen Potter | Registered representative | Jul 2021 (5y) | ||
| Steven Lance Bailin | Registered representative | Jul 2021 (5y) | ||
| Andrew Thomas Ames | Registered representative | CFP | Jul 2021 (5y) | |
| Anthony Lemon | Registered representative | Jul 2021 (5y) | ||
| Corey Lewis Holcomb | Registered representative | Jul 2021 (5y) | ||
| Jed Gunner Blackburn | Registered representative | Jul 2021 (5y) | ||
| Lawrence James Griest | Registered representative | Jul 2021 (5y) | ||
| Mason Jack Clark | Registered representative | Jul 2021 (5y) | ||
| Roberto Montes | Registered representative | Jul 2021 (5y) | ||
| Austin Orr | Registered representative | Jul 2021 (5y) | ||
| Cassandra Bogaards | Registered representative | Jul 2021 (5y) | ||
| Gregory Hampton Judge | Registered representative | Jul 2021 (5y) | ||
| Aaron David Devos | Registered representative | CFP | Jul 2021 (5y) | |
| Aaron Matthew Hill | Registered representative | CFP | Jul 2021 (5y) | |
| Aaron William Seyfried | Registered representative | CFP | Jul 2021 (5y) | |
| Abbie Lee Jett | Registered representative | Jul 2021 (5y) | ||
| Adam Jay Mach | Registered representative | CFP | Jul 2021 (5y) | |
| Adrian Chouinard Neal | Registered representative | Jul 2021 (5y) | ||
| Ailen Younanpour | Registered representative | Jul 2021 (5y) | ||
| Alan Lao | Registered representative | Jul 2021 (5y) | ||
| Alan Reed Null | Registered representative | Jul 2021 (5y) | ||
| Alan Wesley Mooneyham | Registered representative | CFP | Jul 2021 (5y) | |
| Alberto Torres | Registered representative | Jul 2021 (5y) | ||
| Alex John Vonderhaar | Registered representative | CFP | Jul 2021 (5y) | |
| Alex Philip Marusarz | Registered representative | CFP | Jul 2021 (5y) | |
| Alex Steven Vermillion | Registered representative | Jul 2021 (5y) | ||
| Alexander Hilton Westberry | Registered representative | CFP | Jul 2021 (5y) | |
| Alexandra Tiverios Clemow | Registered representative | Jul 2021 (5y) | ||
| Alfred Steven Nicolosi | Registered representative | Jul 2021 (5y) | ||
| Alisonn Lea Best | Registered representative | CFP | Jul 2021 (5y) | |
| Allan David Telech | Registered representative | Jul 2021 (5y) | ||
| Allison Marjorie Bakke | Registered representative | Jul 2021 (5y) | ||
| Alyson Skodack Burkett | Registered representative | Jul 2021 (5y) | ||
| Alyssa Jo Connor | Registered representative | Jul 2021 (5y) | ||
| Amy Dill Flores Velasquez | Registered representative | Jul 2021 (5y) | ||
| Amy Lynn Mckinley | Registered representative | Jul 2021 (5y) | ||
| Amy R Cook | Registered representative | CFP | Jul 2021 (5y) | |
| Andre Aflalo | Registered representative | Jul 2021 (5y) | ||
| Andrea Howe Moran | Registered representative | Jul 2021 (5y) | ||
| Andrew Arnold Koistinen | Registered representative | Jul 2021 (5y) | ||
| Andrew Burton Stone | Registered representative | CFP | Jul 2021 (5y) | |
| Andrew James Beshuk | Registered representative | Jul 2021 (5y) | ||
| Andrew John Fleming | Registered representative | CFP | Jul 2021 (5y) | |
| Andrew Joseph Bascom | Registered representative | CFP | Jul 2021 (5y) | |
| Andrew Keith Mac Laren | Registered representative | CFP | Jul 2021 (5y) | |
| Andrew Kenneth Fortuna | Registered representative | Jul 2021 (5y) | ||
| Andrew Leroy Jones | Registered representative | CFP | Jul 2021 (5y) | |
| Andrew Paul Hein | Registered representative | CFP | Jul 2021 (5y) | |
| Andrew Peter Schelitzche | Registered representative | CFP Chartered Financial Consultant | Jul 2021 (5y) | |
| Andrew Wayne Bopra | Registered representative | CFP | Jul 2021 (5y) | |
| Angela Diane Robinson | Registered representative | CFP Chartered Financial Consultant | Jul 2021 (5y) | |
| Angela Marie Granquist | Registered representative | CFP | Jul 2021 (5y) | |
| Angela Rachelle Mcgraw | Registered representative | Jul 2021 (5y) | ||
| Ann Marie Escobar | Registered representative | Jul 2021 (5y) | ||
| Ann Marie Strunk | Registered representative | Jul 2021 (5y) | ||
| Anna Marie Martello | Registered representative | Jul 2021 (5y) | ||
| Anne Margaret Holy | Registered representative | Jul 2021 (5y) | ||
| Anneliese Margot Johnson | Registered representative | Jul 2021 (5y) | ||
| Anthony Christopher Flax | Registered representative | Jul 2021 (5y) | ||
| Anthony Lee Pike | Registered representative | Jul 2021 (5y) | ||
| April Nicole Vonfeldt | Registered representative | Jul 2021 (5y) | ||
| Aric Robert Harrington | Registered representative | Jul 2021 (5y) | ||
| Arthur Aleksandor Peske | Registered representative | Jul 2021 (5y) | ||
| August Frank Malekovich | Registered representative | Jul 2021 (5y) | ||
| Austin Thomas Kurth | Registered representative | Jul 2021 (5y) | ||
| Albert Tyler Tynes | Registered representative | Jul 2021 (5y) | ||
| Alecia Lynn Agnew | Registered representative | Jul 2021 (5y) | ||
| Allen R Fidler | Registered representative | Jul 2021 (5y) | ||
| Andrew J Miesbach | Registered representative | Jul 2021 (5y) | ||
| Anna Kristine Jacobs | Registered representative | Jul 2021 (5y) | ||
| Anthony Eugene Urrutia | Registered representative | Jul 2021 (5y) | ||
| Anthony Matthew Marchitto | Registered representative | Jul 2021 (5y) | ||
| Balaji Rao | Registered representative | Jul 2021 (5y) | ||
| Barbara Lyn Sabol Rosasco | Registered representative | Jul 2021 (5y) | ||
| Barbara Roland Sekely | Registered representative | Jul 2021 (5y) | ||
| Benhur Nelson Fernandes | Registered representative | Jul 2021 (5y) | ||
| Benjamin Alfred Lemon | Registered representative | CFP | Jul 2021 (5y) | |
| Benjamin Arthur Clifford | Registered representative | CFP | Jul 2021 (5y) | |
| Benjamin Forrest Guizlo | Registered representative | Jul 2021 (5y) | ||
| Benjamin Froyen Haddorff | Registered representative | Jul 2021 (5y) | ||
| Benjamin James Jacoby | Registered representative | Jul 2021 (5y) | ||
| Benjamin John Warrick | Registered representative | CFA | Jul 2021 (5y) | |
| Benjamin Julio Lecroy | Registered representative | Jul 2021 (5y) | ||
| Benjamin Lee Farrell | Registered representative | Jul 2021 (5y) | ||
| Beth Ann O'malley | Registered representative | Jul 2021 (5y) | ||
| Betty Messer Vargas | Registered representative | CFP | Jul 2021 (5y) | |
| Bobbi Barbera | Registered representative | Jul 2021 (5y) | ||
| Bonham Edwin Freeman | Registered representative | Jul 2021 (5y) | ||
| Bonnie Lynn Staniewicz | Registered representative | CFP | Jul 2021 (5y) | |
| Boyd James Seidler | Registered representative | Jul 2021 (5y) | ||
| Brad Douglas Currie | Registered representative | Jul 2021 (5y) | ||
| Brad Ronald Freitag | Registered representative | CFP | Jul 2021 (5y) | |
| Bradford Richard Kidd | Registered representative | Jul 2021 (5y) | ||
| Bradley Alan Paul | Registered representative | Jul 2021 (5y) | ||
| Bradley Wyatt Hall | Registered representative | CFP | Jul 2021 (5y) | |
| Brady Wayne Wilkins | Registered representative | Jul 2021 (5y) | ||
| Braedon James Nielsen | Registered representative | Jul 2021 (5y) | ||
| Brandon Allen Barkosky | Registered representative | Jul 2021 (5y) | ||
| Brandon Erik Knopf | Registered representative | CFP | Jul 2021 (5y) | |
| Brandon Kent Ebert | Registered representative | Jul 2021 (5y) | ||
| Brandon Schpero Pepe | Registered representative | CFP | Jul 2021 (5y) | |
| Brea Joy Hutchinson | Registered representative | Jul 2021 (5y) | ||
| Brenda Louise Way Rubino | Registered representative | Jul 2021 (5y) | ||
| Brent Duane Scott | Registered representative | Jul 2021 (5y) | ||
| Brent Temme Wagner | Registered representative | Jul 2021 (5y) | ||
| Brett Allen Klein | Registered representative | Jul 2021 (5y) | ||
| Brett Matthew Ramsey | Registered representative | CFP | Jul 2021 (5y) | |
| Brian Carl Davis | Registered representative | CFP | Jul 2021 (5y) | |
| Brian David Vankeuren | Registered representative | Jul 2021 (5y) | ||
| Brian Donald Collins | Registered representative | Jul 2021 (5y) | ||
| Brian Jeoffrey Munson | Registered representative | Jul 2021 (5y) | ||
| Brian Joe Gerrans | Registered representative | CFP | Jul 2021 (5y) | |
| Brian Johnson Scott | Registered representative | Jul 2021 (5y) | ||
| Brian Lee Rincker | Registered representative | CFP | Jul 2021 (5y) | |
| Brian Phillip Skinner | Registered representative | CFP | Jul 2021 (5y) | |
| Brian Robert Sardelli | Registered representative | Jul 2021 (5y) | ||
| Brian Scott Machiela | Registered representative | CFP | Jul 2021 (5y) | |
| Brian Stephen Lethert | Registered representative | Jul 2021 (5y) | ||
| Brian Thomas Horn | Registered representative | Jul 2021 (5y) | ||
| Brian Victor Hsieh | Registered representative | Jul 2021 (5y) | ||
| Brian Wade Schaap | Registered representative | CFP | Jul 2021 (5y) | |
| Bridget Mary Sullivan | Registered representative | Jul 2021 (5y) | ||
| Britt Arthur Stephens | Registered representative | Jul 2021 (5y) | ||
| Brittany Marie Dean | Registered representative | Jul 2021 (5y) | ||
| Brook Lynn Holzinger | Registered representative | Jul 2021 (5y) | ||
| Bruce J Phillips | Registered representative | Jul 2021 (5y) | ||
| Bryan Keith Bowles | Registered representative | Jul 2021 (5y) | ||
| Bryan Lee Hendrickson | Registered representative | Jul 2021 (5y) | ||
| Bryan Richard Sarracino | Registered representative | Jul 2021 (5y) | ||
| Burk Wayne Rowley | Registered representative | Jul 2021 (5y) | ||
| Benjamin Alexander Ward | Registered representative | Jul 2021 (5y) | ||
| Benjamin Sambo Equitan | Registered representative | Jul 2021 (5y) | ||
| Blake Elliott Smith | Registered representative | CFP | Jul 2021 (5y) | |
| Breland Isaiah Burns | Registered representative | CFP | Jul 2021 (5y) | |
| Bruce Daniel Barron | Registered representative | Jul 2021 (5y) | ||
| Bryce William Schneidt Hill | Registered representative | Jul 2021 (5y) | ||
| Calvin Joseph Park | Registered representative | Jul 2021 (5y) | ||
| Cameron Bryce Fraker | Registered representative | CFP | Jul 2021 (5y) | |
| Cameron Cole Valadez | Registered representative | CFP | Jul 2021 (5y) | |
| Cameron Joseph Pumphrey | Registered representative | Jul 2021 (5y) | ||
| Candra Lynn Oakes Niswanger | Registered representative | Jul 2021 (5y) | ||
| Cari Elizabeth Bakken | Registered representative | Jul 2021 (5y) | ||
| Carl Andrew Russell | Registered representative | Jul 2021 (5y) | ||
| Carla Sue Forney | Registered representative | Jul 2021 (5y) | ||
| Carol Ann Sarracino | Registered representative | Jul 2021 (5y) | ||
| Carol Lee Nussbaumer | Registered representative | Jul 2021 (5y) | ||
| Carole Ann Lane | Registered representative | Jul 2021 (5y) | ||
| Carole Jane Hanson | Registered representative | Jul 2021 (5y) | ||
| Carolyn J Abshier | Registered representative | Jul 2021 (5y) | ||
| Carrie Jean Kelley | Registered representative | CFP | Jul 2021 (5y) | |
| Casey Robert Collins | Registered representative | Jul 2021 (5y) | ||
| Cassandra Ann Spitzer | Registered representative | CFP | Jul 2021 (5y) | |
| Catherine Elizabeth Schwartz | Registered representative | CFP | Jul 2021 (5y) | |
| Chad John Carter Hooker | Registered representative | Jul 2021 (5y) | ||
| Chad Michael Martens | Registered representative | Jul 2021 (5y) | ||
| Chadwick Daniel Richards | Registered representative | Jul 2021 (5y) | ||
| Charles Alan Griffith | Registered representative | CFP | Jul 2021 (5y) | |
| Charles Allen Previs | Registered representative | Jul 2021 (5y) | ||
| Charles Anthony Marselli | Registered representative | Jul 2021 (5y) | ||
| Charles Daniel Montgomery | Registered representative | Jul 2021 (5y) | ||
| Charles Russell Mckinney | Registered representative | Jul 2021 (5y) | ||
| Chase Tanner Newell | Registered representative | Jul 2021 (5y) | ||
| Cheryl Lynn Marquez | Registered representative | CFP | Jul 2021 (5y) | |
| Chet Allen Bigley | Registered representative | Jul 2021 (5y) | ||
| Christian Michael Goeke | Registered representative | CFP | Jul 2021 (5y) | |
| Christina Sue Cobb | Registered representative | Jul 2021 (5y) | ||
| Christine Ann Over | Registered representative | Jul 2021 (5y) | ||
| Christine Diane Pawlenty | Registered representative | Jul 2021 (5y) | ||
| Christine Forter | Registered representative | Jul 2021 (5y) | ||
| Christopher Albert Dulovich | Registered representative | Jul 2021 (5y) | ||
| Christopher D Mcsherry | Registered representative | Jul 2021 (5y) | ||
| Christopher David Frey | Registered representative | Jul 2021 (5y) | ||
| Christopher Edmond Gavin | Registered representative | Jul 2021 (5y) | ||
| Christopher John James | Registered representative | Jul 2021 (5y) | ||
| Christopher John Woodall Kraft | Registered representative | Jul 2021 (5y) | ||
| Christopher Lawrence Hall | Registered representative | Jul 2021 (5y) | ||
| Christopher Matthew Scelsa | Registered representative | Jul 2021 (5y) | ||
| Christopher Michael Funke | Registered representative | CFP | Jul 2021 (5y) | |
| Christopher Michael Koppen | Registered representative | Jul 2021 (5y) | ||
| Christopher Robert Darnell | Registered representative | Jul 2021 (5y) | ||
| Christopher S Pulos | Registered representative | Jul 2021 (5y) | ||
| Christopher Washington | Registered representative | Jul 2021 (5y) | ||
| Cindie Kay Jones | Registered representative | CFP | Jul 2021 (5y) | |
| Clayton Parrish Munal | Registered representative | Jul 2021 (5y) | ||
| Cody Shane Crews | Registered representative | CFP | Jul 2021 (5y) | |
| Cody Wilson Roulier | Registered representative | Jul 2021 (5y) | ||
| Cole Lawrence Mills | Registered representative | CFP | Jul 2021 (5y) | |
| Colin Michael Luke | Registered representative | Jul 2021 (5y) | ||
| Colleen Nell Lenard | Registered representative | Jul 2021 (5y) | ||
| Colleen R Tirpak | Registered representative | Jul 2021 (5y) | ||
| Colton Allen Godbout | Registered representative | Jul 2021 (5y) | ||
| Connor Thomas Osborne | Registered representative | Jul 2021 (5y) | ||
| Cory Lee Grandel | Registered representative | Jul 2021 (5y) | ||
| Cory Lynn Mettlen | Registered representative | Jul 2021 (5y) | ||
| Craig Andrew Clements | Registered representative | Jul 2021 (5y) | ||
| Craig Douglas Munson | Registered representative | Jul 2021 (5y) | ||
| Craig Franklin Bolling | Registered representative | Jul 2021 (5y) | ||
| Craig Robert Marcum | Registered representative | Jul 2021 (5y) | ||
| Craig Scott Wilson | Registered representative | Jul 2021 (5y) | ||
| Craig Stuart Johlfs | Registered representative | CFP | Jul 2021 (5y) | |
| Craig Wayne Burgess | Registered representative | Jul 2021 (5y) | ||
| Cristee Olinger Coates | Registered representative | Jul 2021 (5y) | ||
| Crystal Renee Kay | Registered representative | Jul 2021 (5y) | ||
| Curtis Caine Shirey | Registered representative | CFP | Jul 2021 (5y) | |
| Cynda Lou Wright | Registered representative | Jul 2021 (5y) | ||
| Cynthia Kay Sheppard | Registered representative | Jul 2021 (5y) | ||
| Cynthia Lou Gibson | Registered representative | CFP | Jul 2021 (5y) | |
| Christopher Donald Mc Donald | Registered representative | Jul 2021 (5y) | ||
| Clayton Isaac Cope | Registered representative | Jul 2021 (5y) | ||
| Cody Richard St John | Registered representative | Jul 2021 (5y) | ||
| Collin Thomas Miller | Registered representative | CFP | Jul 2021 (5y) | |
| Corey Adam Blacker | Registered representative | Jul 2021 (5y) | ||
| Craig Michael Cooper | Registered representative | Jul 2021 (5y) | ||
| Cynthia Rene Nagel | Registered representative | Jul 2021 (5y) | ||
| Dale William Von Hoffmann | Registered representative | Jul 2021 (5y) | ||
| Dalton Herbert Brown | Registered representative | Jul 2021 (5y) | ||
| Dana Jeane Winters | Registered representative | Jul 2021 (5y) | ||
| Dana Joseph Kiene | Registered representative | Jul 2021 (5y) | ||
| Dana Michelle Johnson | Registered representative | Jul 2021 (5y) | ||
| Dane Christopher Kelly | Registered representative | Jul 2021 (5y) | ||
| Daniel Allen Berg | Registered representative | Jul 2021 (5y) | ||
| Daniel James Chung | Registered representative | Jul 2021 (5y) | ||
| Daniel John Lowis | Registered representative | Jul 2021 (5y) | ||
| Daniel John Portman | Registered representative | Jul 2021 (5y) | ||
| Daniel Joseph Fulfer | Registered representative | Jul 2021 (5y) | ||
| Daniel Joseph Mahle | Registered representative | Jul 2021 (5y) | ||
| Daniel Kelly Neice | Registered representative | CFP | Jul 2021 (5y) | |
| Daniel Mark Benster | Registered representative | Jul 2021 (5y) | ||
| Daniel Ray Valenzuela | Registered representative | CFP | Jul 2021 (5y) | |
| Daniel Richard Kayser | Registered representative | Jul 2021 (5y) | ||
| Daniel Scott Ramsey | Registered representative | CFP | Jul 2021 (5y) | |
| Daniel Stewart Clark | Registered representative | Jul 2021 (5y) | ||
| Daniel Thomas Coil | Registered representative | CFP | Jul 2021 (5y) | |
| Daniel Thomas Ritter | Registered representative | CFP | Jul 2021 (5y) | |
| Darci Ann Kelley | Registered representative | Jul 2021 (5y) | ||
| Darin Jay Hammerschmidt | Registered representative | CFP | Jul 2021 (5y) | |
| Darin Russell Carroll | Registered representative | CFP | Jul 2021 (5y) | |
| Darren Dean Overlie | Registered representative | Jul 2021 (5y) | ||
| Darren Layne Meyer | Registered representative | Jul 2021 (5y) | ||
| Darryl Stephen Lewis | Registered representative | Jul 2021 (5y) | ||
| Daryce Diann Wyborney | Registered representative | CFP | Jul 2021 (5y) | |
| David Allen Stockton | Registered representative | Jul 2021 (5y) | ||
| David Allen Wroblewski | Registered representative | Jul 2021 (5y) | ||
| David Clement Poskin | Registered representative | Jul 2021 (5y) | ||
| David Gregory Lytle | Registered representative | Jul 2021 (5y) | ||
| David James Ansbro | Registered representative | CFP | Jul 2021 (5y) | |
| David John Cooke | Registered representative | Jul 2021 (5y) | ||
| David Lyle Disch | Registered representative | Jul 2021 (5y) | ||
| David Maurice Ballard | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| David Terry Mackay | Registered representative | CFP | Jul 2021 (5y) | |
| David William Draper | Registered representative | Jul 2021 (5y) | ||
| David William Reichert | Registered representative | CFP | Jul 2021 (5y) | |
| Dean Alan Mourfield | Registered representative | Jul 2021 (5y) | ||
| Dean Bernard Chalela | Registered representative | Jul 2021 (5y) | ||
| Dean Lee Zortman | Registered representative | Jul 2021 (5y) | ||
| Dean Thomas Morgan | Registered representative | Jul 2021 (5y) | ||
| Deanna Jo Sporhase | Registered representative | Jul 2021 (5y) | ||
| Deborah Hicks Chinnapillai | Registered representative | Jul 2021 (5y) | ||
| Debra Lee Caffrey | Registered representative | CFP | Jul 2021 (5y) | |
| Debra Rae Schilling | Registered representative | Jul 2021 (5y) | ||
| Dedra L Goodenough | Registered representative | Jul 2021 (5y) | ||
| Deirdre Yvonne Barnes | Registered representative | Jul 2021 (5y) | ||
| Delbar Jahanian | Registered representative | Jul 2021 (5y) | ||
| Dena Lorraine Debenedetti | Registered representative | Jul 2021 (5y) | ||
| Denise Anne Deleo | Registered representative | Jul 2021 (5y) | ||
| Denise Diane Brandon | Registered representative | Jul 2021 (5y) | ||
| Denise Marie Satterthwaite | Registered representative | CFP | Jul 2021 (5y) | |
| Derek Angelo Butler | Registered representative | Jul 2021 (5y) | ||
| Derek Jon Iverson | Registered representative | Jul 2021 (5y) | ||
| Derik Clay Heimerdinger | Registered representative | Jul 2021 (5y) | ||
| Derik Justin Reikofski | Registered representative | Jul 2021 (5y) | ||
| Derrick Scott Duncan | Registered representative | Jul 2021 (5y) | ||
| Devan Alyce Lowe | Registered representative | CFP | Jul 2021 (5y) | |
| Diana Marie Whitaker | Registered representative | Jul 2021 (5y) | ||
| Diane Muree Chamberlain | Registered representative | Jul 2021 (5y) | ||
| Diane Ruth Twedt Griffith | Registered representative | Jul 2021 (5y) | ||
| Dominic Cruz Rebelo | Registered representative | Jul 2021 (5y) | ||
| Donald Bernard Cleo Rosen | Registered representative | CFP | Jul 2021 (5y) | |
| Donald John Eich | Registered representative | Jul 2021 (5y) | ||
| Donald Thomas Montgomery | Registered representative | Jul 2021 (5y) | ||
| Donna Marie Denoncourt | Registered representative | Jul 2021 (5y) | ||
| Donna Marie Gruber | Registered representative | Jul 2021 (5y) | ||
| Donovan Troy Jackson | Registered representative | CFP | Jul 2021 (5y) | |
| Douglas Anthony Beehler | Registered representative | Jul 2021 (5y) | ||
| Douglas Bruce St John | Registered representative | Jul 2021 (5y) | ||
| Douglas Chad Cap | Registered representative | Jul 2021 (5y) | ||
| Douglas Donald Whitener | Registered representative | Jul 2021 (5y) | ||
| Douglas Edward Hardin | Registered representative | Jul 2021 (5y) | ||
| Douglas Karl Heilman | Registered representative | Jul 2021 (5y) | ||
| Douglas Michael Mullowney | Registered representative | Jul 2021 (5y) | ||
| Duane John Silbernagel | Registered representative | CFP | Jul 2021 (5y) | |
| Duncan Edward White | Registered representative | Jul 2021 (5y) | ||
| Dustin Lee Johnson | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Dale Augustin Huang | Registered representative | Jul 2021 (5y) | ||
| Daniel Burgess Silhavey | Registered representative | Jul 2021 (5y) | ||
| Daniel Rees King | Registered representative | CFP | Jul 2021 (5y) | |
| David Anthony Miller | Registered representative | Jul 2021 (5y) | ||
| David O'dean Heard | Registered representative | Jul 2021 (5y) | ||
| David Prescott Osterbrock | Registered representative | CFP | Jul 2021 (5y) | |
| De Borah Gant | Registered representative | Jul 2021 (5y) | ||
| Douglas Edward Meck | Registered representative | Jul 2021 (5y) | ||
| Douglas Gabriel Kuntz | Registered representative | Jul 2021 (5y) | ||
| E Lori Smith | Registered representative | CFP | Jul 2021 (5y) | |
| Edward Hollis Scheer | Registered representative | CFP | Jul 2021 (5y) | |
| Edward John Postma | Registered representative | CFP | Jul 2021 (5y) | |
| Edward Vincent Sweeney | Registered representative | Jul 2021 (5y) | ||
| Eike Christopher Hamilton | Registered representative | Jul 2021 (5y) | ||
| Elaine Stansfield | Registered representative | CFP | Jul 2021 (5y) | |
| Elizabeth Ann Dean | Registered representative | Jul 2021 (5y) | ||
| Elizabeth Purdie Sampson | Registered representative | CFP | Jul 2021 (5y) | |
| Elizabeth Shoup Kehoe | Registered representative | Jul 2021 (5y) | ||
| Emily Beth Weaver | Registered representative | CFP | Jul 2021 (5y) | |
| Emily Dee Dailey | Registered representative | Jul 2021 (5y) | ||
| Enailah Bernita Shaw | Registered representative | Jul 2021 (5y) | ||
| Eric Alan Turner | Registered representative | Jul 2021 (5y) | ||
| Eric Charles Mcdowell | Registered representative | Jul 2021 (5y) | ||
| Eric Javin Coltrain | Registered representative | Jul 2021 (5y) | ||
| Eric John Hawk | Registered representative | Jul 2021 (5y) | ||
| Eric Joseph Berner | Registered representative | Jul 2021 (5y) | ||
| Eric Michael Barrett | Registered representative | Jul 2021 (5y) | ||
| Eric Raymond Degnan | Registered representative | CFP | Jul 2021 (5y) | |
| Eric Richard Howland | Registered representative | Jul 2021 (5y) | ||
| Eric Robert Corbeg | Registered representative | CFP | Jul 2021 (5y) | |
| Eric Thomas Kurth | Registered representative | Jul 2021 (5y) | ||
| Eric Tristan Vanness | Registered representative | Jul 2021 (5y) | ||
| Erik David Jackson | Registered representative | CFP | Jul 2021 (5y) | |
| Erin Marie Blue | Registered representative | Jul 2021 (5y) | ||
| Erin Noel Smith | Registered representative | Jul 2021 (5y) | ||
| Evanne Marie Hardin | Registered representative | Jul 2021 (5y) | ||
| Evit Smith | Registered representative | Jul 2021 (5y) | ||
| Edward Stockton Wells | Registered representative | Jul 2021 (5y) | ||
| Emilio Lira | Registered representative | Jul 2021 (5y) | ||
| Emily Belle Sims | Registered representative | Jul 2021 (5y) | ||
| Eric John Sandstrom | Registered representative | Jul 2021 (5y) | ||
| Eric Lemons Russell | Registered representative | Jul 2021 (5y) | ||
| Ernesto Nickola Marchioni | Registered representative | Jul 2021 (5y) | ||
| Everett Blake Massey | Registered representative | Jul 2021 (5y) | ||
| Feliks Reytblat | Registered representative | Jul 2021 (5y) | ||
| Felipe Abraham Sanchez | Registered representative | Jul 2021 (5y) | ||
| Felipe Joseph Jasso | Registered representative | Jul 2021 (5y) | ||
| Frank Lyman Dearden | Registered representative | Jul 2021 (5y) | ||
| Franklin Robert Payne | Registered representative | Jul 2021 (5y) | ||
| Freddie Lee Brown | Registered representative | CFP | Jul 2021 (5y) | |
| Frederick Arvey Savel | Registered representative | Jul 2021 (5y) | ||
| Frederick Harold Funke | Registered representative | Jul 2021 (5y) | ||
| Francesco Natale Mercuri | Registered representative | CFP | Jul 2021 (5y) | |
| Francesco Setola | Registered representative | Jul 2021 (5y) | ||
| Frederick Focke Mischler | Registered representative | Jul 2021 (5y) | ||
| Gabriel Destin Lawrence Penfield | Registered representative | Jul 2021 (5y) | ||
| Gail C Ford | Registered representative | Jul 2021 (5y) | ||
| Gary George Parsons | Registered representative | CFP | Jul 2021 (5y) | |
| Gary Martin Gebhardt | Registered representative | Jul 2021 (5y) | ||
| Genevie Mckeithan Osborn | Registered representative | Jul 2021 (5y) | ||
| Geoffrey Edward Peterson | Registered representative | Jul 2021 (5y) | ||
| George Luis Lorente | Registered representative | Jul 2021 (5y) | ||
| George Pentecost Thompson | Registered representative | CFP | Jul 2021 (5y) | |
| Gerald Paul Morse | Registered representative | Jul 2021 (5y) | ||
| Gerardo Martin | Registered representative | Jul 2021 (5y) | ||
| Gianni Vincent Dinello | Registered representative | CFP | Jul 2021 (5y) | |
| Gilles Roland Mulard | Registered representative | Jul 2021 (5y) | ||
| Glen Malcolm Maccallum | Registered representative | Jul 2021 (5y) | ||
| Grant Baker Durham | Registered representative | Jul 2021 (5y) | ||
| Greg L Schmautz | Registered representative | CFP | Jul 2021 (5y) | |
| Gregory Charles Bruff | Registered representative | Jul 2021 (5y) | ||
| Gregory Grant Taylor | Registered representative | Jul 2021 (5y) | ||
| Gregory James Raleigh | Registered representative | Jul 2021 (5y) | ||
| Gregory James Ward | Registered representative | Jul 2021 (5y) | ||
| Gregory Joseph Massey | Registered representative | Jul 2021 (5y) | ||
| Gregory Keith Miller | Registered representative | Jul 2021 (5y) | ||
| Gregory Steven Opsal | Registered representative | Jul 2021 (5y) | ||
| Gregrey Leigh Baker | Registered representative | Jul 2021 (5y) | ||
| Gustavo Rivera | Registered representative | Jul 2021 (5y) | ||
| Guy Martin Thompson | Registered representative | Jul 2021 (5y) | ||
| George Alexander Compton | Registered representative | Jul 2021 (5y) | ||
| Goran Miljenovic | Registered representative | CFP | Jul 2021 (5y) | |
| Gordon Paul Escene | Registered representative | Jul 2021 (5y) | ||
| Gregory Allen Furer | Registered representative | CFP | Jul 2021 (5y) | |
| Gwen Lily Martin | Registered representative | Jul 2021 (5y) | ||
| Haley Rabecca Deremer | Registered representative | Jul 2021 (5y) | ||
| Hannah Paige Brown | Registered representative | Jul 2021 (5y) | ||
| Harry Edward Tart | Registered representative | Jul 2021 (5y) | ||
| Harry Oliver White | Registered representative | Jul 2021 (5y) | ||
| Harry Robinson Greyard | Registered representative | CFP | Jul 2021 (5y) | |
| Heather Elizabeth Land Tucker | Registered representative | Jul 2021 (5y) | ||
| Heather Jayne Malyuk | Registered representative | Jul 2021 (5y) | ||
| Helena Katherine Mahoney | Registered representative | CFP | Jul 2021 (5y) | |
| Holly Michelle Mescher | Registered representative | Jul 2021 (5y) | ||
| Homa Jahanian | Registered representative | Jul 2021 (5y) | ||
| Howard E Marchbanks | Registered representative | CFP | Jul 2021 (5y) | |
| Howard Joseph Kukula | Registered representative | Jul 2021 (5y) | ||
| Huong Thi Vo | Registered representative | Jul 2021 (5y) | ||
| Heather Lea Barnes | Registered representative | Jul 2021 (5y) | ||
| Henry Albert Darnell | Registered representative | Jul 2021 (5y) | ||
| Ian Wesley Borgstedt | Registered representative | CFP | Jul 2021 (5y) | |
| Ibrahim Benedict Al Naber | Registered representative | Jul 2021 (5y) | ||
| Irina Alekseyevna Ensign | Registered representative | CFP | Jul 2021 (5y) | |
| Isaac Dale Kline | Registered representative | Jul 2021 (5y) | ||
| Jacob Allen Pleschourt | Registered representative | CFP | Jul 2021 (5y) | |
| Jacob Andrew Perry | Registered representative | Jul 2021 (5y) | ||
| Jacob William Cuthbert | Registered representative | CFP | Jul 2021 (5y) | |
| Jacob William Mills | Registered representative | Jul 2021 (5y) | ||
| Jade Valerie Cavallin | Registered representative | CFP | Jul 2021 (5y) | |
| James Alan Strauch | Registered representative | Jul 2021 (5y) | ||
| James Allen Stein | Registered representative | CFP Chartered Financial Consultant | Jul 2021 (5y) | |
| James Andrew Butler | Registered representative | Jul 2021 (5y) | ||
| James Bruce Wagner | Registered representative | Jul 2021 (5y) | ||
| James Dominic Toussaint | Registered representative | CFP | Jul 2021 (5y) | |
| James Douglas Pettigrew | Registered representative | Jul 2021 (5y) | ||
| James Edwin Filson | Registered representative | Jul 2021 (5y) | ||
| James Henry Lewis | Registered representative | Jul 2021 (5y) | ||
| James Joseph Mccullough | Registered representative | Jul 2021 (5y) | ||
| James Marcus Danford | Registered representative | CFP | Jul 2021 (5y) | |
| James Patrick Leyden | Registered representative | Jul 2021 (5y) | ||
| James Patrick Stites | Registered representative | Jul 2021 (5y) | ||
| James Paul Olivero | Registered representative | Jul 2021 (5y) | ||
| James Richard Seagraves | Registered representative | Jul 2021 (5y) | ||
| James Robert Carnaghi | Registered representative | Jul 2021 (5y) | ||
| James Robert Dumbeck | Registered representative | CFP | Jul 2021 (5y) | |
| James Robert Phillips | Registered representative | Jul 2021 (5y) | ||
| James Scott Bidwell | Registered representative | Jul 2021 (5y) | ||
| James Siebert William Zinke | Registered representative | Jul 2021 (5y) | ||
| James Stephan Molloy | Registered representative | Jul 2021 (5y) | ||
| James Thomas Caruso | Registered representative | Jul 2021 (5y) | ||
| James Warren Jenkins | Registered representative | Jul 2021 (5y) | ||
| James Wesley Barnett | Registered representative | Jul 2021 (5y) | ||
| James Wong | Registered representative | Jul 2021 (5y) | ||
| Jamie Anne Danna | Registered representative | CFP | Jul 2021 (5y) | |
| Jamie David Bennett | Registered representative | Jul 2021 (5y) | ||
| Jamie Kay Crnkovic | Registered representative | Jul 2021 (5y) | ||
| Jamie Lee Binstock | Registered representative | Jul 2021 (5y) | ||
| Jane Marie Gilliam | Registered representative | Jul 2021 (5y) | ||
| Janelle Renae Bergstrom | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Janet Ellen Dember | Registered representative | Jul 2021 (5y) | ||
| Jared James Wells | Registered representative | CFP | Jul 2021 (5y) | |
| Jarmica Demetrius Reese | Registered representative | CFP | Jul 2021 (5y) | |
| Jason Aloys Hunter | Registered representative | Jul 2021 (5y) | ||
| Jason Anthony Neyer | Registered representative | Jul 2021 (5y) | ||
| Jason Charles Florey | Registered representative | CFP | Jul 2021 (5y) | |
| Jason John Dobrzynski | Registered representative | CFP | Jul 2021 (5y) | |
| Jason John Ledermann | Registered representative | CFP | Jul 2021 (5y) | |
| Jason Mertes Kuss | Registered representative | Jul 2021 (5y) | ||
| Jason Philip Huber | Registered representative | CFP | Jul 2021 (5y) | |
| Jason Robert Rolf | Registered representative | CFP | Jul 2021 (5y) | |
| Jedd Ivar Galang Alcantara | Registered representative | Jul 2021 (5y) | ||
| Jeff Duane Martin | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Jeff Lee Halloran | Registered representative | Jul 2021 (5y) | ||
| Jeffery Lowell Whitaker | Registered representative | CFP | Jul 2021 (5y) | |
| Jeffrey Allen Merideth | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Andrew Fox | Registered representative | Jul 2021 (5y) | ||
| Jeffrey David Kusek | Registered representative | Jul 2021 (5y) | ||
| Jeffrey David Pollack | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Gerard Feuerstein | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Joseph Portman | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Michael Bassett | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Scott Jackson | Registered representative | CFP | Jul 2021 (5y) | |
| Jeffrey Wayne Nicholson | Registered representative | Jul 2021 (5y) | ||
| Jenieza Alvarez Alston | Registered representative | Jul 2021 (5y) | ||
| Jennifer Madelyn Williamson | Registered representative | Jul 2021 (5y) | ||
| Jennifer Mary Mccarthy | Registered representative | Jul 2021 (5y) | ||
| Jeremiah David Knox | Registered representative | Jul 2021 (5y) | ||
| Jeremy Allen Truong | Registered representative | Jul 2021 (5y) | ||
| Jeremy Charles Jensen | Registered representative | Jul 2021 (5y) | ||
| Jeremy Evan Kester | Registered representative | CFP | Jul 2021 (5y) | |
| Jeremy Paul Ringlein | Registered representative | Jul 2021 (5y) | ||
| Jeremy Shaun Silcox | Registered representative | Jul 2021 (5y) | ||
| Jerome Boring | Registered representative | Jul 2021 (5y) | ||
| Jerry Andrew Nix | Registered representative | Jul 2021 (5y) | ||
| Jerry Lee Barnett | Registered representative | Jul 2021 (5y) | ||
| Jerry Leon Cutaia | Registered representative | Jul 2021 (5y) | ||
| Jesse Harold Langschied | Registered representative | CFP | Jul 2021 (5y) | |
| Jesse Ryan Snow | Registered representative | Jul 2021 (5y) | ||
| Jessica Danielle Sharr | Registered representative | Jul 2021 (5y) | ||
| Jessica Lynn Schulberg | Registered representative | Jul 2021 (5y) | ||
| Jessie Bee Queniart Ingram | Registered representative | Jul 2021 (5y) | ||
| Jing Ping Xu | Registered representative | Jul 2021 (5y) | ||
| Joanne Lynn Rincker | Registered representative | Jul 2021 (5y) | ||
| Jodie Lynn Beatty | Registered representative | Jul 2021 (5y) | ||
| Joed Ngaruiya | Registered representative | Jul 2021 (5y) | ||
| Joel Bernard Davis | Registered representative | Jul 2021 (5y) | ||
| Joel Cameron Everage | Registered representative | Jul 2021 (5y) | ||
| Joel Clayton Taliaferro | Registered representative | CFP | Jul 2021 (5y) | |
| Joel Jay Cromar | Registered representative | CFP | Jul 2021 (5y) | |
| John Albert Beise | Registered representative | Jul 2021 (5y) | ||
| John Charles Robins | Registered representative | Jul 2021 (5y) | ||
| John Clark Dooley | Registered representative | Jul 2021 (5y) | ||
| John David Martin | Registered representative | Jul 2021 (5y) | ||
| John Edward Seagraves | Registered representative | CFP | Jul 2021 (5y) | |
| John Francis Morris | Registered representative | Jul 2021 (5y) | ||
| John Gregory Jermak | Registered representative | Jul 2021 (5y) | ||
| John Harold Zalevits | Registered representative | Jul 2021 (5y) | ||
| John James Bottega | Registered representative | Jul 2021 (5y) | ||
| John Joseph Bailey | Registered representative | Jul 2021 (5y) | ||
| John Joseph Polwrek | Registered representative | Jul 2021 (5y) | ||
| John Kevin Maloney | Registered representative | CFP | Jul 2021 (5y) | |
| John M Jefferson | Registered representative | Jul 2021 (5y) | ||
| John Patrick Milo | Registered representative | Jul 2021 (5y) | ||
| John Peter Bringhurst | Registered representative | Jul 2021 (5y) | ||
| John Thomas Miller | Registered representative | Jul 2021 (5y) | ||
| John Thomas Weisbecker | Registered representative | Jul 2021 (5y) | ||
| John Timothy Coakley | Registered representative | Jul 2021 (5y) | ||
| John Wesley Oestreich | Registered representative | Jul 2021 (5y) | ||
| John William Bullock | Registered representative | Jul 2021 (5y) | ||
| John William Hungerford | Registered representative | Jul 2021 (5y) | ||
| John William Walker | Registered representative | Jul 2021 (5y) | ||
| John Paul Kaleokalani Kauinana | Registered representative | Jul 2021 (5y) | ||
| Jon Eric Peterson | Registered representative | Jul 2021 (5y) | ||
| Jonathan Allan Lowry | Registered representative | Jul 2021 (5y) | ||
| Jonathan Tyler Herbert | Registered representative | Jul 2021 (5y) | ||
| Jordan Joseph Lipp | Registered representative | Jul 2021 (5y) | ||
| Jordan Scott Kerner | Registered representative | Jul 2021 (5y) | ||
| Jose Alfonso Alanis | Registered representative | Jul 2021 (5y) | ||
| Joseph Arthur Mynio | Registered representative | CFP | Jul 2021 (5y) | |
| Joseph Carl Spataro | Registered representative | Jul 2021 (5y) | ||
| Joseph Daniel Lyons | Registered representative | Jul 2021 (5y) | ||
| Joseph Darold Larson | Registered representative | Jul 2021 (5y) | ||
| Joseph Donald Vandyke | Registered representative | CFP | Jul 2021 (5y) | |
| Joseph Gerard Lisanti | Registered representative | Jul 2021 (5y) | ||
| Joseph John Palmucci | Registered representative | Jul 2021 (5y) | ||
| Joseph M Dedo | Registered representative | Jul 2021 (5y) | ||
| Joseph Patrick Mcdonagh | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Joshua David Funk | Registered representative | Jul 2021 (5y) | ||
| Joshua Guy Marcum | Registered representative | Jul 2021 (5y) | ||
| Joshua John Ferreira | Registered representative | Jul 2021 (5y) | ||
| Joshua Lee Lusk | Registered representative | Jul 2021 (5y) | ||
| Joshua Mason Granger | Registered representative | Jul 2021 (5y) | ||
| Julie Ann Cook | Registered representative | CFP | Jul 2021 (5y) | |
| Julie Elizabeth Sagatelian | Registered representative | Jul 2021 (5y) | ||
| Julie Jane Groves | Registered representative | Jul 2021 (5y) | ||
| Julius Reynard Moody | Registered representative | Jul 2021 (5y) | ||
| Justin Bradley Johnson | Registered representative | CFA | Jul 2021 (5y) | |
| Justin Cody Larkin | Registered representative | Jul 2021 (5y) | ||
| Justin Daniel Schaeffer | Registered representative | Jul 2021 (5y) | ||
| Justin Duane Blevins | Registered representative | Jul 2021 (5y) | ||
| Justin E Weimer | Registered representative | Jul 2021 (5y) | ||
| Justin James Bidwell | Registered representative | Jul 2021 (5y) | ||
| Justin Michael Friedman | Registered representative | CFP | Jul 2021 (5y) | |
| Justin Tyler Reed | Registered representative | CFP | Jul 2021 (5y) | |
| Justin Wayne Nemechek | Registered representative | Jul 2021 (5y) | ||
| Jacob Albert Yarochowicz | Registered representative | Jul 2021 (5y) | ||
| Jacob Christopher Nachtigal | Registered representative | Jul 2021 (5y) | ||
| James Ray Romig | Registered representative | Jul 2021 (5y) | ||
| Jamison Ryan Jendrusch | Registered representative | Jul 2021 (5y) | ||
| Jaron Marc Weese | Registered representative | Jul 2021 (5y) | ||
| Jason Richard Hupp | Registered representative | Jul 2021 (5y) | ||
| Jennifer Lynn Martin | Registered representative | Jul 2021 (5y) | ||
| Jenny Jihyun Choe | Registered representative | Jul 2021 (5y) | ||
| Jeremiah George Dellas | Registered representative | Jul 2021 (5y) | ||
| Jessie Leigh Morotto | Registered representative | Jul 2021 (5y) | ||
| Johanna Rose Holecy | Registered representative | Jul 2021 (5y) | ||
| John Emery Strange | Registered representative | CFP | Jul 2021 (5y) | |
| John Patrick Cuddy | Registered representative | Jul 2021 (5y) | ||
| Juan Burdette Oldham | Registered representative | Jul 2021 (5y) | ||
| Judith Wolcott Frantz | Registered representative | Jul 2021 (5y) | ||
| Justin Eldon Brown | Registered representative | Jul 2021 (5y) | ||
| Justin Nicholas Del Campo | Registered representative | Jul 2021 (5y) | ||
| Karen Elizabeth Mcnabb | Registered representative | CFP | Jul 2021 (5y) | |
| Karen Kwiatkowski | Registered representative | CFP | Jul 2021 (5y) | |
| Kari Ann Stubits | Registered representative | Jul 2021 (5y) | ||
| Karin Diane Knoop | Registered representative | Jul 2021 (5y) | ||
| Karin Frost Blakley | Registered representative | Jul 2021 (5y) | ||
| Karla Lee Scheve | Registered representative | CFP | Jul 2021 (5y) | |
| Katie Shay Bogue | Registered representative | Jul 2021 (5y) | ||
| Kelli Ann Vandellen | Registered representative | Jul 2021 (5y) | ||
| Kelli Nicole Altvater | Registered representative | Jul 2021 (5y) | ||
| Kelly Michael Webster | Registered representative | Jul 2021 (5y) | ||
| Kelly Wade | Registered representative | Jul 2021 (5y) | ||
| Kenneth Adrian Lesesne | Registered representative | Jul 2021 (5y) | ||
| Kenneth Dale Johnson | Registered representative | Jul 2021 (5y) | ||
| Kenneth Paul Carruba | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Kenneth Paul Logan | Registered representative | CFP | Jul 2021 (5y) | |
| Kevin Edmund Yurch | Registered representative | Jul 2021 (5y) | ||
| Kevin James Gardenier | Registered representative | CFP | Jul 2021 (5y) | |
| Kevin Michael Quinley | Registered representative | Jul 2021 (5y) | ||
| Kevin Tadao Yamamoto | Registered representative | Jul 2021 (5y) | ||
| Kevin Wayne Wood | Registered representative | Jul 2021 (5y) | ||
| Kim Lee Dexter | Registered representative | Jul 2021 (5y) | ||
| Kirby Alan Shineman | Registered representative | Jul 2021 (5y) | ||
| Kirstan Colleen Ulrich | Registered representative | Jul 2021 (5y) | ||
| Kristen Cathlene Maxwell | Registered representative | Jul 2021 (5y) | ||
| Kristen Renee Druley | Registered representative | Jul 2021 (5y) | ||
| Kristen Tapp Silhavey | Registered representative | Jul 2021 (5y) | ||
| Kristi Kay Adams | Registered representative | CFP | Jul 2021 (5y) | |
| Kristin Elise Hanneman | Registered representative | Jul 2021 (5y) | ||
| Kristin Elizabeth Ward | Registered representative | Jul 2021 (5y) | ||
| Kristin Ruth Montgomery | Registered representative | CFP | Jul 2021 (5y) | |
| Kurt Weegar Macmillan | Registered representative | Jul 2021 (5y) | ||
| Kyle Kenneth Mahoney | Registered representative | Jul 2021 (5y) | ||
| Kyle Quinn Mccann | Registered representative | Jul 2021 (5y) | ||
| Kyle Todd Laubenstein | Registered representative | Jul 2021 (5y) | ||
| Karen Hesketh Thomas | Registered representative | CFP | Jul 2021 (5y) | |
| Katherine Marie Griffin | Registered representative | Jul 2021 (5y) | ||
| Katherine Nance Dietz | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Kevin Darrell O Connell | Registered representative | Jul 2021 (5y) | ||
| Lance Philip Minnichsoffer | Registered representative | CFP | Jul 2021 (5y) | |
| Larry Cullen Loving | Registered representative | Jul 2021 (5y) | ||
| Larry Ellis Coltin | Registered representative | Jul 2021 (5y) | ||
| Larry Howard Garletts | Registered representative | Jul 2021 (5y) | ||
| Laura Jean Nelson | Registered representative | Jul 2021 (5y) | ||
| Laura Veeneman Bare | Registered representative | CFP | Jul 2021 (5y) | |
| Laurel Gai Renkert | Registered representative | Jul 2021 (5y) | ||
| Laurie Dean Wiley | Registered representative | Jul 2021 (5y) | ||
| Lee Edward Gilliam | Registered representative | Jul 2021 (5y) | ||
| Leon Dwayne Stastny | Registered representative | Jul 2021 (5y) | ||
| Leticia Sanchez | Registered representative | Jul 2021 (5y) | ||
| Levi John Befort | Registered representative | Jul 2021 (5y) | ||
| Linda Kanan Polwrek | Registered representative | CFP | Jul 2021 (5y) | |
| Linda Ruth Klugman | Registered representative | Jul 2021 (5y) | ||
| Lindsay Michelle Turchetta | Registered representative | Jul 2021 (5y) | ||
| Lindsey Marie Driscoll | Registered representative | Jul 2021 (5y) | ||
| Lindsey Nicole Breckenridge | Registered representative | Jul 2021 (5y) | ||
| Lindsey Reiser Okstad | Registered representative | Jul 2021 (5y) | ||
| Lisa Anne Dean | Registered representative | Jul 2021 (5y) | ||
| Lisa Jo Sloan | Registered representative | Jul 2021 (5y) | ||
| Lisa Lynn Washington | Registered representative | Jul 2021 (5y) | ||
| Lisa Marie Affolter | Registered representative | Jul 2021 (5y) | ||
| Loren Joseph Kampschnieder | Registered representative | CFP | Jul 2021 (5y) | |
| Lori Jane Galbraith | Registered representative | Jul 2021 (5y) | ||
| Lori Lee Tauring | Registered representative | Jul 2021 (5y) | ||
| Lori Lynn Gile | Registered representative | Jul 2021 (5y) | ||
| Louis Romero Avalos | Registered representative | Jul 2021 (5y) | ||
| Lucas Alexander Van Zandt | Registered representative | Jul 2021 (5y) | ||
| Luke Garret Malone | Registered representative | Jul 2021 (5y) | ||
| Lyle Ray Parks | Registered representative | Jul 2021 (5y) | ||
| Lynn Ann Snedden | Registered representative | Jul 2021 (5y) | ||
| Lynn Dart Nelson | Registered representative | Jul 2021 (5y) | ||
| Lynn Russell Friesen | Registered representative | Jul 2021 (5y) | ||
| Lindsey Marissa Kuklin | Registered representative | Jul 2021 (5y) | ||
| Lori Ann Zern | Registered representative | Jul 2021 (5y) | ||
| Louis Vincent Zuccarello | Registered representative | Jul 2021 (5y) | ||
| Lyndsey Ann Dorman | Registered representative | Jul 2021 (5y) | ||
| M. Elaine Dennis | Registered representative | CFP | Jul 2021 (5y) | |
| Malini Nanda Raswant | Registered representative | Jul 2021 (5y) | ||
| Maralynn Christine Kearney | Registered representative | CFP | Jul 2021 (5y) | |
| Marc Bryant Hicks | Registered representative | Jul 2021 (5y) | ||
| Marc Cohen | Registered representative | Jul 2021 (5y) | ||
| Marc Easton Walker | Registered representative | Jul 2021 (5y) | ||
| Marc John Fresia | Registered representative | Jul 2021 (5y) | ||
| Marc Nathaniel Seller | Registered representative | Jul 2021 (5y) | ||
| Marcus Dwayne Leyva | Registered representative | Jul 2021 (5y) | ||
| Margaret Kathryn Stenseng | Registered representative | CFP | Jul 2021 (5y) | |
| Margaret Mary Lutz | Registered representative | CFP | Jul 2021 (5y) | |
| Marijean Hansen | Registered representative | CFP | Jul 2021 (5y) | |
| Marilyn Kay Seagraves | Registered representative | CFP | Jul 2021 (5y) | |
| Mario Albert Lucarelli | Registered representative | Jul 2021 (5y) | ||
| Mark Allen Tuson | Registered representative | Jul 2021 (5y) | ||
| Mark Anthony Chavez | Registered representative | Jul 2021 (5y) | ||
| Mark Damon Stroup | Registered representative | Jul 2021 (5y) | ||
| Mark David Stevens | Registered representative | CFP | Jul 2021 (5y) | |
| Mark Duane Hoover | Registered representative | Jul 2021 (5y) | ||
| Mark Francis Tighe | Registered representative | Jul 2021 (5y) | ||
| Mark Harrison Ladrew | Registered representative | CFP | Jul 2021 (5y) | |
| Mark James Burns | Registered representative | Jul 2021 (5y) | ||
| Mark James Stephens | Registered representative | Jul 2021 (5y) | ||
| Mark Joseph Albian | Registered representative | Jul 2021 (5y) | ||
| Mark Nicholas Karambelas | Registered representative | Jul 2021 (5y) | ||
| Mark Paul Teodosio | Registered representative | Jul 2021 (5y) | ||
| Mark Steven Nohrenberg | Registered representative | Jul 2021 (5y) | ||
| Mark Steven Wildeman | Registered representative | Jul 2021 (5y) | ||
| Martin Patrick Maier | Registered representative | Jul 2021 (5y) | ||
| Marvin Douglas Gardner | Registered representative | Jul 2021 (5y) | ||
| Marvin Keith Degraaff | Registered representative | CFP | Jul 2021 (5y) | |
| Mary Elizabeth Fahey | Registered representative | Jul 2021 (5y) | ||
| Mary Elizabeth Mastick | Registered representative | Jul 2021 (5y) | ||
| Mathew Eric Watt | Registered representative | Jul 2021 (5y) | ||
| Matthew Allen Kerber | Registered representative | CFP Chartered Financial Consultant | Jul 2021 (5y) | |
| Matthew Brady Peak | Registered representative | Jul 2021 (5y) | ||
| Matthew Brian Sample | Registered representative | Jul 2021 (5y) | ||
| Matthew Charles Byrne | Registered representative | Jul 2021 (5y) | ||
| Matthew Clay Johnson | Registered representative | Jul 2021 (5y) | ||
| Matthew Earl Bose | Registered representative | Jul 2021 (5y) | ||
| Matthew Earl Steinke | Registered representative | Jul 2021 (5y) | ||
| Matthew John Anderson | Registered representative | Jul 2021 (5y) | ||
| Matthew John Malinowski | Registered representative | Jul 2021 (5y) | ||
| Matthew Michael Rose | Registered representative | Jul 2021 (5y) | ||
| Matthew William Cinco | Registered representative | Jul 2021 (5y) | ||
| Maureen Ann Gray | Registered representative | Jul 2021 (5y) | ||
| Maureen F Flanagan | Registered representative | Jul 2021 (5y) | ||
| Megan Marie Frahm | Registered representative | Jul 2021 (5y) | ||
| Melissa Lynn Corbeg | Registered representative | Jul 2021 (5y) | ||
| Melissa Lynn Pennington | Registered representative | Jul 2021 (5y) | ||
| Mesmin Pelerin | Registered representative | Jul 2021 (5y) | ||
| Michael Adam Strong | Registered representative | Jul 2021 (5y) | ||
| Michael Alan Cain | Registered representative | Jul 2021 (5y) | ||
| Michael Alexander Ramey | Registered representative | Jul 2021 (5y) | ||
| Michael Andrew Erickson | Registered representative | Jul 2021 (5y) | ||
| Michael Brian Wargo | Registered representative | Jul 2021 (5y) | ||
| Michael David Bennett | Registered representative | Jul 2021 (5y) | ||
| Michael David Vonberg | Registered representative | Jul 2021 (5y) | ||
| Michael Edward Dennis | Registered representative | Jul 2021 (5y) | ||
| Michael Forrest Copeland | Registered representative | Jul 2021 (5y) | ||
| Michael John Blomberg | Registered representative | Jul 2021 (5y) | ||
| Michael John Costle | Registered representative | Jul 2021 (5y) | ||
| Michael Joseph Mcnally | Registered representative | CFP | Jul 2021 (5y) | |
| Michael Joseph Vilardi | Registered representative | Jul 2021 (5y) | ||
| Michael Lee Erpenbach | Registered representative | CFP | Jul 2021 (5y) | |
| Michael Lee Haman | Registered representative | CFP | Jul 2021 (5y) | |
| Michael Lynn Bayley | Registered representative | Jul 2021 (5y) | ||
| Michael Paul Davino | Registered representative | CFP | Jul 2021 (5y) | |
| Michael Richard Nelson | Registered representative | Jul 2021 (5y) | ||
| Michael Sean Sullivan | Registered representative | CFP | Jul 2021 (5y) | |
| Michael Stephen Chong | Registered representative | CFP | Jul 2021 (5y) | |
| Michele Ann De George | Registered representative | Jul 2021 (5y) | ||
| Michele Lynn Mcduffie | Registered representative | Jul 2021 (5y) | ||
| Michele Mariko Fuller | Registered representative | Jul 2021 (5y) | ||
| Michelle Leigh Oakley | Registered representative | Jul 2021 (5y) | ||
| Michelle Lynn Holliday | Registered representative | CFP | Jul 2021 (5y) | |
| Mikael David Newman | Registered representative | CFP | Jul 2021 (5y) | |
| Mikel Dumonceaux | Registered representative | Jul 2021 (5y) | ||
| Miklos Stefan Gudricza | Registered representative | Jul 2021 (5y) | ||
| Miles Logan Fleming | Registered representative | Jul 2021 (5y) | ||
| Miles William Garwood | Registered representative | Jul 2021 (5y) | ||
| Misty Amber Triplett | Registered representative | Jul 2021 (5y) | ||
| Mitch Johnson Van Dam | Registered representative | Jul 2021 (5y) | ||
| Mitchell D. Meng | Registered representative | Jul 2021 (5y) | ||
| Mitchell Lee Kufahl | Registered representative | Jul 2021 (5y) | ||
| Molly Mount Hines Rambo | Registered representative | Jul 2021 (5y) | ||
| Morten Namtvedt Kjerland | Registered representative | Jul 2021 (5y) | ||
| Myla Marie Causing | Registered representative | Jul 2021 (5y) | ||
| Marcus Evan Walton | Registered representative | Jul 2021 (5y) | ||
| Mark Logan Null | Registered representative | Jul 2021 (5y) | ||
| Mark Thomas Harris | Registered representative | Jul 2021 (5y) | ||
| Mathieu Allen Fairband | Registered representative | Jul 2021 (5y) | ||
| Matthew John Mulville | Registered representative | Jul 2021 (5y) | ||
| Matthew Joseph Moyer | Registered representative | CFP | Jul 2021 (5y) | |
| Matthew Michael Hughey | Registered representative | Jul 2021 (5y) | ||
| Michael Fayne Mc Kinnis | Registered representative | Jul 2021 (5y) | ||
| Michael Lawrence Coco | Registered representative | Jul 2021 (5y) | ||
| Michael Obadiah Bennett | Registered representative | Jul 2021 (5y) | ||
| Michael Ray Barclift | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Michael Warren Listmeier | Registered representative | Jul 2021 (5y) | ||
| Micheal James Sampson | Registered representative | Jul 2021 (5y) | ||
| Nathan Christopher Pugh | Registered representative | Jul 2021 (5y) | ||
| Nathan Marcus Rink | Registered representative | CFP | Jul 2021 (5y) | |
| Nathan Quinn O'leary | Registered representative | Jul 2021 (5y) | ||
| Nathan Sumner | Registered representative | CFP | Jul 2021 (5y) | |
| Nathaniel Edward Zimmerman | Registered representative | Jul 2021 (5y) | ||
| Nedra Eleanor Mitchell | Registered representative | CFP | Jul 2021 (5y) | |
| Nellie Kathleen Green | Registered representative | Jul 2021 (5y) | ||
| Nicholas Edward Brinson | Registered representative | Jul 2021 (5y) | ||
| Nicholas Paul Bakker | Registered representative | CFP | Jul 2021 (5y) | |
| Nicholas Ryan Deneault | Registered representative | CFP | Jul 2021 (5y) | |
| Nick Agostino Milazzo | Registered representative | CFP | Jul 2021 (5y) | |
| Nickalas Adam Butler | Registered representative | Jul 2021 (5y) | ||
| Nicole Elise Burdick | Registered representative | Jul 2021 (5y) | ||
| Noah Raphael Bailey | Registered representative | Jul 2021 (5y) | ||
| Noel Oliver Martin | Registered representative | Jul 2021 (5y) | ||
| Nolan Eugene Pauly | Registered representative | Jul 2021 (5y) | ||
| Nolan Kent Rathe | Registered representative | Jul 2021 (5y) | ||
| Nora Christine Benzen | Registered representative | Jul 2021 (5y) | ||
| Nora Lotfy Mankaryos | Registered representative | Jul 2021 (5y) | ||
| Norma Olivia Pena | Registered representative | Jul 2021 (5y) | ||
| Nathan Charles Pease | Registered representative | Jul 2021 (5y) | ||
| Nathaniel Richard Smoot | Registered representative | Jul 2021 (5y) | ||
| Nicholas Nathaniel Kruell | Registered representative | CFP | Jul 2021 (5y) | |
| Orey Brandon Fey | Registered representative | Jul 2021 (5y) | ||
| Oskar Lewis Tauring Traxler | Registered representative | Jul 2021 (5y) | ||
| Pamela Datissna Pitts | Registered representative | CFP | Jul 2021 (5y) | |
| Parker Hall Vander Wal | Registered representative | Jul 2021 (5y) | ||
| Patricia Alison Fleming | Registered representative | CFP | Jul 2021 (5y) | |
| Patricia Marie Matthew | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Patricia Marusarz | Registered representative | CFP | Jul 2021 (5y) | |
| Patricia Wai Giu Shaw | Registered representative | Jul 2021 (5y) | ||
| Patrick Brady Gallagher | Registered representative | Jul 2021 (5y) | ||
| Patrick Harvard Boutilier | Registered representative | Jul 2021 (5y) | ||
| Patrick Jeremiah Carpenter | Registered representative | CFP | Jul 2021 (5y) | |
| Patrick Martin Gaskill | Registered representative | CFP | Jul 2021 (5y) | |
| Patrick Tedesco | Registered representative | CFP | Jul 2021 (5y) | |
| Patrick Vincent Powers | Registered representative | CFP | Jul 2021 (5y) | |
| Paul Albert Mcintosh | Registered representative | Jul 2021 (5y) | ||
| Paul Allen Jones | Registered representative | CFP | Jul 2021 (5y) | |
| Paul David Gregory | Registered representative | Jul 2021 (5y) | ||
| Paul Edward Melton | Registered representative | Jul 2021 (5y) | ||
| Paul Eliot Singer | Registered representative | Jul 2021 (5y) | ||
| Paul James Downey | Registered representative | Jul 2021 (5y) | ||
| Paul Kenneth Foley | Registered representative | CFP | Jul 2021 (5y) | |
| Paul Lockwood Zeis | Registered representative | Jul 2021 (5y) | ||
| Paul Robert Gross | Registered representative | Jul 2021 (5y) | ||
| Paul Taylor Day | Registered representative | Jul 2021 (5y) | ||
| Paulette Rhodes Williamson | Registered representative | Jul 2021 (5y) | ||
| Pawel Eryck Szott | Registered representative | Jul 2021 (5y) | ||
| Pengnian Chu | Registered representative | CFP | Jul 2021 (5y) | |
| Peter B Fink | Registered representative | CFP | Jul 2021 (5y) | |
| Peter Chin Wen Wang | Registered representative | Jul 2021 (5y) | ||
| Peter Christoffer Dahlquist | Registered representative | Jul 2021 (5y) | ||
| Peter Edward Zedick | Registered representative | Jul 2021 (5y) | ||
| Peter Judson Perkins | Registered representative | Jul 2021 (5y) | ||
| Philip John Fredericks | Registered representative | Jul 2021 (5y) | ||
| Philip Tibor Shepherd | Registered representative | Jul 2021 (5y) | ||
| Phyllis Elaine Webb | Registered representative | CFP Chartered Financial Consultant | Jul 2021 (5y) | |
| Pradeep Harsh Sukhani | Registered representative | Jul 2021 (5y) | ||
| Pravin Chandra Parekh | Registered representative | Jul 2021 (5y) | ||
| Paige Joann Hoffman | Registered representative | Jul 2021 (5y) | ||
| Parker Mac Lean Bernhardt | Registered representative | Jul 2021 (5y) | ||
| Rachel Dianne Knight | Registered representative | Jul 2021 (5y) | ||
| Rachel Marie Satterthwaite | Registered representative | Jul 2021 (5y) | ||
| Randal Craig Dame | Registered representative | Jul 2021 (5y) | ||
| Randal Jay Johnsrud | Registered representative | Jul 2021 (5y) | ||
| Randal Wade Krug | Registered representative | Jul 2021 (5y) | ||
| Randall Eugene Fey | Registered representative | Jul 2021 (5y) | ||
| Randall James Tvrdik | Registered representative | Jul 2021 (5y) | ||
| Randi Jo Martens | Registered representative | Jul 2021 (5y) | ||
| Randy Lee Valley | Registered representative | Jul 2021 (5y) | ||
| Randy William Edwards | Registered representative | Jul 2021 (5y) | ||
| Raymond Orlando Padilla | Registered representative | Jul 2021 (5y) | ||
| Rebecca Colleen Burrows | Registered representative | Jul 2021 (5y) | ||
| Rebecca Marie Novak | Registered representative | Jul 2021 (5y) | ||
| Rebekah Joy Petersen | Registered representative | Jul 2021 (5y) | ||
| Rene Lyn Russ | Registered representative | Jul 2021 (5y) | ||
| Renee Nicole Summers | Registered representative | Jul 2021 (5y) | ||
| Richard Allen Stevens | Registered representative | Jul 2021 (5y) | ||
| Richard Brian Williams | Registered representative | Jul 2021 (5y) | ||
| Richard Donald Ratz | Registered representative | Jul 2021 (5y) | ||
| Richard George Griessmeyer | Registered representative | CFP | Jul 2021 (5y) | |
| Richard John West | Registered representative | Jul 2021 (5y) | ||
| Richard Joseph Bartlett | Registered representative | Jul 2021 (5y) | ||
| Richard Krooswyk | Registered representative | Jul 2021 (5y) | ||
| Richard Lance Thompson | Registered representative | Jul 2021 (5y) | ||
| Richard Prevost Hubbard | Registered representative | Jul 2021 (5y) | ||
| Richard Wade Herbert | Registered representative | Jul 2021 (5y) | ||
| Rick Lee Hargrove | Registered representative | Jul 2021 (5y) | ||
| Rictor George Wilson | Registered representative | Jul 2021 (5y) | ||
| Rob C Rigsby | Registered representative | Jul 2021 (5y) | ||
| Robert Alvin Bauer | Registered representative | Jul 2021 (5y) | ||
| Robert Edward Fairbrothers | Registered representative | Jul 2021 (5y) | ||
| Robert Forest Haddorff | Registered representative | Jul 2021 (5y) | ||
| Robert Gabriel Johnson | Registered representative | Jul 2021 (5y) | ||
| Robert James Ralston | Registered representative | Jul 2021 (5y) | ||
| Robert Joseph Glatt | Registered representative | Jul 2021 (5y) | ||
| Robert Joseph Sidell | Registered representative | Jul 2021 (5y) | ||
| Robert Keith Mclaughlin | Registered representative | Jul 2021 (5y) | ||
| Robert Michael De Grood | Registered representative | Jul 2021 (5y) | ||
| Robert Michael Host | Registered representative | Jul 2021 (5y) | ||
| Robert Peter Sayer | Registered representative | CFP | Jul 2021 (5y) | |
| Robert Philip Hilf | Registered representative | CFP | Jul 2021 (5y) | |
| Robert Scott Langweil | Registered representative | CFP | Jul 2021 (5y) | |
| Robert Thomas Allison | Registered representative | Jul 2021 (5y) | ||
| Robert Thomas Allison | Registered representative | Jul 2021 (5y) | ||
| Robert Walter Reynolds | Registered representative | CFP | Jul 2021 (5y) | |
| Rodney M Loesch | Registered representative | CFP | Jul 2021 (5y) | |
| Roger Dale Taylor | Registered representative | Jul 2021 (5y) | ||
| Roger Robert Garretson | Registered representative | Jul 2021 (5y) | ||
| Ronald Kenneth Smith | Registered representative | Jul 2021 (5y) | ||
| Ronald Wayne Barton | Registered representative | Jul 2021 (5y) | ||
| Rosette May Randel | Registered representative | Jul 2021 (5y) | ||
| Russell James Whidbee | Registered representative | Jul 2021 (5y) | ||
| Russell Lane Mc Dowall | Registered representative | Jul 2021 (5y) | ||
| Rusty Coyle | Registered representative | Jul 2021 (5y) | ||
| Ryan Charles Mcnulty | Registered representative | Jul 2021 (5y) | ||
| Ryan Douglas Eckert | Registered representative | Jul 2021 (5y) | ||
| Ryan Jeremy Prall | Registered representative | Jul 2021 (5y) | ||
| Ryan Keith Bell | Registered representative | Jul 2021 (5y) | ||
| Ryan Michael Canfield | Registered representative | Jul 2021 (5y) | ||
| Ryan Nolan Connelly | Registered representative | Jul 2021 (5y) | ||
| Ryan Robert Haddorff | Registered representative | Jul 2021 (5y) | ||
| Randal Robert De Fillippis | Registered representative | Jul 2021 (5y) | ||
| Raymond Ross Kahmeyer | Registered representative | Jul 2021 (5y) | ||
| Robert James Guilford | Registered representative | Jul 2021 (5y) | ||
| Robert Jefferson | Registered representative | Jul 2021 (5y) | ||
| Ross William Halsey | Registered representative | Jul 2021 (5y) | ||
| Rowena Marie Milton | Registered representative | Jul 2021 (5y) | ||
| Ruth Ann Tsakonas | Registered representative | Jul 2021 (5y) | ||
| Ryan M Valley | Registered representative | Jul 2021 (5y) | ||
| Ryan Samuel Satterthwaite | Registered representative | Jul 2021 (5y) | ||
| Salam Assaf | Registered representative | Jul 2021 (5y) | ||
| Sam Thomas Leiker | Registered representative | Jul 2021 (5y) | ||
| Samantha Davila Flores | Registered representative | Jul 2021 (5y) | ||
| Samantha Mae Bush | Registered representative | CFP | Jul 2021 (5y) | |
| Samantha Rae Wiggins | Registered representative | Jul 2021 (5y) | ||
| Sammy Lee Smith | Registered representative | CFP | Jul 2021 (5y) | |
| Samuel Donald Aldrich | Registered representative | Jul 2021 (5y) | ||
| Sandrine Nadege Logan | Registered representative | CFP | Jul 2021 (5y) | |
| Sanjeev Ranjan Kumar | Registered representative | Jul 2021 (5y) | ||
| Santiago Apodaca | Registered representative | Jul 2021 (5y) | ||
| Sara Lee Tilberg | Registered representative | CFP | Jul 2021 (5y) | |
| Sarah Jo Moldan | Registered representative | Jul 2021 (5y) | ||
| Sasha King Graves | Registered representative | Jul 2021 (5y) | ||
| Scott Allen Melzer | Registered representative | Jul 2021 (5y) | ||
| Scott Arthur Gumble | Registered representative | CFP | Jul 2021 (5y) | |
| Scott David Pimentel | Registered representative | Jul 2021 (5y) | ||
| Scott Edwin Dye | Registered representative | CFP | Jul 2021 (5y) | |
| Scott Lee Wilkens | Registered representative | Jul 2021 (5y) | ||
| Scott M Caldwell | Registered representative | Jul 2021 (5y) | ||
| Scott Richard Frazer | Registered representative | CFP | Jul 2021 (5y) | |
| Scott Robert Schlisner | Registered representative | Jul 2021 (5y) | ||
| Scott William Adams | Registered representative | Jul 2021 (5y) | ||
| Sean James O'brien | Registered representative | Jul 2021 (5y) | ||
| Sean Lewis Dobranich | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Shane Lee Sides | Registered representative | Jul 2021 (5y) | ||
| Shannon Marie Wilkin | Registered representative | Jul 2021 (5y) | ||
| Shari Lynn Baltrusch | Registered representative | Jul 2021 (5y) | ||
| Shari Sullivan Jenkins | Registered representative | CFP | Jul 2021 (5y) | |
| Sharon Louise Count | Registered representative | Jul 2021 (5y) | ||
| Sharon Sue Wisler | Registered representative | Jul 2021 (5y) | ||
| Shawn Brock Morton | Registered representative | Jul 2021 (5y) | ||
| Shawn James Bouton | Registered representative | Jul 2021 (5y) | ||
| Shawn Michael Macken | Registered representative | Jul 2021 (5y) | ||
| Shawna Suzanne Beltz | Registered representative | Jul 2021 (5y) | ||
| Sheila Overton Kelly | Registered representative | Jul 2021 (5y) | ||
| Shelby Nicole Stilwell | Registered representative | Jul 2021 (5y) | ||
| Sherry Elizabeth Gow | Registered representative | Jul 2021 (5y) | ||
| Sheryl Heidi Wein | Registered representative | Jul 2021 (5y) | ||
| Sierra Elizabeth Futch | Registered representative | Jul 2021 (5y) | ||
| Silvio Nicola Silenzi | Registered representative | CFP | Jul 2021 (5y) | |
| Sirivanh Harris | Registered representative | CFP | Jul 2021 (5y) | |
| Spencer Wayne Cope | Registered representative | CFP | Jul 2021 (5y) | |
| Stacey Munjoo Kim | Registered representative | CFP | Jul 2021 (5y) | |
| Stacie Wallice | Registered representative | Jul 2021 (5y) | ||
| Stephanie Kay Shaffer | Registered representative | Jul 2021 (5y) | ||
| Stephanie Lynn Suhrbier | Registered representative | Jul 2021 (5y) | ||
| Stephen Allen Barnes | Registered representative | Jul 2021 (5y) | ||
| Stephen Charles Ciofalo | Registered representative | CFP | Jul 2021 (5y) | |
| Stephen Edward Fregosi | Registered representative | Jul 2021 (5y) | ||
| Stephen Eugene Rodewald | Registered representative | Jul 2021 (5y) | ||
| Stephen Joseph Collins | Registered representative | Jul 2021 (5y) | ||
| Stephen Jung Lee | Registered representative | Jul 2021 (5y) | ||
| Stevan Wesley Lyon | Registered representative | Jul 2021 (5y) | ||
| Steven Edwin Hellon | Registered representative | Jul 2021 (5y) | ||
| Steven Lee Farrell | Registered representative | Jul 2021 (5y) | ||
| Steven Masatada Goto | Registered representative | Jul 2021 (5y) | ||
| Steven Patrick Finnegan | Registered representative | Jul 2021 (5y) | ||
| Steven Scott Stringberg | Registered representative | Jul 2021 (5y) | ||
| Steven Sutton | Registered representative | Jul 2021 (5y) | ||
| Steven William Beck | Registered representative | CFP | Jul 2021 (5y) | |
| Susan C Wieck | Registered representative | CFP | Jul 2021 (5y) | |
| Susan Jean Frybarger | Registered representative | Jul 2021 (5y) | ||
| Sydney Dianne Schaeffer | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Samuel Micah Valerio | Registered representative | Jul 2021 (5y) | ||
| Sarah Beth Korop | Registered representative | Jul 2021 (5y) | ||
| Scott Lion Powers | Registered representative | Jul 2021 (5y) | ||
| Sharon Kaye Toston | Registered representative | Jul 2021 (5y) | ||
| Shu Chun Balogh | Registered representative | Jul 2021 (5y) | ||
| Steven George Perillo | Registered representative | Jul 2021 (5y) | ||
| Tammy Lee Macarthur | Registered representative | Jul 2021 (5y) | ||
| Taylor Lee Bottom | Registered representative | Jul 2021 (5y) | ||
| Terence Elmer Tysinger | Registered representative | Jul 2021 (5y) | ||
| Teresa Marie Rivera | Registered representative | Jul 2021 (5y) | ||
| Terrie Lee Clark | Registered representative | Jul 2021 (5y) | ||
| Tess Zigo | Registered representative | CFP | Jul 2021 (5y) | |
| Thomas Andrew Tilleman | Registered representative | CFP | Jul 2021 (5y) | |
| Thomas Bernard Dias | Registered representative | CFP | Jul 2021 (5y) | |
| Thomas Charles Strybuc | Registered representative | Jul 2021 (5y) | ||
| Thomas Donald Carson | Registered representative | Jul 2021 (5y) | ||
| Thomas Edward Brand | Registered representative | Jul 2021 (5y) | ||
| Thomas Edward Miller | Registered representative | CFP | Jul 2021 (5y) | |
| Thomas Everett Sinor | Registered representative | Jul 2021 (5y) | ||
| Thomas Halvorsen | Registered representative | CFP | Jul 2021 (5y) | |
| Thomas John Cannan | Registered representative | Jul 2021 (5y) | ||
| Thomas John Kovach | Registered representative | CFP | Jul 2021 (5y) | |
| Thomas Joseph Dolan | Registered representative | Jul 2021 (5y) | ||
| Thomas Martin Annis | Registered representative | Jul 2021 (5y) | ||
| Thomas Michael Loza | Registered representative | Jul 2021 (5y) | ||
| Thomas Patrick Knox | Registered representative | Jul 2021 (5y) | ||
| Thomas Ray Atkinson | Registered representative | Jul 2021 (5y) | ||
| Thomas Ross Berry | Registered representative | Jul 2021 (5y) | ||
| Thomas William Hentschel | Registered representative | Jul 2021 (5y) | ||
| Tim Dennis Franck | Registered representative | Jul 2021 (5y) | ||
| Tim Robert Heiser | Registered representative | CFP | Jul 2021 (5y) | |
| Timothy Allen Kamin | Registered representative | Jul 2021 (5y) | ||
| Timothy Andrew Olson | Registered representative | Jul 2021 (5y) | ||
| Timothy Dean Goering | Registered representative | Jul 2021 (5y) | ||
| Timothy Dean Weir | Registered representative | Jul 2021 (5y) | ||
| Timothy Donald Evanson | Registered representative | CFP | Jul 2021 (5y) | |
| Timothy Frank Nausin | Registered representative | Jul 2021 (5y) | ||
| Timothy Gavin Dabrieo | Registered representative | Jul 2021 (5y) | ||
| Timothy James Neumann | Registered representative | CFP | Jul 2021 (5y) | |
| Timothy Joseph Mclaughlin | Registered representative | CFP | Jul 2021 (5y) | |
| Timothy Leroy Jones | Registered representative | CFP | Jul 2021 (5y) | |
| Timothy Lorenz Haubenstricker | Registered representative | Jul 2021 (5y) | ||
| Timothy Matthew Fitzgerald | Registered representative | CFP Chartered Financial Consultant | Jul 2021 (5y) | |
| Timothy Milton Dean | Registered representative | Jul 2021 (5y) | ||
| Timothy Patrick Gomez | Registered representative | Jul 2021 (5y) | ||
| Timothy Patrick Reese | Registered representative | Jul 2021 (5y) | ||
| Timothy Paul Siefer | Registered representative | Jul 2021 (5y) | ||
| Timothy Spencer Rice | Registered representative | Jul 2021 (5y) | ||
| Timothy Vincent White | Registered representative | Jul 2021 (5y) | ||
| Tina Louise Hess | Registered representative | Jul 2021 (5y) | ||
| Toby Mcswain | Registered representative | Jul 2021 (5y) | ||
| Todd Alan Mazur | Registered representative | Jul 2021 (5y) | ||
| Todd Mitchell Harper | Registered representative | CFP | Jul 2021 (5y) | |
| Tracy Lynn Refior | Registered representative | Jul 2021 (5y) | ||
| Tracy Teng | Registered representative | Jul 2021 (5y) | ||
| Tran Ngoc Duong | Registered representative | Jul 2021 (5y) | ||
| Travis John Gravlin | Registered representative | Jul 2021 (5y) | ||
| Travis John Smith | Registered representative | Jul 2021 (5y) | ||
| Travis Michael Sawyer | Registered representative | Jul 2021 (5y) | ||
| Trevor Randal Shields | Registered representative | CFP | Jul 2021 (5y) | |
| Tristan Edward Dotts | Registered representative | Jul 2021 (5y) | ||
| Troy Anthony Van Dyke | Registered representative | Jul 2021 (5y) | ||
| Tucker Arne Fahlen | Registered representative | Jul 2021 (5y) | ||
| Tyler Jeffrey Freeman | Registered representative | CFP | Jul 2021 (5y) | |
| Tyler John Williams | Registered representative | Jul 2021 (5y) | ||
| Tyler Ray Wellman | Registered representative | Jul 2021 (5y) | ||
| Tyler Robert Smith | Registered representative | CFP | Jul 2021 (5y) | |
| Tyrel James Mcdonald | Registered representative | Jul 2021 (5y) | ||
| Tyrus Kim Meiss | Registered representative | CFP | Jul 2021 (5y) | |
| Tyson Brent Bialas | Registered representative | Jul 2021 (5y) | ||
| Taylor Angel Cann | Registered representative | Jul 2021 (5y) | ||
| Theresa Marie Ferrise | Registered representative | Jul 2021 (5y) | ||
| Todd Michael Loveless | Registered representative | Jul 2021 (5y) | ||
| Tori Lemuel Samuel | Registered representative | CFP | Jul 2021 (5y) | |
| Trevor Adam Holen | Registered representative | CFP | Jul 2021 (5y) | |
| Tyler Paul Simon | Registered representative | Jul 2021 (5y) | ||
| Vartan Grigoryan | Registered representative | Jul 2021 (5y) | ||
| Vickie Laverne Clark | Registered representative | Jul 2021 (5y) | ||
| Vincent Joseph Mastrey | Registered representative | Jul 2021 (5y) | ||
| Virginia Anne Bayne Merkouris | Registered representative | Jul 2021 (5y) | ||
| Wade Aaron Ojala | Registered representative | Jul 2021 (5y) | ||
| Wade Robert Schertenleib | Registered representative | Jul 2021 (5y) | ||
| Walter Carl Wilhelm | Registered representative | Jul 2021 (5y) | ||
| Walter Ray Wilson | Registered representative | CFP Chartered Financial Consultant | Jul 2021 (5y) | |
| Whitney Elizabeth Murray | Registered representative | Jul 2021 (5y) | ||
| Willard Irvin Caton | Registered representative | Jul 2021 (5y) | ||
| Willard Kevin Fladager | Registered representative | Jul 2021 (5y) | ||
| William David James | Registered representative | Jul 2021 (5y) | ||
| William Edward Cartwright | Registered representative | CFP | Jul 2021 (5y) | |
| William Folse Bohne | Registered representative | CFP | Jul 2021 (5y) | |
| William Hale Skavdahl | Registered representative | Jul 2021 (5y) | ||
| William Louis Knoke | Registered representative | CFP | Jul 2021 (5y) | |
| William Russell Thompson | Registered representative | Jul 2021 (5y) | ||
| William Thomas Lockwood | Registered representative | CFP | Jul 2021 (5y) | |
| Willis Michael Scofield | Registered representative | Jul 2021 (5y) | ||
| Willy Fred Zimmerman | Registered representative | Jul 2021 (5y) | ||
| Worawit Judd Tongprajiad | Registered representative | Jul 2021 (5y) | ||
| Wesley John Brandon | Registered representative | Jul 2021 (5y) | ||
| William Blaine Burton | Registered representative | Jul 2021 (5y) | ||
| William George Fisher Connell | Registered representative | Jul 2021 (5y) | ||
| Yaming Zhou | Registered representative | Jul 2021 (5y) | ||
| Yolanda M Kernes | Registered representative | Jul 2021 (5y) | ||
| Yuhui Chang | Registered representative | Jul 2021 (5y) | ||
| Yoko Kato Lawing | Registered representative | Jul 2021 (5y) | ||
| Zachary Peter Beckhusen | Registered representative | CFP | Jul 2021 (5y) | |
| Zachary Thomas Edwards | Registered representative | Jul 2021 (5y) | ||
| Zachary Thys Sweeny | Registered representative | Jul 2021 (5y) | ||
| Zachary Thomas Holloway | Registered representative | Jul 2021 (5y) | ||
| Andrew James Holt | Registered representative | Jul 2021 (5y) | ||
| Arianna Christina O'rourke | Registered representative | Jul 2021 (5y) | ||
| Breanna Lee Gardner | Registered representative | Jul 2021 (5y) | ||
| John Francis Fitchett | Registered representative | Jul 2021 (5y) | ||
| Laura Lea Witt | Registered representative | Jul 2021 (5y) | ||
| Mary Theresa Butler Aldrich | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Nicholas Kelly Ehmcke | Registered representative | Jul 2021 (5y) | ||
| Paul Joseph Sauerbrunn | Registered representative | CFP | Jul 2021 (5y) | |
| Shawn P Rohrig | Registered representative | CFP | Jul 2021 (5y) | |
| Shiloh Cameron Kamrath | Registered representative | Jul 2021 (5y) | ||
| Thomas Alan Gregg | Registered representative | Jul 2021 (5y) | ||
| Anthony Joseph Glodava | Registered representative | Jul 2021 (5y) | ||
| Leslie Kristine Warren | Registered representative | Jul 2021 (5y) | ||
| David Andrew Zientek | Registered representative | Jul 2021 (5y) | ||
| James Michael Luongo | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| James Bryan Stark | Registered representative | Jul 2021 (5y) | ||
| James Albert Wade | Registered representative | CFP | Jul 2021 (5y) | |
| Mary Todd | Registered representative | Jul 2021 (5y) | ||
| Garrett Matthew Sherman | Registered representative | Jul 2021 (5y) | ||
| John William Wagner | Registered representative | Jul 2021 (5y) | ||
| Kurtis Spence Inouye | Registered representative | Jul 2021 (5y) | ||
| Patrick Joseph Devaney | Registered representative | Jul 2021 (5y) | ||
| Richard Paul Lebel | Registered representative | Jul 2021 (5y) | ||
| Ryan Michael Shenigo | Registered representative | Jul 2021 (5y) | ||
| Shannon Edna Paulsen | Registered representative | Jul 2021 (5y) | ||
| Stephanie Marie Hammell | Registered representative | Jul 2021 (5y) | ||
| Anne Brady Ramirez | Registered representative | Jul 2021 (5y) | ||
| Anthony Ghassan Raad | Registered representative | Jul 2021 (5y) | ||
| Gregory David Tripold | Registered representative | CFP | Jul 2021 (5y) | |
| Ilana Marye Atkins | Registered representative | Jul 2021 (5y) | ||
| James Richard Fonseca | Registered representative | Jul 2021 (5y) | ||
| Mark Richard Ziemba | Registered representative | Jul 2021 (5y) | ||
| Paul William Ha | Registered representative | Jul 2021 (5y) | ||
| Tyler Patrick Daly | Registered representative | Jul 2021 (5y) | ||
| William Anthony Lyness | Registered representative | Jul 2021 (5y) | ||
| Adam Thomas Charuhas | Registered representative | Aug 2021 (5y) | ||
| Bruce Scott Lubatkin | Registered representative | CFP | Aug 2021 (5y) | |
| Connie Georgianne Benham | Registered representative | Aug 2021 (5y) | ||
| Daniel James Charuhas | Registered representative | Aug 2021 (5y) | ||
| Douglas Michael Irish | Registered representative | Aug 2021 (5y) | ||
| Gerard Anthony Nizich | Registered representative | CFP | Aug 2021 (5y) | |
| Gregory Roger Freitag | Registered representative | CFP Chartered Financial Consultant | Aug 2021 (5y) | |
| John Jacob Zezini | Registered representative | CFP | Aug 2021 (5y) | |
| Richard Frederick Trasport | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| William Lashaun Jiles | Registered representative | Aug 2021 (5y) | ||
| Ahmadzia Hatami | Registered representative | Aug 2021 (5y) | ||
| Alan Green | Registered representative | Aug 2021 (5y) | ||
| Albert Victor Althaus | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Alexander Robert Bencini | Registered representative | Aug 2021 (5y) | ||
| Alfred Salvatore Russo | Registered representative | Aug 2021 (5y) | ||
| Alice Margaret Weir | Registered representative | Aug 2021 (5y) | ||
| Allison Anne Major | Registered representative | Aug 2021 (5y) | ||
| Amanda Friedman | Registered representative | Aug 2021 (5y) | ||
| Andre Edgar Beckles | Registered representative | Aug 2021 (5y) | ||
| Andrew Earl Clark | Registered representative | Aug 2021 (5y) | ||
| Andrew Economos | Registered representative | Aug 2021 (5y) | ||
| Andrew Joseph Donovan | Registered representative | CFP | Aug 2021 (5y) | |
| Andrew Paul Hugos | Registered representative | Aug 2021 (5y) | ||
| Andrew Richard Hahn | Registered representative | Aug 2021 (5y) | ||
| Andrew Robert Kuter | Registered representative | Aug 2021 (5y) | ||
| Ann Marie Moore | Registered representative | Aug 2021 (5y) | ||
| Augustine Nnamdi Ezechi | Registered representative | Aug 2021 (5y) | ||
| Andrew Ward | Registered representative | CFP | Aug 2021 (5y) | |
| Barbara Jean Delaney | Registered representative | Aug 2021 (5y) | ||
| Benjamin D Geist | Registered representative | CFP | Aug 2021 (5y) | |
| Bradley Bonfante | Registered representative | Aug 2021 (5y) | ||
| Bradley Dean Hayslette | Registered representative | Aug 2021 (5y) | ||
| Brian Christopher Tramontano | Registered representative | Aug 2021 (5y) | ||
| Brian David Hooks | Registered representative | Aug 2021 (5y) | ||
| Brian Masker | Registered representative | CFP | Aug 2021 (5y) | |
| Brian Michael Mcguiness | Registered representative | Aug 2021 (5y) | ||
| Brian C Murray | Registered representative | Aug 2021 (5y) | ||
| Carla Eudene Williams | Registered representative | Aug 2021 (5y) | ||
| Carol Robin Horowitz | Registered representative | Aug 2021 (5y) | ||
| Carrie Ann Lane | Registered representative | Aug 2021 (5y) | ||
| Charles Mazziotti | Registered representative | Aug 2021 (5y) | ||
| Chasity Maureen Jaynes | Registered representative | Aug 2021 (5y) | ||
| Christopher A Danzer | Registered representative | Aug 2021 (5y) | ||
| Christopher Michael Noonan | Registered representative | Aug 2021 (5y) | ||
| Christopher Paul Davison | Registered representative | Aug 2021 (5y) | ||
| Christopher Thomas Connell | Registered representative | Aug 2021 (5y) | ||
| Christopher Wayne Bruna | Registered representative | Aug 2021 (5y) | ||
| Clifford Joseph Meditz | Registered representative | Aug 2021 (5y) | ||
| Collin James Hawes | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Dahvia Lee Doring | Registered representative | Aug 2021 (5y) | ||
| Daniel E Cwik | Registered representative | Aug 2021 (5y) | ||
| Daniel Paul Hazewski | Registered representative | Aug 2021 (5y) | ||
| Daniel Richard Hazewski | Registered representative | Aug 2021 (5y) | ||
| Danielle Payne | Registered representative | Aug 2021 (5y) | ||
| David G Will | Registered representative | Aug 2021 (5y) | ||
| David Gene Benedict | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| David J Deraddo | Registered representative | CFP | Aug 2021 (5y) | |
| David Paul Olsen | Registered representative | Aug 2021 (5y) | ||
| David Pier Munn | Registered representative | Aug 2021 (5y) | ||
| Dean Wesley Waldron | Registered representative | Aug 2021 (5y) | ||
| Derek Craig Bailey | Registered representative | Aug 2021 (5y) | ||
| Dominick Jude Sageer | Registered representative | Aug 2021 (5y) | ||
| Donald Frank Stanyon | Registered representative | Aug 2021 (5y) | ||
| Drew Scott Dioguardi | Registered representative | Aug 2021 (5y) | ||
| Eoin Dean Carroll | Registered representative | Aug 2021 (5y) | ||
| Eric Howard Schneider | Registered representative | Aug 2021 (5y) | ||
| Evan C Ross | Registered representative | Aug 2021 (5y) | ||
| Emalie Susan Lasko | Registered representative | Aug 2021 (5y) | ||
| Faith Hope Olsen | Registered representative | CFP | Aug 2021 (5y) | |
| Frank John Antonucci | Registered representative | CFP | Aug 2021 (5y) | |
| Frank Joseph Torelli | Registered representative | Aug 2021 (5y) | ||
| Frank Peter Heraghty | Registered representative | Aug 2021 (5y) | ||
| Gary Grant Casab | Registered representative | Aug 2021 (5y) | ||
| George Frederick Lorenz | Registered representative | Aug 2021 (5y) | ||
| George Hw Christie | Registered representative | Aug 2021 (5y) | ||
| George Steve Telles | Registered representative | Aug 2021 (5y) | ||
| Graham William Nelson | Registered representative | Aug 2021 (5y) | ||
| Gregory Hayden Raue | Registered representative | Aug 2021 (5y) | ||
| Gregory Joseph Bruno | Registered representative | Aug 2021 (5y) | ||
| Gregory Paul Diehl | Registered representative | Aug 2021 (5y) | ||
| Gretchen Ann Meyer Thornton | Registered representative | Aug 2021 (5y) | ||
| Harry David Hartman | Registered representative | Aug 2021 (5y) | ||
| Irma Melissa Amador | Registered representative | Aug 2021 (5y) | ||
| James Clark Madan | Registered representative | Aug 2021 (5y) | ||
| James Irvin Sullivan | Registered representative | Aug 2021 (5y) | ||
| James Philip Wehrle | Registered representative | Aug 2021 (5y) | ||
| James R Cirocco | Registered representative | Aug 2021 (5y) | ||
| Jamie Scott Shapiro | Registered representative | Aug 2021 (5y) | ||
| Jason John Duga | Registered representative | Aug 2021 (5y) | ||
| Jennifer Delaney | Registered representative | Aug 2021 (5y) | ||
| Jennifer L Reed | Registered representative | Aug 2021 (5y) | ||
| Joan Marie Wilton | Registered representative | Aug 2021 (5y) | ||
| Joanne Elizabeth Secky | Registered representative | Aug 2021 (5y) | ||
| Joanne Lois Diehl | Registered representative | Aug 2021 (5y) | ||
| Joelle Lauren Donahoe | Registered representative | Aug 2021 (5y) | ||
| John Allein Summers | Registered representative | Aug 2021 (5y) | ||
| John Anthony Lucadamo | Registered representative | Aug 2021 (5y) | ||
| John Joseph Bellontine | Registered representative | Aug 2021 (5y) | ||
| John Joseph Dunn | Registered representative | Aug 2021 (5y) | ||
| John Steve Vorvolakos | Registered representative | Aug 2021 (5y) | ||
| Johnpaul Duran | Registered representative | Aug 2021 (5y) | ||
| Jordan M Alger | Registered representative | Aug 2021 (5y) | ||
| Joseph J Praino | Registered representative | Aug 2021 (5y) | ||
| Joseph John Cosenza | Registered representative | Aug 2021 (5y) | ||
| Joseph Lazarus Soricelli | Registered representative | Aug 2021 (5y) | ||
| Joseph Peter Rusin | Registered representative | Aug 2021 (5y) | ||
| Joseph Raymond Pigot | Registered representative | Aug 2021 (5y) | ||
| Joseph Sitaras | Registered representative | Aug 2021 (5y) | ||
| Judy Ann Thompson | Registered representative | Aug 2021 (5y) | ||
| Jamie Douglas Hanlon | Registered representative | Aug 2021 (5y) | ||
| Jeffrey B Greco | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Kahlil Adames | Registered representative | Aug 2021 (5y) | ||
| Karen Kay Stewart | Registered representative | Aug 2021 (5y) | ||
| Karl Klein | Registered representative | Aug 2021 (5y) | ||
| Kelly A Whalen | Registered representative | Aug 2021 (5y) | ||
| Kenneth Fonteyn | Registered representative | Aug 2021 (5y) | ||
| Kenneth Jacobsen | Registered representative | Aug 2021 (5y) | ||
| Kevin Edwin Porter | Registered representative | Aug 2021 (5y) | ||
| Kevin Michael Ogrady | Registered representative | Aug 2021 (5y) | ||
| Kiere D Neulander | Registered representative | CFP | Aug 2021 (5y) | |
| Kim M Emperato | Registered representative | Aug 2021 (5y) | ||
| Kimberly Anne Anderson | Registered representative | CFP | Aug 2021 (5y) | |
| Kristin Joyce Walts | Registered representative | Aug 2021 (5y) | ||
| Kyle Michael Preston | Registered representative | CFP | Aug 2021 (5y) | |
| Landon S Tan | Registered representative | CFP | Aug 2021 (5y) | |
| Lania Kathleen Cross | Registered representative | Aug 2021 (5y) | ||
| Lawrence Maurice Kavanaugh | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Lawrence Seiden | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Leo Raymond Nicotera | Registered representative | Aug 2021 (5y) | ||
| Lisa A Tevnan | Registered representative | Aug 2021 (5y) | ||
| Lisa Ann Tennant | Registered representative | CFP | Aug 2021 (5y) | |
| Lois Myra Goldstein | Registered representative | Aug 2021 (5y) | ||
| Lynda Ann Beisner | Registered representative | Aug 2021 (5y) | ||
| Marc A Staley | Registered representative | Aug 2021 (5y) | ||
| Marcene L Depew | Registered representative | Aug 2021 (5y) | ||
| Maria Mauceli | Registered representative | Aug 2021 (5y) | ||
| Mark Gordon Ripley | Registered representative | CFP | Aug 2021 (5y) | |
| Mark James Papuzza | Registered representative | Aug 2021 (5y) | ||
| Mark Joseph Libersher | Registered representative | Aug 2021 (5y) | ||
| Marlin George Gillespie | Registered representative | Aug 2021 (5y) | ||
| Mary Elizabeth Dunne | Registered representative | Aug 2021 (5y) | ||
| Maryanne Barcellona | Registered representative | CFP | Aug 2021 (5y) | |
| Matthew Briggs Easterly | Registered representative | Aug 2021 (5y) | ||
| Matthew Cory Monroe | Registered representative | Aug 2021 (5y) | ||
| Matthew G Clement | Registered representative | Aug 2021 (5y) | ||
| Matthew J Murphy | Registered representative | Aug 2021 (5y) | ||
| Matthew Lewis Giorgi | Registered representative | Aug 2021 (5y) | ||
| Melinda M Lenzi | Registered representative | CFP | Aug 2021 (5y) | |
| Michael David Montaruli | Registered representative | Aug 2021 (5y) | ||
| Michael David Silkowski | Registered representative | Aug 2021 (5y) | ||
| Michael Edward Chambers | Registered representative | Aug 2021 (5y) | ||
| Michael Joseph Longo | Registered representative | Aug 2021 (5y) | ||
| Michael Joseph Minevich | Registered representative | Aug 2021 (5y) | ||
| Michael Lawrence Sander | Registered representative | Aug 2021 (5y) | ||
| Michael Massoud | Registered representative | Aug 2021 (5y) | ||
| Michael P Zoli | Registered representative | CFP | Aug 2021 (5y) | |
| Michael Richard Carminucci | Registered representative | Aug 2021 (5y) | ||
| Michael Robert Rowe | Registered representative | Aug 2021 (5y) | ||
| Murad Huson Royal | Registered representative | Aug 2021 (5y) | ||
| Nathan Huisgen | Registered representative | Aug 2021 (5y) | ||
| Neil Lawrence Hassett | Registered representative | Aug 2021 (5y) | ||
| Nicholas Constantine Dusckas | Registered representative | Aug 2021 (5y) | ||
| Nicole L Mann | Registered representative | Aug 2021 (5y) | ||
| Ojas Viraj Sardesai | Registered representative | Aug 2021 (5y) | ||
| Patricia Elizabeth Weinshank | Registered representative | Aug 2021 (5y) | ||
| Paul Anthony Cuda | Registered representative | Aug 2021 (5y) | ||
| Paul Bryan Winkler | Registered representative | Aug 2021 (5y) | ||
| Paul Joseph Carrano | Registered representative | Aug 2021 (5y) | ||
| Paul R Donato | Registered representative | Aug 2021 (5y) | ||
| Paula Theresa Aveni | Registered representative | Aug 2021 (5y) | ||
| Peter A Franz | Registered representative | Aug 2021 (5y) | ||
| Peter Chan | Registered representative | Aug 2021 (5y) | ||
| Peter G Sclavo | Registered representative | Aug 2021 (5y) | ||
| Philip T Cortese | Registered representative | Aug 2021 (5y) | ||
| Pasquale Castaldo | Registered representative | Aug 2021 (5y) | ||
| Paul C De Loria | Registered representative | CFP | Aug 2021 (5y) | |
| Pierce Mahar | Registered representative | Aug 2021 (5y) | ||
| Raffi Paul Moroukian | Registered representative | Aug 2021 (5y) | ||
| Raymond Khoury | Registered representative | Aug 2021 (5y) | ||
| Richard Charles Decker | Registered representative | Aug 2021 (5y) | ||
| Richard Daniels | Registered representative | Aug 2021 (5y) | ||
| Richard Dean Smith | Registered representative | Aug 2021 (5y) | ||
| Richard Paul Wismer | Registered representative | Aug 2021 (5y) | ||
| Robert Barry Eckermann | Registered representative | Aug 2021 (5y) | ||
| Robert F. Blair | Registered representative | Aug 2021 (5y) | ||
| Robert John Kovacs | Registered representative | CFP | Aug 2021 (5y) | |
| Robert Martin Carey | Registered representative | Aug 2021 (5y) | ||
| Robert Michael Schermerhorn | Registered representative | CFP | Aug 2021 (5y) | |
| Robert P Mojsej | Registered representative | Aug 2021 (5y) | ||
| Robert Thomas Koczent | Registered representative | Aug 2021 (5y) | ||
| Robert Wayne Bradley | Registered representative | CFP | Aug 2021 (5y) | |
| Russell Evan Glickstern | Registered representative | Aug 2021 (5y) | ||
| Ryan Christopher Obst | Registered representative | Aug 2021 (5y) | ||
| Ryan James Chenot | Registered representative | Aug 2021 (5y) | ||
| Robert J Wright | Registered representative | Aug 2021 (5y) | ||
| Robert S Walker | Registered representative | CFP Chartered Financial Consultant | Aug 2021 (5y) | |
| Sabrina Ann Chilson | Registered representative | CFP | Aug 2021 (5y) | |
| Sagorica Basu Rudra | Registered representative | Aug 2021 (5y) | ||
| Saidur Rahman | Registered representative | Aug 2021 (5y) | ||
| Sandy Peter Romeo | Registered representative | Aug 2021 (5y) | ||
| Sarah Lynn Campbell | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Scott Charles Morrow | Registered representative | CFP | Aug 2021 (5y) | |
| Scott D. Levin | Registered representative | Aug 2021 (5y) | ||
| Scott Francis Ricci | Registered representative | Aug 2021 (5y) | ||
| Scott Robert Dancyger | Registered representative | Aug 2021 (5y) | ||
| Sebastian Bulfamante | Registered representative | Aug 2021 (5y) | ||
| Sheldon Jay Walker | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Shelley Bullock | Registered representative | Aug 2021 (5y) | ||
| Shevonne La'ney Olmstead | Registered representative | Aug 2021 (5y) | ||
| Stephen Joseph Gaudino | Registered representative | Aug 2021 (5y) | ||
| Steven Paul Dawson | Registered representative | Aug 2021 (5y) | ||
| Serafino B Iantorno | Registered representative | Aug 2021 (5y) | ||
| Theodore Brakatselos | Registered representative | Aug 2021 (5y) | ||
| Theodore Thiro | Registered representative | Aug 2021 (5y) | ||
| Thomas Charles Moehringer | Registered representative | Aug 2021 (5y) | ||
| Thomas Michael Schultz | Registered representative | Aug 2021 (5y) | ||
| Thomas Stephen Czechowski | Registered representative | Aug 2021 (5y) | ||
| Timothy Patrick Flynn | Registered representative | Aug 2021 (5y) | ||
| Tina Bakalas | Registered representative | Aug 2021 (5y) | ||
| Tina Sohn | Registered representative | Aug 2021 (5y) | ||
| Travis Robert White | Registered representative | Aug 2021 (5y) | ||
| Todd J Trombly | Registered representative | Aug 2021 (5y) | ||
| Valerie Marie Mitchell | Registered representative | Aug 2021 (5y) | ||
| Vincent Dominic Petrosini | Registered representative | Aug 2021 (5y) | ||
| Vincent Henry Cardullo | Registered representative | Aug 2021 (5y) | ||
| Vincent Michael Miller | Registered representative | Aug 2021 (5y) | ||
| William Chauser Bernstein | Registered representative | Aug 2021 (5y) | ||
| William Francis May | Registered representative | Aug 2021 (5y) | ||
| William Karl Kopp | Registered representative | Aug 2021 (5y) | ||
| William Wu | Registered representative | CFP | Aug 2021 (5y) | |
| Wade Robert Shumway | Registered representative | Aug 2021 (5y) | ||
| Hal Arthur Burns | Registered representative | Aug 2021 (5y) | ||
| Jeremiah T Vickery | Registered representative | Aug 2021 (5y) | ||
| Jose A Tagle | Registered representative | Aug 2021 (5y) | ||
| Nathan Jared Messer | Registered representative | Aug 2021 (5y) | ||
| David Lawrence Starck | Registered representative | Aug 2021 (5y) | ||
| Dennis Gary Kemble | Registered representative | Aug 2021 (5y) | ||
| Donald A Boyd | Registered representative | Aug 2021 (5y) | ||
| John William Zuchlewski | Registered representative | Aug 2021 (5y) | ||
| Patricia Susan Wallaitis | Registered representative | Aug 2021 (5y) | ||
| Paul Joseph Krause | Registered representative | Aug 2021 (5y) | ||
| Ryan Timothy Belding | Registered representative | Aug 2021 (5y) | ||
| Trent Roman Gain | Registered representative | Aug 2021 (5y) | ||
| Aaron Brendan Moore | Registered representative | Aug 2021 (5y) | ||
| Michael Eugene Theis | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Pat Palmer Patterson | Registered representative | Aug 2021 (5y) | ||
| Steven Robert Schwartz | Registered representative | Aug 2021 (5y) | ||
| Susan D Kerr | Registered representative | Aug 2021 (5y) | ||
| Andrew Blake Wright | Registered representative | Aug 2021 (5y) | ||
| Ann Karlene Myers | Registered representative | Aug 2021 (5y) | ||
| Kenneth H South | Registered representative | Aug 2021 (5y) | ||
| Bryce James Street | Registered representative | Aug 2021 (5y) | ||
| Christopher Lyle Vance | Registered representative | Aug 2021 (5y) | ||
| Christian Hamilton Binger | Registered representative | CFP | Aug 2021 (5y) | |
| Morton Lee Lipman | Registered representative | Aug 2021 (5y) | ||
| John Brian Lee | Registered representative | Aug 2021 (5y) | ||
| Kristin Lambers Costle | Registered representative | Aug 2021 (5y) | ||
| Martin Ira Friedman | Registered representative | CFP | Aug 2021 (5y) | |
| Richard Charles Anthony | Registered representative | Aug 2021 (5y) | ||
| Kevin Michael Hannon | Registered representative | CFP | Aug 2021 (5y) | |
| Mario Joseph Camillo | Registered representative | Aug 2021 (5y) | ||
| Jason Ryan Stahl | Registered representative | Aug 2021 (5y) | ||
| Adam Christopher Grantham | Registered representative | CFP Chartered Financial Consultant | Aug 2021 (5y) | |
| Benjamin Messmer | Registered representative | Aug 2021 (5y) | ||
| Casey Allen Tjalsma | Registered representative | CFP | Aug 2021 (5y) | |
| Carson Gray Waddell | Registered representative | Aug 2021 (5y) | ||
| Daniel Philip Werkowitch | Registered representative | Aug 2021 (5y) | ||
| Kimberley Kae Hamilton | Registered representative | Aug 2021 (5y) | ||
| Ryan Mr Godin | Registered representative | Aug 2021 (5y) | ||
| Colin Thomas Krafft | Registered representative | Aug 2021 (5y) | ||
| Kenneth Ray Smith | Registered representative | Aug 2021 (5y) | ||
| Emma Vanderlick | Registered representative | Aug 2021 (5y) | ||
| Nelson Valerio | Registered representative | Aug 2021 (5y) | ||
| Sean Michael Tyll | Registered representative | Aug 2021 (5y) | ||
| Thomas Michael Garland | Registered representative | Aug 2021 (5y) | ||
| Tracy Garcia Applewhite | Registered representative | Aug 2021 (5y) | ||
| Ben G Pierce | Registered representative | Aug 2021 (5y) | ||
| Jeffrey M Gardiner | Registered representative | Aug 2021 (5y) | ||
| Kyle Allen Powell | Registered representative | Aug 2021 (5y) | ||
| Michael Harvey Carley | Registered representative | Aug 2021 (5y) | ||
| Erin Leigh Tress | Registered representative | CFP | Aug 2021 (5y) | |
| Jon Charles Williams | Registered representative | CFP | Aug 2021 (5y) | |
| Joseph Elias Anthony | Registered representative | CFP | Aug 2021 (5y) | |
| Richard D Gifford | Registered representative | Aug 2021 (5y) | ||
| Bryce Donovan Kelley | Registered representative | Aug 2021 (5y) | ||
| Alyssa Rae Droste | Registered representative | Aug 2021 (5y) | ||
| Edward Lee Kuharski | Registered representative | Aug 2021 (5y) | ||
| Jason David Sherr | Registered representative | Aug 2021 (5y) | ||
| Merrick Minh Nguyen | Registered representative | Aug 2021 (5y) | ||
| Molly Shay Beeman | Registered representative | Aug 2021 (5y) | ||
| Teri Anne Perrigoue | Registered representative | Aug 2021 (5y) | ||
| William Philip Kuharski | Registered representative | Aug 2021 (5y) | ||
| Aron Michael Gorenstein | Registered representative | Aug 2021 (5y) | ||
| Barry Keith Malone | Registered representative | CFP | Aug 2021 (5y) | |
| Gregory Steven Moore | Registered representative | Aug 2021 (5y) | ||
| Jim Sidney Ostach | Registered representative | Aug 2021 (5y) | ||
| Joshua Alan Jacoby | Registered representative | Aug 2021 (5y) | ||
| Mark Wade Dickson | Registered representative | Aug 2021 (5y) | ||
| Michael Anthony Rogers | Registered representative | Aug 2021 (5y) | ||
| Michael Joseph Cosenza | Registered representative | Aug 2021 (5y) | ||
| Stephen J Carson | Registered representative | Aug 2021 (5y) | ||
| Candace Gilles | Registered representative | Aug 2021 (5y) | ||
| Catherine Irene Fortier | Registered representative | Aug 2021 (5y) | ||
| Derek Maurice Lawson | Registered representative | CFP | Aug 2021 (5y) | |
| Janet M Fieldman | Registered representative | Aug 2021 (5y) | ||
| Alan Preston Canine | Registered representative | Aug 2021 (5y) | ||
| Allison Christine Taylor | Registered representative | Aug 2021 (5y) | ||
| Ava Diane Smith | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Brian Christopher Genninger | Registered representative | Aug 2021 (5y) | ||
| Fonda Moore Coffey | Registered representative | Aug 2021 (5y) | ||
| George Simmons Wootten | Registered representative | Aug 2021 (5y) | ||
| Jeffrey Lynn Wicks | Registered representative | Aug 2021 (5y) | ||
| Jordan Scott Sereno | Registered representative | Aug 2021 (5y) | ||
| Michael Paul Blanchard | Registered representative | Aug 2021 (5y) | ||
| Sharon Lenise Walls | Registered representative | Aug 2021 (5y) | ||
| Tiffany Renee Rawling | Registered representative | Aug 2021 (5y) | ||
| William West Thompson | Registered representative | CFP | Aug 2021 (5y) | |
| Carl Milton Newman | Registered representative | CFP | Aug 2021 (5y) | |
| Cory Dale Summers | Registered representative | CFP | Aug 2021 (5y) | |
| Curtis Tilman Hinshaw | Registered representative | Aug 2021 (5y) | ||
| Dominick John Riolo | Registered representative | Aug 2021 (5y) | ||
| Frank A Riolo | Registered representative | CFP | Aug 2021 (5y) | |
| James Paul Mailhes | Registered representative | CFP Chartered Financial Consultant | Aug 2021 (5y) | |
| Jerry David Martin | Registered representative | Aug 2021 (5y) | ||
| Jonathan Robert Cromer | Registered representative | Aug 2021 (5y) | ||
| Joshua Chase Overbeek | Registered representative | Aug 2021 (5y) | ||
| Kaitlyn Jane Chuong | Registered representative | Aug 2021 (5y) | ||
| Rhonda Alyson Bagley | Registered representative | Aug 2021 (5y) | ||
| Michael Carl Cheslock | Registered representative | Aug 2021 (5y) | ||
| Adam Joseph Pusateri | Registered representative | CFP | Aug 2021 (5y) | |
| Andrew Louis Michel | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Andrew Thomas Schenker | Registered representative | Aug 2021 (5y) | ||
| Brett M Geric | Registered representative | Aug 2021 (5y) | ||
| Daniel Nathan Luber | Registered representative | Aug 2021 (5y) | ||
| Don Russell Parkhill | Registered representative | Aug 2021 (5y) | ||
| G Adam Weingartner | Registered representative | CFA | Aug 2021 (5y) | |
| Jaret Clinton Mutter | Registered representative | Aug 2021 (5y) | ||
| Lisa Beth Sherman | Registered representative | CFP | Aug 2021 (5y) | |
| Richard John Martin | Registered representative | CFP | Aug 2021 (5y) | |
| Richard Michael Obrien | Registered representative | Aug 2021 (5y) | ||
| Robert Cole Schwarz | Registered representative | Aug 2021 (5y) | ||
| Shane Patrick Riley | Registered representative | Aug 2021 (5y) | ||
| Alyson Noelle Stark | Registered representative | Aug 2021 (5y) | ||
| Brent Daniel Gross | Registered representative | Aug 2021 (5y) | ||
| Benjamin Simon Hall | Registered representative | Aug 2021 (5y) | ||
| Conrad E Cook | Registered representative | Aug 2021 (5y) | ||
| Courtney Ann Walls | Registered representative | Aug 2021 (5y) | ||
| Christopher Smith | Registered representative | Aug 2021 (5y) | ||
| Donald Sakamoto | Registered representative | Aug 2021 (5y) | ||
| Kevin Eric Baker | Registered representative | Aug 2021 (5y) | ||
| Mackenzie Ann Bridgeland | Registered representative | Aug 2021 (5y) | ||
| Marcus Alan Hume | Registered representative | CFP | Aug 2021 (5y) | |
| Stephen D Iaconis | Registered representative | CFP | Aug 2021 (5y) | |
| Tim Xuan Ha | Registered representative | CFP | Aug 2021 (5y) | |
| Tyler Joseph Klepek | Registered representative | Aug 2021 (5y) | ||
| Joseph Victor Benedetti | Registered representative | CFP | Sep 2021 (5y) | |
| John Todd Clinton Clemons | Registered representative | CFP | Sep 2021 (5y) | |
| Victoria Marie Mannarino | Registered representative | CFP | Sep 2021 (5y) | |
| Jacob James Smolarek | Registered representative | CFP | Sep 2021 (5y) | |
| Jonathan Tan | Registered representative | Sep 2021 (5y) | ||
| Peter Sallim Shunyia | Registered representative | Sep 2021 (5y) | ||
| Sandra Kay Lobato | Registered representative | Sep 2021 (5y) | ||
| Andrew Michael Chapman | Registered representative | Sep 2021 (5y) | ||
| Jeffery Sante Jachura | Registered representative | Sep 2021 (5y) | ||
| John Robert Vande Bossche | Registered representative | Sep 2021 (5y) | ||
| Joseph Nathaniel Ponce | Registered representative | Sep 2021 (5y) | ||
| Kristen Marie Vande Bossche | Registered representative | CFP | Sep 2021 (5y) | |
| Kimber Elizabeth De Loia | Registered representative | Sep 2021 (5y) | ||
| Kyle Wallace Fey | Registered representative | Sep 2021 (5y) | ||
| Maxwell D Cook | Registered representative | Sep 2021 (5y) | ||
| Patrick J Vande Bossche | Registered representative | Sep 2021 (5y) | ||
| Stephen Byers | Registered representative | Sep 2021 (5y) | ||
| Anya Marie Stutz | Registered representative | Sep 2021 (5y) | ||
| Barry Mitchell Kay | Registered representative | Sep 2021 (5y) | ||
| Diane Elizabeth Di Braccio | Registered representative | Sep 2021 (5y) | ||
| Kenneth Allen Millsapps | Registered representative | Sep 2021 (5y) | ||
| Ty Matthew Miller | Registered representative | Sep 2021 (5y) | ||
| Bradford Miguel Smith | Registered representative | Sep 2021 (5y) | ||
| John M Davila | Registered representative | Sep 2021 (5y) | ||
| John Patrick Stephens | Registered representative | Sep 2021 (5y) | ||
| Michael Robert Stevenson | Registered representative | Sep 2021 (5y) | ||
| Brittany Forte | Registered representative | Sep 2021 (5y) | ||
| Bradley Louis Boessen | Registered representative | Sep 2021 (5y) | ||
| Charles Elliott Gibbs | Registered representative | Sep 2021 (5y) | ||
| Jacob Robert Quint | Registered representative | Sep 2021 (5y) | ||
| Kirsten Britt Tangeman Herve | Registered representative | Sep 2021 (5y) | ||
| Matthew Dale Campbell | Registered representative | Sep 2021 (5y) | ||
| Ryan Forsyth | Registered representative | Sep 2021 (5y) | ||
| David Fleming Crossan | Registered representative | Sep 2021 (5y) | ||
| Gary Dennis Reed | Registered representative | Sep 2021 (5y) | ||
| Jared A Freese | Registered representative | Sep 2021 (5y) | ||
| Jordan Faerber | Registered representative | CFP | Sep 2021 (5y) | |
| Katelyn Naomi Montijo | Registered representative | Sep 2021 (5y) | ||
| Lance Edward Modawell | Registered representative | Sep 2021 (5y) | ||
| Payton James Miller | Registered representative | Sep 2021 (5y) | ||
| Richard Jude Auteri | Registered representative | Sep 2021 (5y) | ||
| Steven Stone | Registered representative | CFP | Sep 2021 (5y) | |
| Brandy Michelle Phipps | Registered representative | Sep 2021 (5y) | ||
| Harry Virunurm | Registered representative | Sep 2021 (5y) | ||
| Jessica Abrego | Registered representative | Sep 2021 (5y) | ||
| Penny Lea Seeley Dean | Registered representative | Sep 2021 (5y) | ||
| Robert Michael Mcallister | Registered representative | Sep 2021 (5y) | ||
| Terry Ming Hsun Lin | Registered representative | Sep 2021 (5y) | ||
| William Joseph Passarelli | Registered representative | Sep 2021 (5y) | ||
| Bryon Edward Meyer | Registered representative | Sep 2021 (5y) | ||
| Davis Howland Culwell | Registered representative | Sep 2021 (5y) | ||
| Jonathan Wallace Pultz | Registered representative | Sep 2021 (5y) | ||
| Mark Thomas Mullin | Registered representative | Sep 2021 (5y) | ||
| Todd Alan Lance | Registered representative | Sep 2021 (5y) | ||
| Jody Green Zellner | Registered representative | Sep 2021 (5y) | ||
| Marcelle Denise Soliman | Registered representative | Sep 2021 (5y) | ||
| Zhe Chen | Registered representative | Sep 2021 (5y) | ||
| Chaim Meir Weinreb | Registered representative | Sep 2021 (5y) | ||
| Nicholas Rl Cohee | Registered representative | CFP | Sep 2021 (5y) | |
| Thomas Rennegarbe | Registered representative | Sep 2021 (5y) | ||
| Anthony Scott Stencler | Registered representative | Sep 2021 (5y) | ||
| David Fowler Jenkins | Registered representative | CFP | Sep 2021 (5y) | |
| Jeremy Paul Bivens | Registered representative | Sep 2021 (5y) | ||
| Michael Stuart Sheehy | Registered representative | CFP | Sep 2021 (5y) | |
| Paul Harrison Krumenacker | Registered representative | Sep 2021 (5y) | ||
| Steven T Morrison | Registered representative | Sep 2021 (5y) | ||
| William Blake Morris | Registered representative | Sep 2021 (5y) | ||
| Carrie Michelle Turcotte | Registered representative | CFP | Sep 2021 (5y) | |
| Craig W Petrella | Registered representative | Sep 2021 (5y) | ||
| Crystal Leigh Walker | Registered representative | CFP | Sep 2021 (5y) | |
| Paula L Sheffield | Registered representative | Sep 2021 (5y) | ||
| Whitney Christine Massey | Registered representative | Sep 2021 (5y) | ||
| Edward John Zbylut | Registered representative | Sep 2021 (5y) | ||
| Eric Richard Sommers | Registered representative | Sep 2021 (5y) | ||
| Jennifer Marie Scoggins | Registered representative | Sep 2021 (5y) | ||
| Joseph James Riley | Registered representative | Sep 2021 (5y) | ||
| Lorn John Lyman | Registered representative | Sep 2021 (5y) | ||
| Alexander Joseph Storbeck | Registered representative | Sep 2021 (5y) | ||
| Corey Alan Staub | Registered representative | CFP | Sep 2021 (5y) | |
| Corey Lee Basehore | Registered representative | CFP Chartered Financial Consultant | Sep 2021 (5y) | |
| Douglas Karl Heil | Registered representative | Sep 2021 (5y) | ||
| George Pierce | Registered representative | CFP | Sep 2021 (5y) | |
| Justin Lynn Dunwoody | Registered representative | Sep 2021 (5y) | ||
| London J Cook | Registered representative | Sep 2021 (5y) | ||
| Philip Robert Spitzer | Registered representative | Chartered Financial Consultant | Sep 2021 (5y) | |
| Sarah J Leer | Registered representative | Chartered Financial Consultant | Sep 2021 (5y) | |
| Thomas Craig Clark | Registered representative | Sep 2021 (5y) | ||
| Kyndra Dee Landgraff | Registered representative | Sep 2021 (5y) | ||
| Daniel Coffman Hostetler | Registered representative | CFP | Sep 2021 (5y) | |
| Darin David Cook | Registered representative | Sep 2021 (5y) | ||
| Greg Holzer | Registered representative | Sep 2021 (5y) | ||
| Linda Lee Knighton | Registered representative | Sep 2021 (5y) | ||
| Matthew Robert Verstegen | Registered representative | Sep 2021 (5y) | ||
| Matthew Jennings | Registered representative | Sep 2021 (5y) | ||
| Ryan Michael Garrity | Registered representative | Sep 2021 (5y) | ||
| Carl Brent Anthony | Registered representative | Sep 2021 (5y) | ||
| Charles Lanier Johnson | Registered representative | Sep 2021 (5y) | ||
| Jolette Nicolle Landress | Registered representative | Sep 2021 (5y) | ||
| Mary Beth Viccari | Registered representative | Sep 2021 (5y) | ||
| Rajat Varada Rajan | Registered representative | CFP | Sep 2021 (5y) | |
| Brian James Giesen | Registered representative | Sep 2021 (5y) | ||
| Daryl John Zimbardi | Registered representative | Sep 2021 (5y) | ||
| Devin Lee Aherin | Registered representative | Sep 2021 (5y) | ||
| Edward Ladd Currens | Registered representative | Sep 2021 (5y) | ||
| Guy Keith Rodgers | Registered representative | Sep 2021 (5y) | ||
| Joseph Michael Franciscone | Registered representative | Sep 2021 (5y) | ||
| Michael Anthony Geary | Registered representative | Sep 2021 (5y) | ||
| Michael Joseph Weeks | Registered representative | Sep 2021 (5y) | ||
| Matthew Philip Mc Kinney | Registered representative | Sep 2021 (5y) | ||
| Scott A Clayton | Registered representative | CFP | Sep 2021 (5y) | |
| Carolyn M Anderson | Registered representative | Sep 2021 (5y) | ||
| Curtis Wiggins | Registered representative | CFP | Sep 2021 (5y) | |
| Douglas Chin | Registered representative | Sep 2021 (5y) | ||
| John Koji Koyama | Registered representative | Sep 2021 (5y) | ||
| Scott Darrin Hellman | Registered representative | Sep 2021 (5y) | ||
| Thomas Joseph Cannizzo | Registered representative | Sep 2021 (5y) | ||
| Cameron Bret Kerns | Registered representative | Oct 2021 (5y) | ||
| Kenneth Michael Weeks | Registered representative | Oct 2021 (5y) | ||
| Lance Edward Backowski | Registered representative | Oct 2021 (5y) | ||
| Christopher Keith Lewis | Registered representative | Oct 2021 (5y) | ||
| Daniel R. De Jong | Registered representative | Oct 2021 (5y) | ||
| Hunter Richard Abbe | Registered representative | Oct 2021 (5y) | ||
| John William Pobanz | Registered representative | Oct 2021 (5y) | ||
| Lee Edward Brown | Registered representative | Oct 2021 (5y) | ||
| Lindsey Donovan Rhea | Registered representative | CFP | Oct 2021 (5y) | |
| Thomas Billeaud | Registered representative | Oct 2021 (5y) | ||
| William R Davis | Registered representative | Oct 2021 (5y) | ||
| Emily Marie Wiggins | Registered representative | Oct 2021 (5y) | ||
| Nicholas A Peterson | Registered representative | Oct 2021 (5y) | ||
| Richard Deane Abbe | Registered representative | Oct 2021 (5y) | ||
| Francis Joseph Mc Namara | Registered representative | Oct 2021 (5y) | ||
| John Richard Senchak | Registered representative | Oct 2021 (5y) | ||
| Leigh Ann Hicks | Registered representative | Oct 2021 (5y) | ||
| David Lloyd Sprague | Registered representative | Oct 2021 (5y) | ||
| John Anthony Tauer | Registered representative | Oct 2021 (5y) | ||
| Joseph Silerto | Registered representative | Oct 2021 (5y) | ||
| Li Tian | Registered representative | Oct 2021 (5y) | ||
| Benjamin Pearson Stidham | Registered representative | Oct 2021 (5y) | ||
| Emily Lane Seerden | Registered representative | Oct 2021 (5y) | ||
| Samuel Manasseh Richmond | Registered representative | Oct 2021 (5y) | ||
| Whitney Blair Burch | Registered representative | Oct 2021 (5y) | ||
| Ethan S J White | Registered representative | Oct 2021 (5y) | ||
| Nicholas Oliver Lenz | Registered representative | Oct 2021 (5y) | ||
| William Nathan Holladay | Registered representative | Oct 2021 (5y) | ||
| Baron Ross Kuhn | Registered representative | Oct 2021 (5y) | ||
| Edward Dale Meracle | Registered representative | Oct 2021 (5y) | ||
| Jarred M Smith | Registered representative | Oct 2021 (5y) | ||
| Joyce Rojas | Registered representative | Oct 2021 (5y) | ||
| John Earl Scarborough | Registered representative | Oct 2021 (5y) | ||
| Steve Gerard Kluthe | Registered representative | Oct 2021 (5y) | ||
| Heather Mary Coyle | Registered representative | CFP | Oct 2021 (5y) | |
| Chad Robert Barber | Registered representative | Oct 2021 (5y) | ||
| Jamie Glynn Orr | Registered representative | Oct 2021 (5y) | ||
| Albert Anthony Pometto | Registered representative | Oct 2021 (5y) | ||
| David Marcus Winchell | Registered representative | Oct 2021 (5y) | ||
| Jennifer L Ricca | Registered representative | Oct 2021 (5y) | ||
| Joseph S Leedom | Registered representative | Oct 2021 (5y) | ||
| Marcello Salvatore Cutrupi | Registered representative | Oct 2021 (5y) | ||
| Terrell Michael Pickett | Registered representative | Oct 2021 (5y) | ||
| Caleb Jacob Schmidt | Registered representative | Oct 2021 (5y) | ||
| Celeste S Norris | Registered representative | Oct 2021 (5y) | ||
| David Jay Steele | Registered representative | Oct 2021 (5y) | ||
| James Martin Reed | Registered representative | Oct 2021 (5y) | ||
| Paul Clinton Miller | Registered representative | Oct 2021 (5y) | ||
| Tuyet Thi Nguyen | Registered representative | Oct 2021 (5y) | ||
| Arcon Armada Concepcion | Registered representative | Oct 2021 (5y) | ||
| Brendan Patrick Gallagher | Registered representative | Oct 2021 (5y) | ||
| Brian Alan Beasley | Registered representative | Oct 2021 (5y) | ||
| Holly Ann Miller | Registered representative | Oct 2021 (5y) | ||
| Mark Robert Horman | Registered representative | Oct 2021 (5y) | ||
| Brian Robert Wise | Registered representative | CFP | Oct 2021 (5y) | |
| Laura Ann Nordyke | Registered representative | Oct 2021 (5y) | ||
| Scott Matthew Clayton | Registered representative | Oct 2021 (5y) | ||
| Alexandra Odessa Vidal | Registered representative | Oct 2021 (5y) | ||
| Anthony Maselli | Registered representative | Oct 2021 (5y) | ||
| Brian R. Bates | Registered representative | Oct 2021 (5y) | ||
| Christa Raenne Perry | Registered representative | Oct 2021 (5y) | ||
| Christopher Harris | Registered representative | Oct 2021 (5y) | ||
| Eric Eliezer Vidal | Registered representative | Oct 2021 (5y) | ||
| Jeffrey Thomas Kochan | Registered representative | CFP | Oct 2021 (5y) | |
| Joseph Samuel Karlsen | Registered representative | Oct 2021 (5y) | ||
| Tiffany Ann Gunsorek | Registered representative | Oct 2021 (5y) | ||
| Jeffrey John Szulczewski | Registered representative | Oct 2021 (5y) | ||
| Michael Patrick Mcnicholas | Registered representative | Oct 2021 (5y) | ||
| Beau Timothy Wolfe | Registered representative | Oct 2021 (5y) | ||
| Sara Gross | Registered representative | Oct 2021 (5y) | ||
| Jenny Korth | Registered representative | Oct 2021 (5y) | ||
| Andrew Michael Larocca | Registered representative | Oct 2021 (5y) | ||
| Armen P Babamian | Registered representative | Oct 2021 (5y) | ||
| Carol H Kinder | Registered representative | Oct 2021 (5y) | ||
| Craig James Morcos | Registered representative | CFP | Oct 2021 (5y) | |
| Conor William Walters | Registered representative | Oct 2021 (5y) | ||
| Kenneth Anthony Sorrentino | Registered representative | Oct 2021 (5y) | ||
| Mark Ronald Franco | Registered representative | Oct 2021 (5y) | ||
| Stephen Jack Birbiglia | Registered representative | CFP | Oct 2021 (5y) | |
| Zachary Tyler Klemer | Registered representative | Oct 2021 (5y) | ||
| Brian Frederick Paluso | Registered representative | CFP | Nov 2021 (5y) | |
| Ben Ericson Still | Registered representative | Nov 2021 (5y) | ||
| Chirag Dinesh Chauhan | Registered representative | CFP | Nov 2021 (5y) | |
| David Joseph Harper | Registered representative | Nov 2021 (5y) | ||
| Edward Campbell Lee | Registered representative | Nov 2021 (5y) | ||
| Jeff Alan Tomlinson | Registered representative | Nov 2021 (5y) | ||
| Michael Edward Kutch | Registered representative | Nov 2021 (5y) | ||
| Michael Thomas Mcclintock | Registered representative | Nov 2021 (5y) | ||
| Wesley Thomas Whitfield | Registered representative | Nov 2021 (5y) | ||
| Alan Frank Delcorse | Registered representative | Nov 2021 (5y) | ||
| Angela Tomassetti Ferrin | Registered representative | Nov 2021 (5y) | ||
| Jenny Lynn Paradis | Registered representative | Nov 2021 (5y) | ||
| Steven Richard Paradis | Registered representative | Nov 2021 (5y) | ||
| Timothy S Parry | Registered representative | CFP Chartered Financial Consultant | Nov 2021 (5y) | |
| Aaron Scott Belgard | Registered representative | Nov 2021 (5y) | ||
| Angie Rae Klein | Registered representative | Nov 2021 (5y) | ||
| Brian E Zabriski | Registered representative | Nov 2021 (5y) | ||
| Christopher C Kokinda | Registered representative | Nov 2021 (5y) | ||
| Daniel R Pritchett | Registered representative | Nov 2021 (5y) | ||
| David Lawrence Korff | Registered representative | Nov 2021 (5y) | ||
| Mickey Patrick Dudish | Registered representative | Nov 2021 (5y) | ||
| Matthew Charles Wilson | Registered representative | Nov 2021 (5y) | ||
| Ryan John Brophy | Registered representative | Nov 2021 (5y) | ||
| Taylor Nicole Miller | Registered representative | Nov 2021 (5y) | ||
| Tiffany Nicole Frederick | Registered representative | Nov 2021 (5y) | ||
| Trent Eugene Turner | Registered representative | Nov 2021 (5y) | ||
| Douglas Michael Sternemann | Registered representative | Nov 2021 (5y) | ||
| Dylan Robert Chmiel | Registered representative | Nov 2021 (5y) | ||
| Justin Henry Badura | Registered representative | Nov 2021 (5y) | ||
| Jack Phillip Patague | Registered representative | Nov 2021 (5y) | ||
| Jacob August Ceschin | Registered representative | Nov 2021 (5y) | ||
| Taryn Farrington | Registered representative | Nov 2021 (5y) | ||
| Denise Michelle Zapata | Registered representative | Nov 2021 (5y) | ||
| Evan J Curtis | Registered representative | CFP | Nov 2021 (5y) | |
| Mark Patrick Booth | Registered representative | CFP | Nov 2021 (5y) | |
| Scott Russell Morgan | Registered representative | Nov 2021 (5y) | ||
| Susan Porter Fargo | Registered representative | CFP | Nov 2021 (5y) | |
| Ashley Marie Sawyer | Registered representative | Nov 2021 (5y) | ||
| Caleb Yushao Chen | Registered representative | Nov 2021 (5y) | ||
| Debra Denise Di Napoli | Registered representative | Nov 2021 (5y) | ||
| Gerald Robert Giangola | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| James Patrick Chase | Registered representative | Nov 2021 (5y) | ||
| Kenneth Micheal Lemas | Registered representative | Nov 2021 (5y) | ||
| Raeanne Mc Carty | Registered representative | Nov 2021 (5y) | ||
| Scott Evan Howell | Registered representative | CFP | Nov 2021 (5y) | |
| Steven Charles Lorson | Registered representative | Nov 2021 (5y) | ||
| William Charles Roland | Registered representative | Nov 2021 (5y) | ||
| Wilson B Branham | Registered representative | Nov 2021 (5y) | ||
| Elizabeth Wertz | Registered representative | Nov 2021 (5y) | ||
| James Francis Ramentol | Registered representative | Nov 2021 (5y) | ||
| John Nolan | Registered representative | Nov 2021 (5y) | ||
| Brian Meng Wong | Registered representative | Nov 2021 (5y) | ||
| Donald Brody Ledingham | Registered representative | Nov 2021 (5y) | ||
| Donna W Fitzer | Registered representative | Nov 2021 (5y) | ||
| James Andrew Robson | Registered representative | Nov 2021 (5y) | ||
| John Ralph Natalo | Registered representative | CFP | Nov 2021 (5y) | |
| Julia Stabler Block | Registered representative | Nov 2021 (5y) | ||
| Jennifer Wironen Aube | Registered representative | CFP Chartered Financial Consultant | Nov 2021 (5y) | |
| Richard Carmine Cella | Registered representative | Nov 2021 (5y) | ||
| Robert Hamilton Benton | Registered representative | CFP | Nov 2021 (5y) | |
| William Allen Winget | Registered representative | Nov 2021 (5y) | ||
| Alexander David Hayes | Registered representative | Nov 2021 (5y) | ||
| Paul John Hennen | Registered representative | Nov 2021 (5y) | ||
| Ricky Peter Tredwin | Registered representative | Nov 2021 (5y) | ||
| Colby James Ripsam | Registered representative | Nov 2021 (5y) | ||
| James Ray Westermeyer | Registered representative | Nov 2021 (5y) | ||
| Joseph Suozzo | Registered representative | Nov 2021 (5y) | ||
| Judith Lohr Mohr | Registered representative | CFP | Nov 2021 (5y) | |
| Kelly Jo Dennis | Registered representative | Nov 2021 (5y) | ||
| Nicholas G Mueller | Registered representative | Nov 2021 (5y) | ||
| Olivia Grabowski | Registered representative | Nov 2021 (5y) | ||
| Samuel Nichol Oliver | Registered representative | CFP | Nov 2021 (5y) | |
| William Gerald Sadler | Registered representative | Nov 2021 (5y) | ||
| Bradley Samuel Smith | Registered representative | Nov 2021 (5y) | ||
| James Dee Francis | Registered representative | Nov 2021 (5y) | ||
| Keith Gordon Spencer | Registered representative | Nov 2021 (5y) | ||
| Larry Gale Woods | Registered representative | Nov 2021 (5y) | ||
| Mark Mirocco | Registered representative | Nov 2021 (5y) | ||
| Nathan Richard Brekke | Registered representative | Nov 2021 (5y) | ||
| Richard Vincent Hewlett | Registered representative | Nov 2021 (5y) | ||
| Shane J. Colamarino | Registered representative | Nov 2021 (5y) | ||
| Timothy John Mirocco | Registered representative | Nov 2021 (5y) | ||
| William Joseph Reiner | Registered representative | CFP | Nov 2021 (5y) | |
| Andrew Scott Upleger | Registered representative | Nov 2021 (5y) | ||
| Amanda Cherry Trim | Registered representative | Nov 2021 (5y) | ||
| Bryan Sintay | Registered representative | Nov 2021 (5y) | ||
| Catherine Patricia Boyle | Registered representative | Nov 2021 (5y) | ||
| Gabriel Scott Mccubbin | Registered representative | Nov 2021 (5y) | ||
| James C Moffitt | Registered representative | Nov 2021 (5y) | ||
| Jeremy Michael Perque | Registered representative | Nov 2021 (5y) | ||
| Jesse Nelson Daigle | Registered representative | Nov 2021 (5y) | ||
| Joseph Michael Adriano | Registered representative | Nov 2021 (5y) | ||
| Michael Sean Kelsey | Registered representative | Nov 2021 (5y) | ||
| Mickey Joseph Guidry | Registered representative | Nov 2021 (5y) | ||
| Paul Peter Pucilowski | Registered representative | Nov 2021 (5y) | ||
| Ronald Joseph Brown | Registered representative | Nov 2021 (5y) | ||
| Beverly Corine Kimball | Registered representative | Nov 2021 (5y) | ||
| Charles Wallace Mcmakin | Registered representative | Nov 2021 (5y) | ||
| Dixon W Mcmakin | Registered representative | Nov 2021 (5y) | ||
| James Bradley Ewing | Registered representative | Nov 2021 (5y) | ||
| John Damon Stewart | Registered representative | Nov 2021 (5y) | ||
| John Elliot Dore | Registered representative | Nov 2021 (5y) | ||
| John William Reeder | Registered representative | Nov 2021 (5y) | ||
| Jack Riley Wilson | Registered representative | Nov 2021 (5y) | ||
| Sean Alan Stark | Registered representative | Nov 2021 (5y) | ||
| Fred Boyce Easter | Registered representative | Nov 2021 (5y) | ||
| Howard Louis Kleinman | Registered representative | Nov 2021 (5y) | ||
| Joseph John Borriello | Registered representative | Nov 2021 (5y) | ||
| Kim Denise Campbell | Registered representative | Nov 2021 (5y) | ||
| Michael Travis Nichols | Registered representative | Nov 2021 (5y) | ||
| Michael North Krueger | Registered representative | Nov 2021 (5y) | ||
| Aaron Steven Paul | Registered representative | Nov 2021 (5y) | ||
| Craig Lawrence Strow | Registered representative | Nov 2021 (5y) | ||
| Ean Michael Johnston | Registered representative | Nov 2021 (5y) | ||
| Joseph Everettalexander Carlson | Registered representative | Nov 2021 (5y) | ||
| John Carlson | Registered representative | Nov 2021 (5y) | ||
| Luke Ellis | Registered representative | Nov 2021 (5y) | ||
| James Todd Gentry | Registered representative | CFP Chartered Financial Consultant | Nov 2021 (5y) | |
| Joseph L Heitkamp | Registered representative | Nov 2021 (5y) | ||
| David Lee Fellows | Registered representative | Nov 2021 (5y) | ||
| Eric Thomas Sullivan | Registered representative | Nov 2021 (5y) | ||
| James Patrick Mark | Registered representative | Nov 2021 (5y) | ||
| Jason Anthony Martinez | Registered representative | CFA | Nov 2021 (5y) | |
| Nicholas R Dragan | Registered representative | CFP | Nov 2021 (5y) | |
| Thomas John Palm | Registered representative | Nov 2021 (5y) | ||
| Tyler James Mccoy | Registered representative | Nov 2021 (5y) | ||
| Valerie A Baker | Registered representative | Nov 2021 (5y) | ||
| Heather Mc Master | Registered representative | Nov 2021 (5y) | ||
| Katie Erin O'leary Wiese | Registered representative | Nov 2021 (5y) | ||
| Nicole Rose Giannone | Registered representative | CFP | Nov 2021 (5y) | |
| Elizabeth Ann Ware | Registered representative | Nov 2021 (5y) | ||
| Paul Douglas Renfro | Registered representative | Nov 2021 (5y) | ||
| Steven Francis Kennedy | Registered representative | Nov 2021 (5y) | ||
| Eric Foster Nost | Registered representative | CFP | Nov 2021 (5y) | |
| Gregory George Vogel | Registered representative | Nov 2021 (5y) | ||
| Gregory Michael Shepardson | Registered representative | CFP | Nov 2021 (5y) | |
| Isaac Louis Samsa | Registered representative | Nov 2021 (5y) | ||
| James Harman Bishopp | Registered representative | Nov 2021 (5y) | ||
| Jesse Waters | Registered representative | Nov 2021 (5y) | ||
| Oscar L Barr | Registered representative | CFP | Nov 2021 (5y) | |
| Rhonda Gail Murphy | Registered representative | Nov 2021 (5y) | ||
| Robert Clark | Registered representative | CFP | Nov 2021 (5y) | |
| Robert Lee Kennedy | Registered representative | Nov 2021 (5y) | ||
| Stephen Charles Frazer | Registered representative | Nov 2021 (5y) | ||
| Steven Brian Bishopp | Registered representative | Nov 2021 (5y) | ||
| Val Gaylord Vogel | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| Amy Jo Dixon | Registered representative | Dec 2021 (5y) | ||
| Benjamin C Lingenfelter | Registered representative | Dec 2021 (5y) | ||
| Connor Dillon Delaney | Registered representative | Dec 2021 (5y) | ||
| Danielle Marie Accardi | Registered representative | Dec 2021 (5y) | ||
| Deborah Lynn Frech | Registered representative | Dec 2021 (5y) | ||
| Denise Gould Carson | Registered representative | Dec 2021 (5y) | ||
| Gene E Foley | Registered representative | Dec 2021 (5y) | ||
| James Edward Urich | Registered representative | Dec 2021 (5y) | ||
| Joseph Louis Bell | Registered representative | CFP | Dec 2021 (5y) | |
| Kaitlyn Elaine Wigman Childers | Registered representative | Dec 2021 (5y) | ||
| Kristian James Lamont | Registered representative | CFP | Dec 2021 (5y) | |
| Michael Anthony Markovich | Registered representative | Dec 2021 (5y) | ||
| Nolan Menachemson | Registered representative | Dec 2021 (5y) | ||
| Timothy Brian Kenyon | Registered representative | Dec 2021 (5y) | ||
| Brian Patrick Nydegger | Registered representative | Dec 2021 (5y) | ||
| Corinne Cecilia Heaney | Registered representative | Dec 2021 (5y) | ||
| Gerald Roger Owens | Registered representative | Dec 2021 (5y) | ||
| Jennifer Alexis Lambert | Registered representative | Dec 2021 (5y) | ||
| Karen Lynn Conover | Registered representative | Dec 2021 (5y) | ||
| Kate Alexander Ferguson | Registered representative | Dec 2021 (5y) | ||
| Marco Godwin | Registered representative | Dec 2021 (5y) | ||
| Michael Fredrick Bogden | Registered representative | Dec 2021 (5y) | ||
| William Francis Simpson | Registered representative | Dec 2021 (5y) | ||
| Dustin Abels | Registered representative | Dec 2021 (5y) | ||
| Frank Xiaodong Feng | Registered representative | CFP Chartered Financial Consultant | Dec 2021 (5y) | |
| Jacqueline Laura Carrillo | Registered representative | Dec 2021 (5y) | ||
| Morgan Michael Wilson | Registered representative | Dec 2021 (5y) | ||
| Tamara J Langenfeld | Registered representative | Dec 2021 (5y) | ||
| William Roby Creveling | Registered representative | Dec 2021 (5y) | ||
| Thomas J Druelinger | Registered representative | Dec 2021 (5y) | ||
| Duncan Jeffrey Conroy | Registered representative | Dec 2021 (5y) | ||
| Gregory Dean Broadbent | Registered representative | Dec 2021 (5y) | ||
| Kevin John Fick | Registered representative | Dec 2021 (5y) | ||
| Matthew Kory Jennings | Registered representative | Dec 2021 (5y) | ||
| Sarah Emily Church | Registered representative | Dec 2021 (5y) | ||
| Troy Eugene Hall | Registered representative | Dec 2021 (5y) | ||
| Edward John Corbett | Registered representative | Dec 2021 (5y) | ||
| Edward S Flannery | Registered representative | Dec 2021 (5y) | ||
| Joyce M Yarid | Registered representative | Dec 2021 (5y) | ||
| Anthea Victoria Caroline Maybury | Registered representative | Dec 2021 (5y) | ||
| Guy Hamilton Blakey | Registered representative | CFP | Dec 2021 (5y) | |
| Jennifer Hastings Hammett | Registered representative | Dec 2021 (5y) | ||
| Matthew Allen Sernau | Registered representative | Dec 2021 (5y) | ||
| Robert B Trent | Registered representative | Dec 2021 (5y) | ||
| Shane Scott Thorsen | Registered representative | Dec 2021 (5y) | ||
| Tommy J Johnson | Registered representative | Chartered Financial Consultant | Dec 2021 (5y) | |
| Anthony Louis Bucci | Registered representative | Dec 2021 (5y) | ||
| Chris Patrick Eissinger | Registered representative | CFP | Dec 2021 (5y) | |
| Corey G Phillips | Registered representative | Dec 2021 (5y) | ||
| Damon J Accardi | Registered representative | Dec 2021 (5y) | ||
| John Brian Oettinger | Registered representative | CFP | Dec 2021 (5y) | |
| Joseph Nicholas Accardi | Registered representative | Dec 2021 (5y) | ||
| Michael Raymond Bacci | Registered representative | Dec 2021 (5y) | ||
| Nathan Allen Boonstra | Registered representative | Dec 2021 (5y) | ||
| Timothy L O'rourke | Registered representative | Dec 2021 (5y) | ||
| Trent Thomas Brady | Registered representative | Dec 2021 (5y) | ||
| Brian Scott Smith | Registered representative | Dec 2021 (5y) | ||
| Christopher Daniel Thrailkill | Registered representative | Dec 2021 (5y) | ||
| Jonathan Steven Hayes | Registered representative | Dec 2021 (5y) | ||
| Kevin David Gargano | Registered representative | Dec 2021 (5y) | ||
| George Richard Pierce | Registered representative | Dec 2021 (5y) | ||
| Jason Paul White | Registered representative | CFP | Dec 2021 (5y) | |
| Don Pratt Ferguson | Registered representative | Dec 2021 (5y) | ||
| Emily Kathleen Robison | Registered representative | Dec 2021 (5y) | ||
| Eric Paul Kabler | Registered representative | Dec 2021 (5y) | ||
| Kenneth Alan Cooper | Registered representative | Dec 2021 (5y) | ||
| Matthew Thomas Foley | Registered representative | Dec 2021 (5y) | ||
| Michael Sterling Madden | Registered representative | Dec 2021 (5y) | ||
| Robert Sterling Madden | Registered representative | Chartered Financial Consultant | Dec 2021 (5y) | |
| Stephen Joseph Cote | Registered representative | Dec 2021 (5y) | ||
| Susan Kaye Dvoracek | Registered representative | Dec 2021 (5y) | ||
| Jason Boyce Piper | Registered representative | CFP Chartered Financial Consultant | Dec 2021 (5y) | |
| Jason Karon Hulst | Registered representative | Dec 2021 (5y) | ||
| Bryan Christopher Savage | Registered representative | Dec 2021 (5y) | ||
| Charles Gabriel Sosa | Registered representative | Dec 2021 (5y) | ||
| Christopher Rodney Hart | Registered representative | Dec 2021 (5y) | ||
| Craig Anthony Wong | Registered representative | Dec 2021 (5y) | ||
| Daniel Louis Cairo | Registered representative | Dec 2021 (5y) | ||
| David Forbes Massongill | Registered representative | Dec 2021 (5y) | ||
| Dean Minoru Kunihiro | Registered representative | Dec 2021 (5y) | ||
| Gabriel Hiram Strong | Registered representative | Dec 2021 (5y) | ||
| Ian Michael Meagher | Registered representative | Dec 2021 (5y) | ||
| Jason Scott Knapps | Registered representative | Dec 2021 (5y) | ||
| Kevin Eugene Gotts | Registered representative | CFP | Dec 2021 (5y) | |
| Kurt Jeffrey Spackman | Registered representative | CFP | Dec 2021 (5y) | |
| Kyle Christopher Paterik | Registered representative | Dec 2021 (5y) | ||
| Matthew Sexton | Registered representative | Dec 2021 (5y) | ||
| Shelly Lynn Aros | Registered representative | Dec 2021 (5y) | ||
| Timothy Gilbert Lassen | Registered representative | Dec 2021 (5y) | ||
| Barry George Krisko | Registered representative | Dec 2021 (5y) | ||
| Daniel Jose Medina | Registered representative | Dec 2021 (5y) | ||
| Erika Dagmar Bylund | Registered representative | CFP | Dec 2021 (5y) | |
| Jasmine Renae Ray | Registered representative | CFP | Dec 2021 (5y) | |
| Jonathan Matthew Brady | Registered representative | Dec 2021 (5y) | ||
| Joshua David Nelson | Registered representative | Dec 2021 (5y) | ||
| Lisa Larochelle Scott | Registered representative | Dec 2021 (5y) | ||
| Michael Arthur Mclaughlin | Registered representative | CFP | Dec 2021 (5y) | |
| Richard John Rustin | Registered representative | Dec 2021 (5y) | ||
| Stephanie Marie Gotts | Registered representative | Dec 2021 (5y) | ||
| Tabeetha Marie Moesinger | Registered representative | Dec 2021 (5y) | ||
| Brian T Hennessy | Registered representative | Dec 2021 (5y) | ||
| Kirby Lepak Horan Adams | Registered representative | Dec 2021 (5y) | ||
| Mason Marozas | Registered representative | Dec 2021 (5y) | ||
| Matthew Alan Krajniak | Registered representative | CFP | Dec 2021 (5y) | |
| Michael P Hosford | Registered representative | Dec 2021 (5y) | ||
| Robert Edward Schobel | Registered representative | Dec 2021 (5y) | ||
| Thomas Anthony Hennessy | Registered representative | CFP | Dec 2021 (5y) | |
| Annmarie Cook | Registered representative | Dec 2021 (5y) | ||
| Benjamin I Searer | Registered representative | CFP | Dec 2021 (5y) | |
| Bryan Ronald Taylor | Registered representative | CFP | Dec 2021 (5y) | |
| Crystal Ann Nesbit | Registered representative | Dec 2021 (5y) | ||
| Garry Eugene Autry | Registered representative | Dec 2021 (5y) | ||
| Giovanni Rocco Gallo | Registered representative | Dec 2021 (5y) | ||
| Mark Anthony Cook | Registered representative | Dec 2021 (5y) | ||
| Carlos Andres Castaneda | Registered representative | Dec 2021 (5y) | ||
| Joseph Orazio Giunta | Registered representative | Dec 2021 (5y) | ||
| Janet Glass Barnett | Registered representative | Dec 2021 (5y) | ||
| Monica Christine Lupinetti | Registered representative | Dec 2021 (5y) | ||
| Christopher Michael Giroux | Registered representative | Dec 2021 (5y) | ||
| Frank Vaeth | Registered representative | Dec 2021 (5y) | ||
| Joseph Michael Pitch | Registered representative | CFP | Dec 2021 (5y) | |
| Richard Lee Baker | Registered representative | Dec 2021 (5y) | ||
| Carl Vincent Marchitto | Registered representative | Dec 2021 (5y) | ||
| Cole Austin Milam | Registered representative | Dec 2021 (5y) | ||
| Jared Louis Best | Registered representative | Dec 2021 (5y) | ||
| Jeffrey Scott Mendola | Registered representative | Dec 2021 (5y) | ||
| Kristen Gullickson | Registered representative | CFP | Dec 2021 (5y) | |
| Lawrence Elovitz | Registered representative | Dec 2021 (5y) | ||
| Angel Fernando Lopez | Registered representative | CFP | Jan 2022 (5y) | |
| Aaron Thomas Hofer | Registered representative | Jan 2022 (5y) | ||
| Chad Michael Jones | Registered representative | CFP | Jan 2022 (5y) | |
| Cynthia Rae Marotz | Registered representative | Jan 2022 (5y) | ||
| Eric Greenhow | Registered representative | CFP | Jan 2022 (5y) | |
| Isaac Burke Hartmann | Registered representative | CFP | Jan 2022 (5y) | |
| James Justice Ogborn | Registered representative | Jan 2022 (5y) | ||
| John Michael Madden | Registered representative | Jan 2022 (5y) | ||
| Keith Edward Albritton | Registered representative | CFP | Jan 2022 (5y) | |
| Kurt Franz Elmhorst | Registered representative | CFP | Jan 2022 (5y) | |
| Laura J Hawley | Registered representative | Jan 2022 (5y) | ||
| Lorin David Bice | Registered representative | Jan 2022 (5y) | ||
| Lyle Lewis Bowlin | Registered representative | Jan 2022 (5y) | ||
| Michael Henry Wright | Registered representative | CFP | Jan 2022 (5y) | |
| Robert Len Sullivan | Registered representative | Jan 2022 (5y) | ||
| Robert C Hammond | Registered representative | Jan 2022 (5y) | ||
| Souri S. Vongvirat | Registered representative | Jan 2022 (5y) | ||
| Steven P Mctaggart | Registered representative | Jan 2022 (5y) | ||
| Thomas Alan Bixby | Registered representative | CFP | Jan 2022 (5y) | |
| Virginia Allen Houghton | Registered representative | Jan 2022 (5y) | ||
| William August Slover | Registered representative | Jan 2022 (5y) | ||
| Walter Steven Yates | Registered representative | Jan 2022 (5y) | ||
| Andrew Kenneth Walker | Registered representative | Jan 2022 (5y) | ||
| Brad Joseph Stainsby | Registered representative | Jan 2022 (5y) | ||
| Carol S. Hughes | Registered representative | Jan 2022 (5y) | ||
| Cynthia Megan Tysver | Registered representative | Jan 2022 (5y) | ||
| Christian Covey | Registered representative | Jan 2022 (5y) | ||
| Danielle Durham Chan Pong | Registered representative | Jan 2022 (5y) | ||
| Kathryn Marie French | Registered representative | Jan 2022 (5y) | ||
| Keith Holland Henderson | Registered representative | Jan 2022 (5y) | ||
| Kyle Joseph Cobia | Registered representative | Jan 2022 (5y) | ||
| Lorraine Alieff Delk Walker | Registered representative | Jan 2022 (5y) | ||
| Michael Neill Walker | Registered representative | Jan 2022 (5y) | ||
| Marjorie Louise Neech | Registered representative | Jan 2022 (5y) | ||
| Rebecca L Wyatt | Registered representative | Jan 2022 (5y) | ||
| Sheila Kay Freeman | Registered representative | Jan 2022 (5y) | ||
| Terry Lee Tolbert | Registered representative | CFP | Jan 2022 (5y) | |
| Todd Peter Obrien | Registered representative | Jan 2022 (5y) | ||
| Troy Leon Garcia | Registered representative | Jan 2022 (5y) | ||
| Justin Peter Glasrud | Registered representative | Jan 2022 (5y) | ||
| Jefferson Sarchione | Registered representative | Jan 2022 (5y) | ||
| Jess Strong Newman | Registered representative | Jan 2022 (5y) | ||
| Jonathan David Stanley Suzio | Registered representative | Jan 2022 (5y) | ||
| Robert Russell Innerst | Registered representative | Jan 2022 (5y) | ||
| Teresa Nino | Registered representative | CFP | Jan 2022 (5y) | |
| Tyler Miller | Registered representative | Jan 2022 (5y) | ||
| Andrew Boyd Nuckolls | Registered representative | Jan 2022 (5y) | ||
| Cynthia Karina Cairo | Registered representative | Jan 2022 (5y) | ||
| Craig Michael Forys | Registered representative | Jan 2022 (5y) | ||
| Daniel Szudzik | Registered representative | Jan 2022 (5y) | ||
| Jesus Manuel Hernandez | Registered representative | Jan 2022 (5y) | ||
| Nathan Craig Stading | Registered representative | Jan 2022 (5y) | ||
| Bradley Gatewood Geise | Registered representative | Jan 2022 (5y) | ||
| Holly Sierra Townsend | Registered representative | CFP | Jan 2022 (5y) | |
| Josh Vandiver | Registered representative | Jan 2022 (5y) | ||
| Andrew D Sawyer | Registered representative | Jan 2022 (5y) | ||
| Douglas Paul Caesare | Registered representative | Jan 2022 (5y) | ||
| John Carter Gillis | Registered representative | Jan 2022 (5y) | ||
| Kedishia Tina Grant | Registered representative | Jan 2022 (5y) | ||
| Renee Elise Bunn | Registered representative | Jan 2022 (5y) | ||
| Charles Robert Low | Registered representative | Jan 2022 (5y) | ||
| Kyle Smith | Registered representative | Jan 2022 (5y) | ||
| Robert Hugh Lau | Registered representative | Jan 2022 (5y) | ||
| Ariana Acree Koruschak | Registered representative | Jan 2022 (5y) | ||
| Billie Jean Treber | Registered representative | Jan 2022 (5y) | ||
| Nathan Boston | Registered representative | Jan 2022 (5y) | ||
| Paul Clement Okonoski | Registered representative | Jan 2022 (5y) | ||
| Steven Keith Lyons | Registered representative | Jan 2022 (5y) | ||
| Mark John Meyer | Registered representative | Jan 2022 (5y) | ||
| Michael Albert Vela | Registered representative | Jan 2022 (5y) | ||
| Sarah Alexandra Kayal | Registered representative | CFP | Jan 2022 (5y) | |
| Josephine Ann Aiosa | Registered representative | CFP | Jan 2022 (5y) | |
| Manfred H Hegwer | Registered representative | Jan 2022 (5y) | ||
| Michael James Kerestes | Registered representative | Jan 2022 (5y) | ||
| Nathanial Dennis Arps | Registered representative | Jan 2022 (5y) | ||
| Richard Anthony Perry | Registered representative | Jan 2022 (5y) | ||
| Darrin Bollenbacher | Registered representative | Jan 2022 (5y) | ||
| Andrew Lee Howard | Registered representative | Jan 2022 (5y) | ||
| Benjamin Michael Sikora | Registered representative | Jan 2022 (5y) | ||
| Garrett Paul Handke | Registered representative | Jan 2022 (5y) | ||
| Jesus M Alvidrez | Registered representative | Jan 2022 (5y) | ||
| Kristi Ellen Turchan | Registered representative | Jan 2022 (5y) | ||
| Meaghan Ford Mclaughlin | Registered representative | Jan 2022 (5y) | ||
| Peter Kevin Cunningham | Registered representative | Jan 2022 (5y) | ||
| Sean Ryan Leonard | Registered representative | Jan 2022 (5y) | ||
| William Russell Evans | Registered representative | Jan 2022 (5y) | ||
| Daniel John Stevens | Registered representative | Jan 2022 (5y) | ||
| Jo Ann Kreitman | Registered representative | Jan 2022 (5y) | ||
| Lemar Williams | Registered representative | Jan 2022 (5y) | ||
| Patrick Joseph Clifford | Registered representative | Jan 2022 (5y) | ||
| Ryan Alexander Petteruti | Registered representative | Jan 2022 (5y) | ||
| Tyler Dean Lewis | Registered representative | Jan 2022 (5y) | ||
| Adam L Green | Registered representative | Jan 2022 (5y) | ||
| Joan M Nilan | Registered representative | Jan 2022 (5y) | ||
| Steven John Potter | Registered representative | Jan 2022 (5y) | ||
| Thomas Minnick | Registered representative | Jan 2022 (5y) | ||
| Derek R Fisher | Registered representative | Jan 2022 (5y) | ||
| Jay Alan Weinberg | Registered representative | Jan 2022 (5y) | ||
| Scott Alexander Sullivan | Registered representative | Jan 2022 (5y) | ||
| Austin Tanner Bush | Registered representative | Jan 2022 (5y) | ||
| Betty Elizabeth Azmoon | Registered representative | Jan 2022 (5y) | ||
| Yvonne Wood Harmon | Registered representative | Jan 2022 (5y) | ||
| Allan Ira Abrams | Registered representative | Jan 2022 (5y) | ||
| Darin Andrew Stevens | Registered representative | CFP | Jan 2022 (5y) | |
| Douglas Martin Raible | Registered representative | Jan 2022 (5y) | ||
| Joseph Schiro | Registered representative | Jan 2022 (5y) | ||
| Deborah Marie Verker | Registered representative | CFP | Jan 2022 (5y) | |
| Jeremy Houston Meeks | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Joseph Don Malboeuf | Registered representative | Jan 2022 (5y) | ||
| Lauretta Marie Yeagy | Registered representative | Jan 2022 (5y) | ||
| Ralph Irvin Glasgow | Registered representative | Jan 2022 (5y) | ||
| Sharon Elizabeth Zimmerly | Registered representative | Jan 2022 (5y) | ||
| Sian Eluned Matt | Registered representative | Jan 2022 (5y) | ||
| William Cocking | Registered representative | Jan 2022 (5y) | ||
| Jonathan Russell Miller | Registered representative | CFP | Jan 2022 (5y) | |
| Michele Diane Prlich | Registered representative | Jan 2022 (5y) | ||
| Walt Axtell | Registered representative | CFP Chartered Financial Consultant | Jan 2022 (5y) | |
| Benjamin Spanton Bissell | Registered representative | Jan 2022 (5y) | ||
| Margaret Meek Sheldon | Registered representative | CFP | Jan 2022 (5y) | |
| Cecilia Mc Queen | Registered representative | Jan 2022 (5y) | ||
| Justine Mc Carthy | Registered representative | Jan 2022 (5y) | ||
| Ronald Kyle Clark | Registered representative | Jan 2022 (5y) | ||
| Ty Glenn Rogers | Registered representative | Jan 2022 (5y) | ||
| Andre William Dubois | Registered representative | Feb 2022 (5y) | ||
| Andrew Gray Vonehrenkrook | Registered representative | CFP | Feb 2022 (5y) | |
| David T. Key | Registered representative | Feb 2022 (5y) | ||
| Kevin Todd Cypert | Registered representative | Feb 2022 (5y) | ||
| Pieter B Lamley | Registered representative | Feb 2022 (5y) | ||
| Shannon Walter Lewandoski | Registered representative | Feb 2022 (5y) | ||
| Allen Griffey | Registered representative | Feb 2022 (4y) | ||
| Bryan Allan Dodge | Registered representative | Feb 2022 (4y) | ||
| Kamron Jon Bahrami | Registered representative | Feb 2022 (4y) | ||
| Michael Matthew Morgan | Registered representative | Feb 2022 (4y) | ||
| Jordan May Bunker | Registered representative | Feb 2022 (4y) | ||
| Evan Lee Baker | Registered representative | Feb 2022 (4y) | ||
| John Mark Ross | Registered representative | Feb 2022 (4y) | ||
| Robert Wayne Berry | Registered representative | Feb 2022 (4y) | ||
| Ryan P Molloy | Registered representative | Feb 2022 (4y) | ||
| Alissa Marie Whittle | Registered representative | Feb 2022 (4y) | ||
| Jeffrey William Kolasinski | Registered representative | CFP | Feb 2022 (4y) | |
| Jennifer M D'amico | Registered representative | Feb 2022 (4y) | ||
| Mayank Ashvinbhai Patel | Registered representative | Feb 2022 (4y) | ||
| Ryan Thomas Yeaton | Registered representative | Feb 2022 (4y) | ||
| Theresa Marie Hahn | Registered representative | CFP | Feb 2022 (4y) | |
| Anthony De Marco | Registered representative | Feb 2022 (4y) | ||
| Corey J Hausen | Registered representative | Feb 2022 (4y) | ||
| Helen Mary Middlebrook | Registered representative | Feb 2022 (4y) | ||
| Jeanine M. Beratta | Registered representative | Feb 2022 (4y) | ||
| Ryan Lee Zern | Registered representative | Feb 2022 (4y) | ||
| Davinder Sidhu | Registered representative | Feb 2022 (4y) | ||
| Kevin Aaron Larson | Registered representative | Feb 2022 (4y) | ||
| Miranda Marie Kimball | Registered representative | Feb 2022 (4y) | ||
| Robert Joseph Castella | Registered representative | Feb 2022 (4y) | ||
| Simon Eric John Devenish | Registered representative | Feb 2022 (4y) | ||
| Timothy Hennen | Registered representative | Feb 2022 (4y) | ||
| Bruce G. Blumberg | Registered representative | Feb 2022 (4y) | ||
| James Riggs Eller | Registered representative | Feb 2022 (4y) | ||
| Joseph John Gillespie | Registered representative | Feb 2022 (4y) | ||
| Joel Mc Ginness | Registered representative | Feb 2022 (4y) | ||
| Ryan James Ruba | Registered representative | Feb 2022 (4y) | ||
| Alan Grant Pumphrey | Registered representative | Feb 2022 (4y) | ||
| John Ernest Hallee | Registered representative | Feb 2022 (4y) | ||
| Brent Kevin Williams | Registered representative | Feb 2022 (4y) | ||
| Christopher Allen Quinley | Registered representative | Feb 2022 (4y) | ||
| Daniel Philip Hoffman | Registered representative | Feb 2022 (4y) | ||
| Daniel Talbot Von Koschembahr | Registered representative | Feb 2022 (4y) | ||
| David Harry Elster | Registered representative | CFP | Feb 2022 (4y) | |
| Jacob Michael Daus | Registered representative | Feb 2022 (4y) | ||
| Teni Shahnazarian | Registered representative | Feb 2022 (4y) | ||
| Christopher N Needs | Registered representative | CFA | Feb 2022 (4y) | |
| Jeffrey James Wheeler | Registered representative | CFP | Feb 2022 (4y) | |
| Joseph Earl Moore | Registered representative | Feb 2022 (4y) | ||
| Joshua Bradley Roberts | Registered representative | CFP | Feb 2022 (4y) | |
| Kevin James Ball | Registered representative | Feb 2022 (4y) | ||
| Michael Christopher Edmonds | Registered representative | Feb 2022 (4y) | ||
| Heather Konkol | Registered representative | Feb 2022 (4y) | ||
| Mason Garrett Odom | Registered representative | Feb 2022 (4y) | ||
| Mc Kensey Anne Bainbridge | Registered representative | Feb 2022 (4y) | ||
| Amos Kendricks | Registered representative | Feb 2022 (4y) | ||
| Aracely T Corpus | Registered representative | Feb 2022 (4y) | ||
| Bret Ladenburger | Registered representative | Feb 2022 (4y) | ||
| Nicholas Frazetta | Registered representative | Feb 2022 (4y) | ||
| Parker William Michael Winn | Registered representative | Feb 2022 (4y) | ||
| Samantha Lynn Stephens | Registered representative | Feb 2022 (4y) | ||
| Scott Howard Solomon | Registered representative | Feb 2022 (4y) | ||
| Lisa Jean Hamilton | Registered representative | CFP | Feb 2022 (4y) | |
| Tomio J Nanto | Registered representative | Feb 2022 (4y) | ||
| David Heintz | Registered representative | Feb 2022 (4y) | ||
| Matthew J Pursley | Registered representative | Feb 2022 (4y) | ||
| Benton Charles Blake | Registered representative | Mar 2022 (4y) | ||
| Elias Antonio Ramirez | Registered representative | Mar 2022 (4y) | ||
| Kyle Courtney | Registered representative | Mar 2022 (4y) | ||
| Matthew Donald Shannahan | Registered representative | Chartered Financial Consultant | Mar 2022 (4y) | |
| Phillip Sorum | Registered representative | CFP | Mar 2022 (4y) | |
| Randall Eric Jackson | Registered representative | Mar 2022 (4y) | ||
| Zachary Rayman | Registered representative | Mar 2022 (4y) | ||
| Andrew Spencer Turner | Registered representative | Mar 2022 (4y) | ||
| Bryant Robert Taylor | Registered representative | CFP | Mar 2022 (4y) | |
| Sean H Friesen | Registered representative | Mar 2022 (4y) | ||
| Timothy Sean Hollinger | Registered representative | CFP | Mar 2022 (4y) | |
| Daniela Marie Koenemann | Registered representative | Mar 2022 (4y) | ||
| John August Smith | Registered representative | Mar 2022 (4y) | ||
| Richard Clarence Deyoung | Registered representative | Mar 2022 (4y) | ||
| Stephen Blakely Turner | Registered representative | Mar 2022 (4y) | ||
| Steven Tadashi Yamashita | Registered representative | Mar 2022 (4y) | ||
| William Patrick Touey | Registered representative | Mar 2022 (4y) | ||
| Joseph Anthony Cajka | Registered representative | Mar 2022 (4y) | ||
| Brian Christopher Lusco | Registered representative | Mar 2022 (4y) | ||
| David Robert Koenes | Registered representative | Mar 2022 (4y) | ||
| Daniel Paul Vanden Boom | Registered representative | Mar 2022 (4y) | ||
| Paul Richard Vogel | Registered representative | Mar 2022 (4y) | ||
| Rachael Margaret Forster Linnehan | Registered representative | Mar 2022 (4y) | ||
| Jason Wayne Spray | Registered representative | Mar 2022 (4y) | ||
| Kyle G Butson | Registered representative | Mar 2022 (4y) | ||
| Sean K Heslin | Registered representative | Mar 2022 (4y) | ||
| Brent Williams | Registered representative | Mar 2022 (4y) | ||
| John Phillip Morgan | Registered representative | Mar 2022 (4y) | ||
| Jacob William Renteria | Registered representative | Mar 2022 (4y) | ||
| Logan Alexis Culver | Registered representative | Mar 2022 (4y) | ||
| Charlie Thaitam Dang | Registered representative | Mar 2022 (4y) | ||
| John W Farmer | Registered representative | CFP | Mar 2022 (4y) | |
| Michael John Didion | Registered representative | CFP | Mar 2022 (4y) | |
| Nicholaus Zachary Pandeleos | Registered representative | Mar 2022 (4y) | ||
| Brendan Ignatius Stone | Registered representative | Mar 2022 (4y) | ||
| Dominic Joseph Aiello | Registered representative | Mar 2022 (4y) | ||
| Carl Lindgren | Registered representative | CFP | Mar 2022 (4y) | |
| Franklin Leonard Rayne | Registered representative | Mar 2022 (4y) | ||
| Jacob Orin Collins | Registered representative | Mar 2022 (4y) | ||
| Sean Patrick Miller | Registered representative | Mar 2022 (4y) | ||
| Stephen Park | Registered representative | Mar 2022 (4y) | ||
| Brent Gerhardt | Registered representative | Mar 2022 (4y) | ||
| Cortland Donald Gray | Registered representative | CFP | Mar 2022 (4y) | |
| Don Adrian Tecson Ventura | Registered representative | Mar 2022 (4y) | ||
| Hunter Patrick Mc Taggart | Registered representative | CFP | Mar 2022 (4y) | |
| Kevin Clifford Rucker | Registered representative | Mar 2022 (4y) | ||
| Marcus Arthur Caines | Registered representative | Mar 2022 (4y) | ||
| Peter William Grassi | Registered representative | Mar 2022 (4y) | ||
| Stephen Mark Seewer | Registered representative | Mar 2022 (4y) | ||
| Thomas Joseph Alten | Registered representative | CFP | Mar 2022 (4y) | |
| Benjamin David Humbert | Registered representative | Mar 2022 (4y) | ||
| Marjan Neyestani Khazra | Registered representative | Mar 2022 (4y) | ||
| Reagan Lee Wagner | Registered representative | Mar 2022 (4y) | ||
| Robert John Floe | Registered representative | Mar 2022 (4y) | ||
| David E Hudson | Registered representative | CFP | Mar 2022 (4y) | |
| Kevin Joseph Murray | Registered representative | Mar 2022 (4y) | ||
| Linda Kay French | Registered representative | Mar 2022 (4y) | ||
| Marc Lawrence Delia | Registered representative | Mar 2022 (4y) | ||
| Steven John Barsolona | Registered representative | Mar 2022 (4y) | ||
| Anne Marie Perry | Registered representative | Mar 2022 (4y) | ||
| Ashley Dawn Mmeve Radtke | Registered representative | Mar 2022 (4y) | ||
| Austin Joseph Buck | Registered representative | Mar 2022 (4y) | ||
| Derrick Joel Evans | Registered representative | Mar 2022 (4y) | ||
| Joshua Calvin Lartch | Registered representative | Mar 2022 (4y) | ||
| Lisa Johnson Rizzo | Registered representative | Mar 2022 (4y) | ||
| Lorrie G Hillard | Registered representative | Mar 2022 (4y) | ||
| Marcella Ree Lees | Registered representative | Mar 2022 (4y) | ||
| Rockwell Stuart Pearson | Registered representative | Mar 2022 (4y) | ||
| Jonathan Hooker | Registered representative | Mar 2022 (4y) | ||
| Daryl Lipkin | Registered representative | Mar 2022 (4y) | ||
| Leslie Paolino Shenkler | Registered representative | CFP | Mar 2022 (4y) | |
| Michael J Steinebach | Registered representative | Mar 2022 (4y) | ||
| Brett Blackwood | Registered representative | Mar 2022 (4y) | ||
| Gregory Brian Estell | Registered representative | Mar 2022 (4y) | ||
| Jason Michael De Tata | Registered representative | Mar 2022 (4y) | ||
| John Constantine Karadenes | Registered representative | Mar 2022 (4y) | ||
| John Ross Bellingham | Registered representative | CFP | Mar 2022 (4y) | |
| Joseph Golebiowski | Registered representative | Mar 2022 (4y) | ||
| Ross Michael Van Klaveren | Registered representative | Mar 2022 (4y) | ||
| Shannon Miguel Harris | Registered representative | Mar 2022 (4y) | ||
| Thomas Howard Acerra | Registered representative | Mar 2022 (4y) | ||
| Arthur J Nietling | Registered representative | Mar 2022 (4y) | ||
| Amanda V O'rourke | Registered representative | Mar 2022 (4y) | ||
| Christopher Anthony Ferrone | Registered representative | Mar 2022 (4y) | ||
| Daniel T Nycklemoe | Registered representative | Mar 2022 (4y) | ||
| Edmund F Speck | Registered representative | Mar 2022 (4y) | ||
| Paul Arthur Goeke | Registered representative | Mar 2022 (4y) | ||
| Scott James Taylor | Registered representative | Mar 2022 (4y) | ||
| Andrew John Colascione | Registered representative | Mar 2022 (4y) | ||
| Ashley Danielle Stidham | Registered representative | Mar 2022 (4y) | ||
| Duane Michael Ludewig | Registered representative | Mar 2022 (4y) | ||
| Erin H Mills | Registered representative | Mar 2022 (4y) | ||
| Katharine Marie Kanitra | Registered representative | Mar 2022 (4y) | ||
| Landon James Oddono | Registered representative | Mar 2022 (4y) | ||
| Shawna D'lene Larson | Registered representative | Mar 2022 (4y) | ||
| Brad Gauldin | Registered representative | Mar 2022 (4y) | ||
| Elizabeth L Mengo | Registered representative | Mar 2022 (4y) | ||
| Jason James Willner | Registered representative | CFP | Mar 2022 (4y) | |
| Kimberlee Dawn Blaxton | Registered representative | Mar 2022 (4y) | ||
| Paul Edward Horan | Registered representative | Mar 2022 (4y) | ||
| Quais Hasseeb | Registered representative | Mar 2022 (4y) | ||
| Robert Thomas Viau | Registered representative | Mar 2022 (4y) | ||
| Ronald John Gubelman | Registered representative | Mar 2022 (4y) | ||
| Andre Charles Stafford | Registered representative | Mar 2022 (4y) | ||
| Bailey Conley | Registered representative | Mar 2022 (4y) | ||
| Dylan Dobrosky | Registered representative | Mar 2022 (4y) | ||
| Jacob Bishop Messer | Registered representative | Mar 2022 (4y) | ||
| Jason Demeo | Registered representative | Chartered Financial Consultant | Mar 2022 (4y) | |
| Jennifer Marie Frey | Registered representative | Mar 2022 (4y) | ||
| Lisa Ann Tesar | Registered representative | Mar 2022 (4y) | ||
| Bruce (Brett) Palmer Emmeluth | Registered representative | Mar 2022 (4y) | ||
| Bryce Andrew Roebke | Registered representative | Mar 2022 (4y) | ||
| Coston Brandt Parker | Registered representative | Mar 2022 (4y) | ||
| Daniel Joseph Bellet | Registered representative | Mar 2022 (4y) | ||
| Gary Andrew Edmonds | Registered representative | Mar 2022 (4y) | ||
| Hsiao Chuan Chang | Registered representative | Mar 2022 (4y) | ||
| James Harry Marshall | Registered representative | Mar 2022 (4y) | ||
| John Charles Bird | Registered representative | Mar 2022 (4y) | ||
| Sara Danae Olsen | Registered representative | Mar 2022 (4y) | ||
| John Anton Sporar | Registered representative | CFP | Apr 2022 (4y) | |
| Karl Francis Molwitz | Registered representative | CFP | Apr 2022 (4y) | |
| Katrina Roxanne Jackson | Registered representative | Apr 2022 (4y) | ||
| Michael S Maloy | Registered representative | Apr 2022 (4y) | ||
| Steven B Blexrud | Registered representative | Apr 2022 (4y) | ||
| Todd Panto | Registered representative | Apr 2022 (4y) | ||
| Walter Paden Reed | Registered representative | Apr 2022 (4y) | ||
| Brock William Richard Rouch | Registered representative | Apr 2022 (4y) | ||
| Chadwick Royce Keeler | Registered representative | Apr 2022 (4y) | ||
| Jackson A Baum | Registered representative | Apr 2022 (4y) | ||
| Joseph Baxter Platt | Registered representative | Apr 2022 (4y) | ||
| Louis Anthony Guzzetta | Registered representative | Apr 2022 (4y) | ||
| Mark Josaitis | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Robert Davis Platt | Registered representative | Apr 2022 (4y) | ||
| April Marie Keil | Registered representative | Apr 2022 (4y) | ||
| Chad A Carson | Registered representative | Apr 2022 (4y) | ||
| Daniel Wayne Decaires | Registered representative | Apr 2022 (4y) | ||
| Guido Mogatti Sarcione | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Jake R Stephens | Registered representative | Apr 2022 (4y) | ||
| Maria Giacalone Mozo | Registered representative | Apr 2022 (4y) | ||
| Matthew Ronald Draeger | Registered representative | Apr 2022 (4y) | ||
| Thomas Jm Mahfet | Registered representative | Apr 2022 (4y) | ||
| Michael Shane Gaddy | Registered representative | CFP | Apr 2022 (4y) | |
| Stacey M Crosby | Registered representative | Apr 2022 (4y) | ||
| Stefan Austin Burke | Registered representative | Apr 2022 (4y) | ||
| Edward Francis Bacher | Registered representative | CFP | Apr 2022 (4y) | |
| Maria Leticia Monroe | Registered representative | Apr 2022 (4y) | ||
| David Bernard Harris | Registered representative | Apr 2022 (4y) | ||
| Jennifer Marie Moss | Registered representative | Apr 2022 (4y) | ||
| Kristen Ann Vitale | Registered representative | Apr 2022 (4y) | ||
| Maria Mae Lewis | Registered representative | Apr 2022 (4y) | ||
| Robert Stanislaw Galinski | Registered representative | CFP | Apr 2022 (4y) | |
| Michael Loren Walschot | Registered representative | Apr 2022 (4y) | ||
| Paul Kunz | Registered representative | Apr 2022 (4y) | ||
| Brigitte Ann Murphy | Registered representative | Apr 2022 (4y) | ||
| Kelly Mathis Lee | Registered representative | CFP | Apr 2022 (4y) | |
| Peter R. Russell Carmack | Registered representative | CFA | Apr 2022 (4y) | |
| Adam P Marone | Registered representative | Apr 2022 (4y) | ||
| Jacob Patrick Rainbolt | Registered representative | Apr 2022 (4y) | ||
| Jaimie Lynnette Morrison | Registered representative | Apr 2022 (4y) | ||
| Kelsey Ann Cope | Registered representative | Apr 2022 (4y) | ||
| Kimberly A. O'gorman | Registered representative | Apr 2022 (4y) | ||
| Kevin Squire Kruchko | Registered representative | Apr 2022 (4y) | ||
| Andrew James Dean | Registered representative | Apr 2022 (4y) | ||
| Douglas Brent Zucker | Registered representative | Apr 2022 (4y) | ||
| John R Cultrera | Registered representative | CFP | Apr 2022 (4y) | |
| Joseph Fugate | Registered representative | Apr 2022 (4y) | ||
| Kristine Lynn Pennington | Registered representative | Apr 2022 (4y) | ||
| Kyle Norman Crawford | Registered representative | CFP | Apr 2022 (4y) | |
| Ryan William Lewandowski | Registered representative | Apr 2022 (4y) | ||
| Dorothy H Yandle | Registered representative | Apr 2022 (4y) | ||
| Eric Douglas Ikemire | Registered representative | Apr 2022 (4y) | ||
| Joseph Adam Hutchinson | Registered representative | Apr 2022 (4y) | ||
| Jason Martin Ebding | Registered representative | Apr 2022 (4y) | ||
| Nathan Theroux | Registered representative | Apr 2022 (4y) | ||
| Robert Francis Gibbs | Registered representative | Apr 2022 (4y) | ||
| Scott William Krizner | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Sean Ryan Lowe | Registered representative | Apr 2022 (4y) | ||
| Andrea D Wisekal | Registered representative | Apr 2022 (4y) | ||
| Charles Brandon Snyder | Registered representative | Apr 2022 (4y) | ||
| Joanna Byrum Page | Registered representative | Apr 2022 (4y) | ||
| Jonathan Dale Peters | Registered representative | CFP | Apr 2022 (4y) | |
| Michael David Roach | Registered representative | Apr 2022 (4y) | ||
| Michael John Gavett | Registered representative | Apr 2022 (4y) | ||
| Rachel Ann Maceri | Registered representative | Apr 2022 (4y) | ||
| Robert Bivings Mitchell | Registered representative | Apr 2022 (4y) | ||
| Talia Musolino | Registered representative | Apr 2022 (4y) | ||
| Trinity Kathleen Clancy | Registered representative | Apr 2022 (4y) | ||
| Amy Jo Townsend Vanderpool | Registered representative | Apr 2022 (4y) | ||
| Carlos Julio Hilario | Registered representative | Apr 2022 (4y) | ||
| Diane Louise Kridler | Registered representative | Apr 2022 (4y) | ||
| Kent Sanderson Travis | Registered representative | Apr 2022 (4y) | ||
| Nicholas Edward Bevad | Registered representative | Apr 2022 (4y) | ||
| Philip Jefferson Arey | Registered representative | Apr 2022 (4y) | ||
| Stephen Jeffrey Campbell | Registered representative | Apr 2022 (4y) | ||
| Connor Stanley | Registered representative | Apr 2022 (4y) | ||
| Daniel George Feiden | Registered representative | Apr 2022 (4y) | ||
| Hannah Louise Rogers | Registered representative | Apr 2022 (4y) | ||
| Josh Cocherell | Registered representative | Apr 2022 (4y) | ||
| Marcus Steven Schmidt | Registered representative | Apr 2022 (4y) | ||
| Noah S Ingalls | Registered representative | Apr 2022 (4y) | ||
| Scott Charles Modell | Registered representative | Apr 2022 (4y) | ||
| Andrew David Barlow | Registered representative | CFP | Apr 2022 (4y) | |
| Eric Lee Joseph Powell | Registered representative | CFP | Apr 2022 (4y) | |
| Christian Michael Karcher | Registered representative | Apr 2022 (4y) | ||
| Marc Stuart Freedman | Registered representative | CFP | Apr 2022 (4y) | |
| Marion Blatsos Gilman | Registered representative | CFP | Apr 2022 (4y) | |
| Angel Moon | Registered representative | CFP | Apr 2022 (4y) | |
| James Craig Griffis | Registered representative | Apr 2022 (4y) | ||
| Mary Jane Muse | Registered representative | Apr 2022 (4y) | ||
| Michael Robert Osgood | Registered representative | Apr 2022 (4y) | ||
| Mark Kenneth Cruise | Registered representative | Apr 2022 (4y) | ||
| Richard Brian Wolf | Registered representative | Apr 2022 (4y) | ||
| Ryan C Daley | Registered representative | Apr 2022 (4y) | ||
| Benjamin Rogan Friedman | Registered representative | Apr 2022 (4y) | ||
| Elizabeth Mccallum Mclamb | Registered representative | Apr 2022 (4y) | ||
| Manuel Espinosa | Registered representative | Apr 2022 (4y) | ||
| Robert Francis Banas | Registered representative | Apr 2022 (4y) | ||
| Scott Bernard Stroeing | Registered representative | Apr 2022 (4y) | ||
| Alexander Vasilantone | Registered representative | Apr 2022 (4y) | ||
| Angela E Johnson | Registered representative | Apr 2022 (4y) | ||
| Daniel F Becker | Registered representative | CFP | Apr 2022 (4y) | |
| Daniel J Di Natale | Registered representative | Apr 2022 (4y) | ||
| Gage Tanner Baker | Registered representative | Apr 2022 (4y) | ||
| Geoffrey K Coons | Registered representative | Apr 2022 (4y) | ||
| Jonathan Convery | Registered representative | Apr 2022 (4y) | ||
| Neil Jeffrey Altshuler | Registered representative | CFP | Apr 2022 (4y) | |
| Adam Rean Bohlen | Registered representative | Apr 2022 (4y) | ||
| Garrett Keith Norton | Registered representative | Apr 2022 (4y) | ||
| Geoffrey Edward Gatewood | Registered representative | Apr 2022 (4y) | ||
| Joseph John Mandujano | Registered representative | Apr 2022 (4y) | ||
| Matthew Michael Corrigan | Registered representative | Apr 2022 (4y) | ||
| Bruce Douglas Berry | Registered representative | May 2022 (4y) | ||
| Derek Alexander Ross | Registered representative | May 2022 (4y) | ||
| Don Stewart | Registered representative | May 2022 (4y) | ||
| Eric William Messner | Registered representative | May 2022 (4y) | ||
| Janice Martin Zale | Registered representative | May 2022 (4y) | ||
| John W Strauch | Registered representative | May 2022 (4y) | ||
| John Hobart Hoke | Registered representative | May 2022 (4y) | ||
| Richard Alan Maas | Registered representative | May 2022 (4y) | ||
| Ruben L. Smith | Registered representative | CFP | May 2022 (4y) | |
| Richard Stuart Fineberg | Registered representative | May 2022 (4y) | ||
| Russell Anthony Kuchera | Registered representative | May 2022 (4y) | ||
| Aaron Michael Turner | Registered representative | May 2022 (4y) | ||
| Clinton Jonathan Allen | Registered representative | May 2022 (4y) | ||
| Drew Bax | Registered representative | May 2022 (4y) | ||
| Harrison Adams | Registered representative | May 2022 (4y) | ||
| John Herbert Lawler | Registered representative | May 2022 (4y) | ||
| Jeff Allen Fink | Registered representative | May 2022 (4y) | ||
| Kay Michelle Darflinger | Registered representative | May 2022 (4y) | ||
| Thomas S Wagner | Registered representative | CFP | May 2022 (4y) | |
| Adam Randal Floto | Registered representative | CFP | May 2022 (4y) | |
| Chad E Kreifel | Registered representative | May 2022 (4y) | ||
| Edward Mullins Hawley | Registered representative | May 2022 (4y) | ||
| Kathryn Susann Mcleod | Registered representative | May 2022 (4y) | ||
| Raymond Jung Kong | Registered representative | May 2022 (4y) | ||
| Aaron James Tuttle | Registered representative | May 2022 (4y) | ||
| Dana Christopher Go | Registered representative | May 2022 (4y) | ||
| Michelle Renee Gascoigne | Registered representative | May 2022 (4y) | ||
| Thomas Mario Domogma | Registered representative | May 2022 (4y) | ||
| Alyssa Kimberly Erickson | Registered representative | May 2022 (4y) | ||
| Brian Jeffrey Mccoy | Registered representative | May 2022 (4y) | ||
| Conner Dennis Morgan | Registered representative | May 2022 (4y) | ||
| Hue Maeby Simone | Registered representative | May 2022 (4y) | ||
| Jacob Anthony David Bahr | Registered representative | May 2022 (4y) | ||
| Phillip Jon Devereaux | Registered representative | May 2022 (4y) | ||
| Raymond Chi Hon Pai | Registered representative | CFP | May 2022 (4y) | |
| Robert John Naclerio | Registered representative | May 2022 (4y) | ||
| Sara Lynn Kresser | Registered representative | May 2022 (4y) | ||
| Sharon Elgatian | Registered representative | May 2022 (4y) | ||
| Thomas Asta | Registered representative | May 2022 (4y) | ||
| Tonya Key Maness | Registered representative | May 2022 (4y) | ||
| Anthony Louis Petruccelli | Registered representative | May 2022 (4y) | ||
| Brandon Warren Leeder | Registered representative | May 2022 (4y) | ||
| Eric Stephen Ratliff | Registered representative | CFP | May 2022 (4y) | |
| Hitesh M Patel | Registered representative | May 2022 (4y) | ||
| Jeffery Thomas Bonifacino | Registered representative | May 2022 (4y) | ||
| Kenneth John Klein | Registered representative | May 2022 (4y) | ||
| Michael David Woodman | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Rita Mae Borchers | Registered representative | May 2022 (4y) | ||
| Gary Kenneth Smith | Registered representative | May 2022 (4y) | ||
| Gary Lee Hayenga | Registered representative | May 2022 (4y) | ||
| James D Burleson | Registered representative | May 2022 (4y) | ||
| Juan Forcado | Registered representative | May 2022 (4y) | ||
| Darren Allen James | Registered representative | May 2022 (4y) | ||
| Germaine Harris | Registered representative | May 2022 (4y) | ||
| Jennifer Rebecca Braccio | Registered representative | May 2022 (4y) | ||
| Michael Richard O'brien | Registered representative | May 2022 (4y) | ||
| Nathan W.D. Spohn | Registered representative | CFP | May 2022 (4y) | |
| Scott Christopher Butera | Registered representative | CFP | May 2022 (4y) | |
| Alfred David Barbato | Registered representative | May 2022 (4y) | ||
| Gary Lee Noecker | Registered representative | May 2022 (4y) | ||
| John Suszynski | Registered representative | May 2022 (4y) | ||
| Joshua Newes | Registered representative | May 2022 (4y) | ||
| Kyle Fitzpatrick | Registered representative | May 2022 (4y) | ||
| Scott Lewis Bernstein | Registered representative | May 2022 (4y) | ||
| Zachary David Stein | Registered representative | May 2022 (4y) | ||
| Christian Tateo | Registered representative | May 2022 (4y) | ||
| Janet L Garner | Registered representative | May 2022 (4y) | ||
| Jeremy Jack Scholl | Registered representative | May 2022 (4y) | ||
| Reynold Gaspar Valenciano | Registered representative | May 2022 (4y) | ||
| Robert Lloyd Foss | Registered representative | May 2022 (4y) | ||
| Richard Seth Currens | Registered representative | May 2022 (4y) | ||
| Christopher Angel Zambrano | Registered representative | CFP | May 2022 (4y) | |
| Corey S Oneil | Registered representative | May 2022 (4y) | ||
| Christopher Bell | Registered representative | May 2022 (4y) | ||
| Matthew Ethan Borel | Registered representative | May 2022 (4y) | ||
| Michael Joseph Ioffredo | Registered representative | CFP | May 2022 (4y) | |
| Aaron James Haugland | Registered representative | May 2022 (4y) | ||
| Aaron Russell Handfield | Registered representative | May 2022 (4y) | ||
| Abraham Marquez | Registered representative | May 2022 (4y) | ||
| Adam Michael Sill | Registered representative | May 2022 (4y) | ||
| Alex Hung Nguyen | Registered representative | May 2022 (4y) | ||
| Alex Michael Sutherland | Registered representative | May 2022 (4y) | ||
| Alexander Paul Burian | Registered representative | May 2022 (4y) | ||
| Alexandra Marquez | Registered representative | May 2022 (4y) | ||
| Andres Hyunchul Han | Registered representative | May 2022 (4y) | ||
| Anna Catherine Dunlap | Registered representative | May 2022 (4y) | ||
| Anna Marie Kamp | Registered representative | May 2022 (4y) | ||
| Anthony D Bumgarner | Registered representative | May 2022 (4y) | ||
| Anthony Robert Bosma | Registered representative | May 2022 (4y) | ||
| Amber Mary Gaitan | Registered representative | May 2022 (4y) | ||
| April J Wood | Registered representative | May 2022 (4y) | ||
| Ashley Diane Russell | Registered representative | May 2022 (4y) | ||
| Barbara A Quinn | Registered representative | May 2022 (4y) | ||
| Benjamin James Schleicher | Registered representative | May 2022 (4y) | ||
| Brad Matthew Burckel | Registered representative | May 2022 (4y) | ||
| Brent Allen Fulkerson | Registered representative | May 2022 (4y) | ||
| Brent Garen Wohlers | Registered representative | May 2022 (4y) | ||
| Breta L Grumbois | Registered representative | May 2022 (4y) | ||
| Brett Gladden | Registered representative | May 2022 (4y) | ||
| Brian Alexander Arrow | Registered representative | May 2022 (4y) | ||
| Brian David Hopper | Registered representative | May 2022 (4y) | ||
| Brian Edwin Sims | Registered representative | May 2022 (4y) | ||
| Brian Paul Bock | Registered representative | May 2022 (4y) | ||
| Bryan David Roberts | Registered representative | CFP Chartered Financial Consultant | May 2022 (4y) | |
| Bryanna Onawa Gleason | Registered representative | May 2022 (4y) | ||
| Bethel L Coleman | Registered representative | May 2022 (4y) | ||
| Brian J Burnett | Registered representative | May 2022 (4y) | ||
| Brock Allan Mc Neff | Registered representative | May 2022 (4y) | ||
| Caela M Ullmer | Registered representative | May 2022 (4y) | ||
| Cameron Michael Clark | Registered representative | May 2022 (4y) | ||
| Candace L Mills | Registered representative | May 2022 (4y) | ||
| Cao Tri Tran | Registered representative | May 2022 (4y) | ||
| Carlos Abraham Almazan | Registered representative | May 2022 (4y) | ||
| Carlos Carrillo | Registered representative | May 2022 (4y) | ||
| Carlos Sergio Torres Negron | Registered representative | May 2022 (4y) | ||
| Carolina Silva Rose | Registered representative | May 2022 (4y) | ||
| Catherine A Mclarty | Registered representative | May 2022 (4y) | ||
| Charles Edward Headley | Registered representative | May 2022 (4y) | ||
| Cheryl Ann Angelini | Registered representative | May 2022 (4y) | ||
| Chris Neil Kaminaka | Registered representative | May 2022 (4y) | ||
| Christine Brouillette | Registered representative | May 2022 (4y) | ||
| Christine Elizabeth Belair | Registered representative | CFP | May 2022 (4y) | |
| Christine Rose Kusher | Registered representative | May 2022 (4y) | ||
| Christopher Collin Bright | Registered representative | May 2022 (4y) | ||
| Christopher Lawrence Jackson | Registered representative | May 2022 (4y) | ||
| Christopher Robert Hibbard | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Cody Ray Fredrickson | Registered representative | May 2022 (4y) | ||
| Corey W Whitcomb | Registered representative | May 2022 (4y) | ||
| Craig Robert Floerke | Registered representative | May 2022 (4y) | ||
| Craig Scott Lundquist | Registered representative | May 2022 (4y) | ||
| Cristian A Lopez | Registered representative | May 2022 (4y) | ||
| Crystal D Rickard | Registered representative | May 2022 (4y) | ||
| Curtis G Malone | Registered representative | May 2022 (4y) | ||
| Casey Madsen | Registered representative | May 2022 (4y) | ||
| Catherine Sanchez Genty | Registered representative | May 2022 (4y) | ||
| Chad W Kappler | Registered representative | May 2022 (4y) | ||
| Charles Molloy | Registered representative | May 2022 (4y) | ||
| Christian Blaise Sarver | Registered representative | May 2022 (4y) | ||
| Christopher M Eberly | Registered representative | May 2022 (4y) | ||
| Christopher Roy Gibardi | Registered representative | May 2022 (4y) | ||
| Daniel Allen Woodhouse | Registered representative | CFP | May 2022 (4y) | |
| Daniel C Mcdonough | Registered representative | May 2022 (4y) | ||
| Daniel Campanelli | Registered representative | May 2022 (4y) | ||
| Daniel Edward Rearick | Registered representative | May 2022 (4y) | ||
| David C Brown | Registered representative | May 2022 (4y) | ||
| David Edward Dunn | Registered representative | May 2022 (4y) | ||
| David John Venegas | Registered representative | May 2022 (4y) | ||
| David Paul Dufour | Registered representative | May 2022 (4y) | ||
| David Wayne Tansor | Registered representative | May 2022 (4y) | ||
| Denise Thomas Eskelson | Registered representative | May 2022 (4y) | ||
| Dennis Cleveland Thompson | Registered representative | May 2022 (4y) | ||
| Dennis John Liverett | Registered representative | May 2022 (4y) | ||
| Devon Caldwell Littlefield | Registered representative | May 2022 (4y) | ||
| Donald Robert Lutz | Registered representative | CFP | May 2022 (4y) | |
| Douglas Blake Stocklan | Registered representative | May 2022 (4y) | ||
| Douglas Lee Jones | Registered representative | May 2022 (4y) | ||
| David James Fitzgerald | Registered representative | CFP | May 2022 (4y) | |
| David M Garres | Registered representative | May 2022 (4y) | ||
| David Richard Messina | Registered representative | May 2022 (4y) | ||
| Dawn Michelle Frost | Registered representative | May 2022 (4y) | ||
| Debra Lea Hastings | Registered representative | May 2022 (4y) | ||
| Delia Elena Arhiri | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Edward Arcilla | Registered representative | May 2022 (4y) | ||
| Edward Eric Grondahl | Registered representative | May 2022 (4y) | ||
| Edward Ranieri | Registered representative | May 2022 (4y) | ||
| Emily L Lane | Registered representative | May 2022 (4y) | ||
| Eric Charles Earle | Registered representative | May 2022 (4y) | ||
| Eric R Dubose | Registered representative | May 2022 (4y) | ||
| Erik Jaime | Registered representative | May 2022 (4y) | ||
| Ernie G Lewis | Registered representative | May 2022 (4y) | ||
| Eugene Paul Maino | Registered representative | May 2022 (4y) | ||
| Emilee Lawrence | Registered representative | May 2022 (4y) | ||
| Eric Frontino | Registered representative | May 2022 (4y) | ||
| Eun Joo Kim Hamblin | Registered representative | May 2022 (4y) | ||
| Fielding Scott Miller | Registered representative | May 2022 (4y) | ||
| Frank Robert Pecorella | Registered representative | May 2022 (4y) | ||
| Frederick Joseph Ctibor | Registered representative | May 2022 (4y) | ||
| Flavio Hernandez | Registered representative | May 2022 (4y) | ||
| Gary Dean Parson | Registered representative | May 2022 (4y) | ||
| Geoffrey William Stark | Registered representative | May 2022 (4y) | ||
| Garret Locke | Registered representative | May 2022 (4y) | ||
| Hope Winter Dennis | Registered representative | May 2022 (4y) | ||
| Horace Lee Daniel | Registered representative | May 2022 (4y) | ||
| Hank Cecil Skaggs | Registered representative | May 2022 (4y) | ||
| Holland M Rajaniemi | Registered representative | May 2022 (4y) | ||
| Hua Jien Ting | Registered representative | May 2022 (4y) | ||
| Isaac James Morris | Registered representative | May 2022 (4y) | ||
| Ignacio Guzman | Registered representative | May 2022 (4y) | ||
| Izamar Perez | Registered representative | May 2022 (4y) | ||
| James Daniel Bird | Registered representative | May 2022 (4y) | ||
| James H Van Wert | Registered representative | May 2022 (4y) | ||
| James Henry Vanwert | Registered representative | May 2022 (4y) | ||
| James Joseph Tillman | Registered representative | May 2022 (4y) | ||
| James T Letcher | Registered representative | May 2022 (4y) | ||
| Jason Edwin Buchinger | Registered representative | May 2022 (4y) | ||
| Jason M Healy | Registered representative | May 2022 (4y) | ||
| Jason Ross Muench | Registered representative | CFP | May 2022 (4y) | |
| Jay Ryan Haselwander | Registered representative | May 2022 (4y) | ||
| Jeffrey Clinton Hamm | Registered representative | May 2022 (4y) | ||
| Jeffrey John Petronack | Registered representative | CFP | May 2022 (4y) | |
| Jeffrey Mark Singer | Registered representative | May 2022 (4y) | ||
| Jennifer Ann Burkholder | Registered representative | May 2022 (4y) | ||
| Jennifer Lynn Pestikas | Registered representative | May 2022 (4y) | ||
| Jeremy Allen Young | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Jessica Lee Aquiler | Registered representative | May 2022 (4y) | ||
| Joan Marie Brestel | Registered representative | May 2022 (4y) | ||
| Jodie M Smith | Registered representative | May 2022 (4y) | ||
| Jody Ann Brown | Registered representative | CFP Chartered Financial Consultant | May 2022 (4y) | |
| Joe Boyd Jaspers | Registered representative | CFP | May 2022 (4y) | |
| John Craige Marek | Registered representative | May 2022 (4y) | ||
| John Edward Pesh | Registered representative | May 2022 (4y) | ||
| John F Heinzinger | Registered representative | CFP | May 2022 (4y) | |
| John Francis Degelmann | Registered representative | May 2022 (4y) | ||
| John Steven Masinko | Registered representative | May 2022 (4y) | ||
| Joleen Marie Parsons | Registered representative | May 2022 (4y) | ||
| Jon Reece Thompson | Registered representative | May 2022 (4y) | ||
| Jonathan Bradley Lybeck | Registered representative | May 2022 (4y) | ||
| Jonathan James Delp | Registered representative | May 2022 (4y) | ||
| Jonathan Michael Fiorito | Registered representative | May 2022 (4y) | ||
| Jonathan Peter Dekker | Registered representative | May 2022 (4y) | ||
| Jorge Macias | Registered representative | May 2022 (4y) | ||
| Joseph Frank Shinske | Registered representative | May 2022 (4y) | ||
| Joshua Wayne Wells | Registered representative | May 2022 (4y) | ||
| Justin Alan Dams | Registered representative | May 2022 (4y) | ||
| Justin Paul Parker | Registered representative | May 2022 (4y) | ||
| Jeffrey Saran | Registered representative | May 2022 (4y) | ||
| Jenna Marie Richardson | Registered representative | May 2022 (4y) | ||
| Jermaine D Hawkins | Registered representative | May 2022 (4y) | ||
| John Brent Kesner | Registered representative | May 2022 (4y) | ||
| John Frausto | Registered representative | May 2022 (4y) | ||
| John Welsh Eyster | Registered representative | May 2022 (4y) | ||
| Joseph David Motisi | Registered representative | May 2022 (4y) | ||
| Joshua D Kassulke | Registered representative | May 2022 (4y) | ||
| Katherine Jean Burgess | Registered representative | May 2022 (4y) | ||
| Kathryn Jo Hackney | Registered representative | May 2022 (4y) | ||
| Katryna Melanie Wright | Registered representative | May 2022 (4y) | ||
| Keith Vancil Gilbert | Registered representative | May 2022 (4y) | ||
| Kendrick Dell Coulthard | Registered representative | May 2022 (4y) | ||
| Kevin C Tennyson | Registered representative | May 2022 (4y) | ||
| Khushwant Singh Thandi | Registered representative | May 2022 (4y) | ||
| Kieran M Mcmanus | Registered representative | May 2022 (4y) | ||
| Kim Marie Pruitt | Registered representative | May 2022 (4y) | ||
| Kirk Darnell | Registered representative | May 2022 (4y) | ||
| Kotchi William Prosper | Registered representative | May 2022 (4y) | ||
| Katrina Bargas | Registered representative | May 2022 (4y) | ||
| Kevin P Spohn | Registered representative | May 2022 (4y) | ||
| Kimchi Godwin | Registered representative | CFP Chartered Financial Consultant | May 2022 (4y) | |
| Kristy Harris | Registered representative | May 2022 (4y) | ||
| Laraine Ruth Crews Dickerson | Registered representative | CFP | May 2022 (4y) | |
| Lary Wayne Feldkamp | Registered representative | May 2022 (4y) | ||
| Laura Elizabeth Troyer | Registered representative | May 2022 (4y) | ||
| Laurence Michael Wajsman | Registered representative | CFP | May 2022 (4y) | |
| Leigh Anne Cook | Registered representative | May 2022 (4y) | ||
| Leslie Gail Stephenson | Registered representative | May 2022 (4y) | ||
| Linda Lovern Fairchild | Registered representative | May 2022 (4y) | ||
| Lindsay Elaine Lewis | Registered representative | May 2022 (4y) | ||
| Lynelle Rae Clark | Registered representative | May 2022 (4y) | ||
| Lee T Baker | Registered representative | May 2022 (4y) | ||
| Marc A Kenville | Registered representative | May 2022 (4y) | ||
| Mark A Gernetzke | Registered representative | May 2022 (4y) | ||
| Mark Alan Gorge | Registered representative | May 2022 (4y) | ||
| Mark Bromm Holmquist | Registered representative | May 2022 (4y) | ||
| Mark Duane Garrod | Registered representative | May 2022 (4y) | ||
| Mark Otis Givenrod | Registered representative | May 2022 (4y) | ||
| Martin Charles Terry | Registered representative | May 2022 (4y) | ||
| Mary Anne Laferriere | Registered representative | May 2022 (4y) | ||
| Mathew J Hastings | Registered representative | May 2022 (4y) | ||
| Matthew A Grabner | Registered representative | May 2022 (4y) | ||
| Matthew Brian Doyal | Registered representative | May 2022 (4y) | ||
| Matthew Jon Vickers | Registered representative | May 2022 (4y) | ||
| Matthew Stephan Anderson | Registered representative | May 2022 (4y) | ||
| Maureen Theresa Mcgreevy | Registered representative | May 2022 (4y) | ||
| Melissa Ann Acher | Registered representative | May 2022 (4y) | ||
| Merry Lisa Scala | Registered representative | May 2022 (4y) | ||
| Michael Beauregard Mcglamery | Registered representative | CFP | May 2022 (4y) | |
| Michael Chatterton | Registered representative | May 2022 (4y) | ||
| Michael David King | Registered representative | May 2022 (4y) | ||
| Michael J Calandruccio | Registered representative | May 2022 (4y) | ||
| Michael Leavens Ramker | Registered representative | May 2022 (4y) | ||
| Michael Paul Schwieters | Registered representative | May 2022 (4y) | ||
| Michael R Klopfer | Registered representative | May 2022 (4y) | ||
| Michael Raymond Pozzi | Registered representative | May 2022 (4y) | ||
| Michael S Amers | Registered representative | May 2022 (4y) | ||
| Michael Sean Campbell | Registered representative | May 2022 (4y) | ||
| Michael V Spelman | Registered representative | May 2022 (4y) | ||
| Michael William Beck | Registered representative | CFP | May 2022 (4y) | |
| Michelle Leah Prosper | Registered representative | May 2022 (4y) | ||
| Myra Jean Very | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Matthew Brice Tielker | Registered representative | May 2022 (4y) | ||
| Matthew Brookshire | Registered representative | May 2022 (4y) | ||
| Matthew J Kreuzer | Registered representative | May 2022 (4y) | ||
| Maxim Nikolayevich Makhnyk | Registered representative | May 2022 (4y) | ||
| Melissa Streber | Registered representative | May 2022 (4y) | ||
| Michael J Suggs | Registered representative | May 2022 (4y) | ||
| Michael James Mc Millan | Registered representative | May 2022 (4y) | ||
| Michaela A Matthews | Registered representative | May 2022 (4y) | ||
| Natasha Zandra Pirozko | Registered representative | May 2022 (4y) | ||
| Nathan D Murdock | Registered representative | May 2022 (4y) | ||
| Nathan Rodgers | Registered representative | May 2022 (4y) | ||
| Nicolet E Hemmy | Registered representative | May 2022 (4y) | ||
| Noah A Ferrio | Registered representative | May 2022 (4y) | ||
| Patricia Dawn Freiwald | Registered representative | CFP | May 2022 (4y) | |
| Patrick A Cefalo | Registered representative | May 2022 (4y) | ||
| Patrick Andrew Leon | Registered representative | May 2022 (4y) | ||
| Patrick Terrence Mcmahon | Registered representative | CFP | May 2022 (4y) | |
| Paul David Finch | Registered representative | CFP Chartered Financial Consultant | May 2022 (4y) | |
| Paul John Aubin | Registered representative | May 2022 (4y) | ||
| Paul Stephen Fedorko | Registered representative | May 2022 (4y) | ||
| Paula Ann Mccauley | Registered representative | May 2022 (4y) | ||
| Paula G Moreland | Registered representative | May 2022 (4y) | ||
| Peter Joseph Sullivan | Registered representative | May 2022 (4y) | ||
| Philip H. Moore | Registered representative | CFP | May 2022 (4y) | |
| Phillip David Hansen | Registered representative | May 2022 (4y) | ||
| Pedro Ureno | Registered representative | May 2022 (4y) | ||
| Peter Munley | Registered representative | May 2022 (4y) | ||
| Phillip Peter Parziale | Registered representative | CFP | May 2022 (4y) | |
| Rachel R Kulzer | Registered representative | May 2022 (4y) | ||
| Rachelle Elaine Keith | Registered representative | May 2022 (4y) | ||
| Ralph Henry Kapalczynski | Registered representative | May 2022 (4y) | ||
| Randall Clay Pickett | Registered representative | May 2022 (4y) | ||
| Randall Wilson Harris | Registered representative | CFP Chartered Financial Consultant | May 2022 (4y) | |
| Raymond Anthony Acosta | Registered representative | May 2022 (4y) | ||
| Raymond Joseph Lazcano | Registered representative | May 2022 (4y) | ||
| Reed Nichols | Registered representative | May 2022 (4y) | ||
| Rhiannon R.L. Hinz | Registered representative | May 2022 (4y) | ||
| Richard Frank Wallner | Registered representative | CFP | May 2022 (4y) | |
| Richard L Rodrigue | Registered representative | May 2022 (4y) | ||
| Richard Scott Hoel | Registered representative | CFP | May 2022 (4y) | |
| Ricky Dewight Whitmire | Registered representative | May 2022 (4y) | ||
| Robert Bradford Davis | Registered representative | May 2022 (4y) | ||
| Robert Ellison Means | Registered representative | May 2022 (4y) | ||
| Robert J Fischvogt | Registered representative | May 2022 (4y) | ||
| Robert M Morgan | Registered representative | May 2022 (4y) | ||
| Ronald Joseph Huck | Registered representative | CFP | May 2022 (4y) | |
| Ronald Lee Weatherly | Registered representative | May 2022 (4y) | ||
| Ryan Edward Rosenow | Registered representative | CFP | May 2022 (4y) | |
| Robert A Reindl | Registered representative | May 2022 (4y) | ||
| Robert Schmidt | Registered representative | May 2022 (4y) | ||
| Roger G Phillis | Registered representative | May 2022 (4y) | ||
| Sal C Guerrero | Registered representative | May 2022 (4y) | ||
| Salvatore Bocchimuzzo | Registered representative | CFP | May 2022 (4y) | |
| Saundra Dee Ivy | Registered representative | May 2022 (4y) | ||
| Scott Glenn Thompson | Registered representative | May 2022 (4y) | ||
| Scott M Tauschek | Registered representative | May 2022 (4y) | ||
| Sean Michael Farrell | Registered representative | May 2022 (4y) | ||
| Sean Michael Ryan | Registered representative | May 2022 (4y) | ||
| Sean William Bayer | Registered representative | May 2022 (4y) | ||
| Selena Lynne Richardson | Registered representative | May 2022 (4y) | ||
| Shane David Irons | Registered representative | May 2022 (4y) | ||
| Stephanie Marie Mayers | Registered representative | May 2022 (4y) | ||
| Stephen Joseph Miller | Registered representative | May 2022 (4y) | ||
| Stephen Michael Collins | Registered representative | May 2022 (4y) | ||
| Stephen Winston Noffsinger | Registered representative | May 2022 (4y) | ||
| Steven A Horyl | Registered representative | May 2022 (4y) | ||
| Steven Mark Bandy | Registered representative | May 2022 (4y) | ||
| Stuart Scott Cooper | Registered representative | May 2022 (4y) | ||
| Susan Mary Breyer | Registered representative | May 2022 (4y) | ||
| Sarah M Faulkner | Registered representative | May 2022 (4y) | ||
| Sean Robert Hanke | Registered representative | May 2022 (4y) | ||
| Stephen Alan Martin | Registered representative | May 2022 (4y) | ||
| Suzanne L Tonelli | Registered representative | May 2022 (4y) | ||
| Tammie Lynn Mc Coy | Registered representative | May 2022 (4y) | ||
| Ted Allen Guyton | Registered representative | May 2022 (4y) | ||
| Terri Nichole Normington | Registered representative | May 2022 (4y) | ||
| Terri Yvonne Minter | Registered representative | May 2022 (4y) | ||
| Thomas Edward Waldron | Registered representative | May 2022 (4y) | ||
| Thomas Robert Binversie | Registered representative | May 2022 (4y) | ||
| Thomas Russell Burbank | Registered representative | May 2022 (4y) | ||
| Tiffany Jane Haupert | Registered representative | May 2022 (4y) | ||
| Timothy Alexander Quigley | Registered representative | May 2022 (4y) | ||
| Timothy Mark Carlson | Registered representative | May 2022 (4y) | ||
| Todd A Bertsch | Registered representative | May 2022 (4y) | ||
| Todd Andrew Gestrich | Registered representative | May 2022 (4y) | ||
| Todd Daniel Lindemuth | Registered representative | May 2022 (4y) | ||
| Todd Davis Elgin | Registered representative | May 2022 (4y) | ||
| Todd Robert Faulkner | Registered representative | May 2022 (4y) | ||
| Tom Aguilera | Registered representative | May 2022 (4y) | ||
| Travis Clark Pasma | Registered representative | May 2022 (4y) | ||
| Troy M Barta | Registered representative | CFP | May 2022 (4y) | |
| Tyler Tingey Holbrook | Registered representative | May 2022 (4y) | ||
| Terry L Schultz | Registered representative | May 2022 (4y) | ||
| Thomas Breen | Registered representative | May 2022 (4y) | ||
| Thomas James Snyder | Registered representative | May 2022 (4y) | ||
| Travis David Wiltgen | Registered representative | May 2022 (4y) | ||
| Tristan Andrew Hill | Registered representative | May 2022 (4y) | ||
| Varsha Parikh | Registered representative | May 2022 (4y) | ||
| Waylon Flaherty Peterson | Registered representative | CFP | May 2022 (4y) | |
| Wayne Allan Lagasse | Registered representative | May 2022 (4y) | ||
| Wendi Chrystina Cowdrey Ragon | Registered representative | May 2022 (4y) | ||
| Wendy Marie Cundari | Registered representative | May 2022 (4y) | ||
| William Chancey Day | Registered representative | May 2022 (4y) | ||
| William Douglas Adams | Registered representative | May 2022 (4y) | ||
| William Eugene Lusby | Registered representative | May 2022 (4y) | ||
| William Frederick Debille | Registered representative | May 2022 (4y) | ||
| William Stafford Craig | Registered representative | May 2022 (4y) | ||
| Winslow Hayward | Registered representative | May 2022 (4y) | ||
| William E Bargholtz | Registered representative | May 2022 (4y) | ||
| Alexander Ryan Deseelhorst | Registered representative | May 2022 (4y) | ||
| Andrew Dunbar | Registered representative | May 2022 (4y) | ||
| Ara Kevork Mekhitarian | Registered representative | CFP | May 2022 (4y) | |
| Armando Rojas | Registered representative | May 2022 (4y) | ||
| Amanda Aguilar | Registered representative | CFP | May 2022 (4y) | |
| Daniel Clifford King | Registered representative | CFP | May 2022 (4y) | |
| Donald Douglas Burt | Registered representative | CFP | May 2022 (4y) | |
| David Allen Luebke | Registered representative | May 2022 (4y) | ||
| Eileen Ann Restrepo | Registered representative | May 2022 (4y) | ||
| Eric Christian Martinez | Registered representative | May 2022 (4y) | ||
| Fred Mcclusky Palmer | Registered representative | May 2022 (4y) | ||
| Frederick Earl Hilton | Registered representative | May 2022 (4y) | ||
| Hope Marie Clough | Registered representative | May 2022 (4y) | ||
| Hossam Nasser | Registered representative | May 2022 (4y) | ||
| Jonathan Michael Murray | Registered representative | May 2022 (4y) | ||
| James D King | Registered representative | May 2022 (4y) | ||
| Joshua Adam Keyes | Registered representative | May 2022 (4y) | ||
| Lawrence Joseph Gardner | Registered representative | May 2022 (4y) | ||
| Lisa Renee Middleton | Registered representative | May 2022 (4y) | ||
| Margaret Mary Letchworth | Registered representative | May 2022 (4y) | ||
| Marlon Kwasi Awuma | Registered representative | CFP | May 2022 (4y) | |
| Michael Wayne Mcfarland | Registered representative | CFP | May 2022 (4y) | |
| Michael Gabriel Varon | Registered representative | May 2022 (4y) | ||
| Raymond Francis Loeffler | Registered representative | May 2022 (4y) | ||
| Roy W Echols | Registered representative | May 2022 (4y) | ||
| Russell James Toms | Registered representative | May 2022 (4y) | ||
| Ryan Paul Lanning | Registered representative | May 2022 (4y) | ||
| Rene A Fonseca | Registered representative | May 2022 (4y) | ||
| Robert J Crabtree | Registered representative | May 2022 (4y) | ||
| Rufus L Hawkins | Registered representative | May 2022 (4y) | ||
| Stefanie Lynn Evenden Flohr | Registered representative | May 2022 (4y) | ||
| Sarah F Lott | Registered representative | May 2022 (4y) | ||
| Weston Ray Gallop | Registered representative | May 2022 (4y) | ||
| William Joseph Cangeme | Registered representative | May 2022 (4y) | ||
| Brian John Kujawa | Registered representative | May 2022 (4y) | ||
| Brandon Craig Laday | Registered representative | May 2022 (4y) | ||
| Colton James Blackman | Registered representative | May 2022 (4y) | ||
| Chelsea Amann | Registered representative | May 2022 (4y) | ||
| Leonardo Aguilar | Registered representative | May 2022 (4y) | ||
| Annelise Chayka | Registered representative | May 2022 (4y) | ||
| Daniel Grant Degraaf | Registered representative | May 2022 (4y) | ||
| Ricardo Flores | Registered representative | May 2022 (4y) | ||
| Tom Thornhill | Registered representative | May 2022 (4y) | ||
| James Crossland Queen | Registered representative | May 2022 (4y) | ||
| Oliver Trent | Registered representative | May 2022 (4y) | ||
| Stacey Sankow | Registered representative | May 2022 (4y) | ||
| Austin Edward Muehlenbrock | Registered representative | May 2022 (4y) | ||
| Gene Tannenbaum | Registered representative | May 2022 (4y) | ||
| Michael Tannenbaum | Registered representative | May 2022 (4y) | ||
| Robert Joseph Tannenbaum | Registered representative | May 2022 (4y) | ||
| Sergio Michael Rosa | Registered representative | May 2022 (4y) | ||
| Thomas John Alexander | Registered representative | May 2022 (4y) | ||
| James Haag | Registered representative | May 2022 (4y) | ||
| Mark Erwin Towne | Registered representative | May 2022 (4y) | ||
| Nicholas Ryan Philbeck | Registered representative | May 2022 (4y) | ||
| Patrick Anthony O Donnell | Registered representative | May 2022 (4y) | ||
| Valerie Marie Quartiere | Registered representative | May 2022 (4y) | ||
| Jason James Howard | Registered representative | CFP | Jun 2022 (4y) | |
| Linda Louise Roman | Registered representative | Jun 2022 (4y) | ||
| Shane Dean Kunz | Registered representative | CFP | Jun 2022 (4y) | |
| Theresa M Fragale | Registered representative | Jun 2022 (4y) | ||
| Charles Peter Geers | Registered representative | Jun 2022 (4y) | ||
| Keyan Abrishamkar | Registered representative | Jun 2022 (4y) | ||
| Matthew Edwards Krivonak | Registered representative | Jun 2022 (4y) | ||
| Adam Leach | Registered representative | Jun 2022 (4y) | ||
| Jeffrey Patrick Ricchiuti | Registered representative | CFP | Jun 2022 (4y) | |
| Jennifer Williams | Registered representative | Jun 2022 (4y) | ||
| Evan Michael Pawloski | Registered representative | Jun 2022 (4y) | ||
| Emily Grace Dearborn | Registered representative | Jun 2022 (4y) | ||
| Henry David Bolin | Registered representative | Jun 2022 (4y) | ||
| James Joseph Malmstrom | Registered representative | Jun 2022 (4y) | ||
| Lori Christine Sipos | Registered representative | Jun 2022 (4y) | ||
| Taylor Renee Lensing | Registered representative | Jun 2022 (4y) | ||
| Alexandria Victoria Aucoin | Registered representative | Jun 2022 (4y) | ||
| Brennan Scott Burchill | Registered representative | Jun 2022 (4y) | ||
| Phillip C Hamand | Registered representative | Jun 2022 (4y) | ||
| Selese Leann Anderson | Registered representative | Jun 2022 (4y) | ||
| Slavimira Kamenova Bjelich | Registered representative | Jun 2022 (4y) | ||
| Drew Michael Forte | Registered representative | Jun 2022 (4y) | ||
| Daniel Arceo Miller | Registered representative | Jun 2022 (4y) | ||
| Grace Hirshblond | Registered representative | Jun 2022 (4y) | ||
| Timothy Joseph Thomas | Registered representative | Jun 2022 (4y) | ||
| Julie Gebert | Registered representative | Jun 2022 (4y) | ||
| Michael Truyman | Registered representative | Jun 2022 (4y) | ||
| Nicole Pamela Kevoian | Registered representative | Jun 2022 (4y) | ||
| Samuel Franklin Pyle | Registered representative | Jun 2022 (4y) | ||
| William Christopher Clinton | Registered representative | CFP | Jun 2022 (4y) | |
| Cynthia Louise Hughes | Registered representative | Jun 2022 (4y) | ||
| Dustin Timothy Kincaid | Registered representative | Jun 2022 (4y) | ||
| Sean Christopher Stevens | Registered representative | Jun 2022 (4y) | ||
| Alexander Karl Bruckel | Registered representative | Jun 2022 (4y) | ||
| Erin Lyndell Pollestad | Registered representative | Jun 2022 (4y) | ||
| Jedidiah William Barnett | Registered representative | Jun 2022 (4y) | ||
| Jared Walsh | Registered representative | Jun 2022 (4y) | ||
| Logan James Choisnet | Registered representative | Jun 2022 (4y) | ||
| Zachary David Stahl | Registered representative | Jun 2022 (4y) | ||
| Kevin Tran | Registered representative | Jun 2022 (4y) | ||
| Mark D. Howie | Registered representative | Jun 2022 (4y) | ||
| Greyson Alexander Price | Registered representative | Jun 2022 (4y) | ||
| Jonathan Jesse Rossi | Registered representative | Jun 2022 (4y) | ||
| Shane Michael Cavanaugh | Registered representative | Jun 2022 (4y) | ||
| Anthony L Roble | Registered representative | CFP | Jun 2022 (4y) | |
| Callahan Wade Woolett | Registered representative | Jun 2022 (4y) | ||
| Elizabeth K Souza | Registered representative | Jun 2022 (4y) | ||
| Katrina Mann Graves | Registered representative | Jun 2022 (4y) | ||
| Kent Dean Sherfey | Registered representative | Jun 2022 (4y) | ||
| Peter A Kemos | Registered representative | Jun 2022 (4y) | ||
| Ryan Wayne Pledger | Registered representative | Jun 2022 (4y) | ||
| Andrew J Capecci | Registered representative | Jun 2022 (4y) | ||
| Bradley Allen Gallimore | Registered representative | Jun 2022 (4y) | ||
| Cheryl Lucyann Smith | Registered representative | Jun 2022 (4y) | ||
| David Allan Stern | Registered representative | Jun 2022 (4y) | ||
| Richard E Espinosa | Registered representative | Jun 2022 (4y) | ||
| Shehan Priyasad Navarathne | Registered representative | Jun 2022 (4y) | ||
| Andrea Dee Zundel | Registered representative | Jun 2022 (4y) | ||
| David Cook | Registered representative | Jun 2022 (4y) | ||
| David Michael Humes | Registered representative | Jun 2022 (4y) | ||
| George Lee Montgomery | Registered representative | Jun 2022 (4y) | ||
| Inderjit Singh | Registered representative | Jun 2022 (4y) | ||
| Loren Edberg | Registered representative | Jun 2022 (4y) | ||
| Matthew H Dewildt | Registered representative | Jun 2022 (4y) | ||
| Russell Stuart Handler | Registered representative | Jun 2022 (4y) | ||
| Thomas Campbell Desousa | Registered representative | Jun 2022 (4y) | ||
| Brooke Ellise Sorchy | Registered representative | CFP | Jun 2022 (4y) | |
| John G Gigliello | Registered representative | Jun 2022 (4y) | ||
| Jessica Gong | Registered representative | Jun 2022 (4y) | ||
| Nathan Ryan Handlin | Registered representative | Jun 2022 (4y) | ||
| Samuel Henry Forsyth | Registered representative | Jun 2022 (4y) | ||
| Andrew Philip Heil | Registered representative | Jun 2022 (4y) | ||
| Bradley Thomas Davis | Registered representative | Jun 2022 (4y) | ||
| Brett Michael Skorstad | Registered representative | Jun 2022 (4y) | ||
| Josue R Marciano | Registered representative | Jun 2022 (4y) | ||
| Justin Robert Allen | Registered representative | Jun 2022 (4y) | ||
| Louis Numa Decuir | Registered representative | Jun 2022 (4y) | ||
| Merle Jarred Sterling | Registered representative | Jun 2022 (4y) | ||
| Matthew Jordan Mc Culley | Registered representative | CFP | Jun 2022 (4y) | |
| Teddy K Hallows | Registered representative | CFP | Jun 2022 (4y) | |
| Christopher G Happel | Registered representative | Jun 2022 (4y) | ||
| David Thomas Cargill | Registered representative | Jun 2022 (4y) | ||
| Hector Andres Lopez | Registered representative | Jun 2022 (4y) | ||
| Michael F Praznovsky | Registered representative | Jun 2022 (4y) | ||
| Roberto I Flores | Registered representative | Jun 2022 (4y) | ||
| Suzanne Elaine Walker Hanf | Registered representative | Jun 2022 (4y) | ||
| Georgia Lee Hanford | Registered representative | Jun 2022 (4y) | ||
| Grzegorz Szymczak | Registered representative | Jun 2022 (4y) | ||
| Jeffrey Michael Baldigo | Registered representative | Jun 2022 (4y) | ||
| Colin Ward Wren | Registered representative | Jun 2022 (4y) | ||
| James Newsome | Registered representative | Jun 2022 (4y) | ||
| Michael Douglas Olesen | Registered representative | Jun 2022 (4y) | ||
| Shelley Harper Verhagen | Registered representative | Jun 2022 (4y) | ||
| Thomas Keith Anderson | Registered representative | Jun 2022 (4y) | ||
| Zachary Ross | Registered representative | Jun 2022 (4y) | ||
| Grant Thomas Tobias | Registered representative | Jun 2022 (4y) | ||
| Daniel Cutter Baldwin | Registered representative | Jun 2022 (4y) | ||
| Heather Lynn Klutznick | Registered representative | Jun 2022 (4y) | ||
| Matthew J Arhontas | Registered representative | CFP | Jun 2022 (4y) | |
| Morgan Pyle | Registered representative | Jun 2022 (4y) | ||
| Robert A Buoy | Registered representative | Jun 2022 (4y) | ||
| Zachary Fox | Registered representative | Jun 2022 (4y) | ||
| Christine Frances Reinland | Registered representative | Jul 2022 (4y) | ||
| Matthew F Reynolds | Registered representative | CFP | Jul 2022 (4y) | |
| Sijo Geo Job | Registered representative | CFP | Jul 2022 (4y) | |
| Barry Raymund Bresnahan | Registered representative | Jul 2022 (4y) | ||
| Ayub Sicard | Registered representative | Jul 2022 (4y) | ||
| Benjamin Harris Beard | Registered representative | Jul 2022 (4y) | ||
| Crysta Kay Manthei | Registered representative | Jul 2022 (4y) | ||
| Eric Melker Harbak | Registered representative | Jul 2022 (4y) | ||
| John Joseph Shea | Registered representative | Jul 2022 (4y) | ||
| Natasha Vladimir Escareno | Registered representative | Jul 2022 (4y) | ||
| Ronald Vann Stephens | Registered representative | Jul 2022 (4y) | ||
| Alexander Vaughan Brand | Registered representative | Jul 2022 (4y) | ||
| Christopher Paul Mara | Registered representative | Jul 2022 (4y) | ||
| James Peter Yuka | Registered representative | Jul 2022 (4y) | ||
| Jason Charles Silvia | Registered representative | Jul 2022 (4y) | ||
| Kevin David Reitz | Registered representative | Jul 2022 (4y) | ||
| Mitchell Scott Bowles | Registered representative | Jul 2022 (4y) | ||
| Minh Ngoc Dinh | Registered representative | CFP | Jul 2022 (4y) | |
| Spencer Merrill Jones | Registered representative | Jul 2022 (4y) | ||
| Timothy Jay Woods | Registered representative | Jul 2022 (4y) | ||
| James Edward Hatton | Registered representative | Jul 2022 (4y) | ||
| Ryan Samuel Naser | Registered representative | Jul 2022 (4y) | ||
| Anthony Lane Humphres | Registered representative | Jul 2022 (4y) | ||
| Ivan Latimer Hendricks | Registered representative | Jul 2022 (4y) | ||
| Jon David Mcknight | Registered representative | Jul 2022 (4y) | ||
| Denise Michele Plankenhorn | Registered representative | Jul 2022 (4y) | ||
| Donovan Louis Stuard | Registered representative | Jul 2022 (4y) | ||
| Howard Alan Schachter | Registered representative | Jul 2022 (4y) | ||
| Joshua Philip Stebbins | Registered representative | Jul 2022 (4y) | ||
| Robert Scott Ginsberg | Registered representative | Jul 2022 (4y) | ||
| David Grant Rubin | Registered representative | CFP | Jul 2022 (4y) | |
| Stuart E. Leyton | Registered representative | Jul 2022 (4y) | ||
| Derrick Michael Meier | Registered representative | Jul 2022 (4y) | ||
| Mitchell Reuben Collett | Registered representative | Jul 2022 (4y) | ||
| Richard Henry Fabiani | Registered representative | Jul 2022 (4y) | ||
| Taylor Johenry Mast | Registered representative | Jul 2022 (4y) | ||
| Andrew Glenn Adams | Registered representative | Jul 2022 (4y) | ||
| Chelsea Zoumides | Registered representative | Jul 2022 (4y) | ||
| Salvador Chavez | Registered representative | Jul 2022 (4y) | ||
| Benjamin Mc Evoy | Registered representative | Jul 2022 (4y) | ||
| Derrick Fitzgerald Stevenson | Registered representative | Jul 2022 (4y) | ||
| Paul G Lavelle | Registered representative | Jul 2022 (4y) | ||
| Ronald Baldari | Registered representative | Jul 2022 (4y) | ||
| Seaver Mark Riccordella | Registered representative | Jul 2022 (4y) | ||
| Alexander Paul Jaramishian | Registered representative | CFP | Jul 2022 (4y) | |
| Bleau J Hoge | Registered representative | Jul 2022 (4y) | ||
| Jijo C Valiyaparambil | Registered representative | Jul 2022 (4y) | ||
| Tyler Jordan Littlefield | Registered representative | CFP | Jul 2022 (4y) | |
| Amber Nichole Knopf | Registered representative | Jul 2022 (4y) | ||
| Shannon M Romach | Registered representative | Jul 2022 (4y) | ||
| Virgilio Rodriguez | Registered representative | Jul 2022 (4y) | ||
| Whitney Blaine Braddock | Registered representative | Jul 2022 (4y) | ||
| Dale Allen Nelsen | Registered representative | Jul 2022 (4y) | ||
| Jessica L Robinson | Registered representative | Jul 2022 (4y) | ||
| Raymond Borja | Registered representative | Jul 2022 (4y) | ||
| Adam Clarence Uptmor | Registered representative | Jul 2022 (4y) | ||
| Jonathan Stephen Jones | Registered representative | Jul 2022 (4y) | ||
| Kevin Fielding Oakes | Registered representative | Jul 2022 (4y) | ||
| Lane Adam Lyday | Registered representative | Jul 2022 (4y) | ||
| Nicholas John Ingram | Registered representative | Jul 2022 (4y) | ||
| Venessa Tania Van Schalkwyk | Registered representative | Jul 2022 (4y) | ||
| Joshua Logan Quimby | Registered representative | Jul 2022 (4y) | ||
| Jeffery Allan Hadt | Registered representative | Jul 2022 (4y) | ||
| Russell Douglas Bissett | Registered representative | Jul 2022 (4y) | ||
| Thomas Frank Givens | Registered representative | Jul 2022 (4y) | ||
| Andrew Thomas Jacobson | Registered representative | Jul 2022 (4y) | ||
| Joseph Solomon | Registered representative | CFP | Jul 2022 (4y) | |
| Misael Delval | Registered representative | Jul 2022 (4y) | ||
| Jacqueline Marie Onan | Registered representative | Jul 2022 (4y) | ||
| Delana Lynn Miller | Registered representative | Jul 2022 (4y) | ||
| Sean Michael Kennedy | Registered representative | Jul 2022 (4y) | ||
| Bruce Charles Mogen | Registered representative | Aug 2022 (4y) | ||
| Brad T James | Registered representative | Aug 2022 (4y) | ||
| Morgan Hankins | Registered representative | Aug 2022 (4y) | ||
| Scott James Kuester | Registered representative | Aug 2022 (4y) | ||
| Troy Lorenz Ott | Registered representative | Aug 2022 (4y) | ||
| Calin Hugh Gribbin | Registered representative | Aug 2022 (4y) | ||
| Jimmy Roman Castrillon | Registered representative | Aug 2022 (4y) | ||
| Mary Lavana Bui | Registered representative | Aug 2022 (4y) | ||
| Brian M Rasmussen | Registered representative | Aug 2022 (4y) | ||
| Dennis Eugene Priest | Registered representative | Aug 2022 (4y) | ||
| James Theocharis Dimos | Registered representative | CFP | Aug 2022 (4y) | |
| John Bodnar | Registered representative | CFP | Aug 2022 (4y) | |
| Kathleen Marie Cook | Registered representative | Aug 2022 (4y) | ||
| Kevin Allen Jackson | Registered representative | Aug 2022 (4y) | ||
| Eric M Hunt | Registered representative | Aug 2022 (4y) | ||
| Gilbert Lloyd Harris | Registered representative | Aug 2022 (4y) | ||
| James Joseph Mccrorey | Registered representative | Aug 2022 (4y) | ||
| Jacob Huffaker | Registered representative | Aug 2022 (4y) | ||
| Jimmy Rodriguez | Registered representative | Aug 2022 (4y) | ||
| Justin John Esposito | Registered representative | Aug 2022 (4y) | ||
| Samuel Shane Gardner | Registered representative | Aug 2022 (4y) | ||
| Todd Andrew Rosen | Registered representative | Aug 2022 (4y) | ||
| Joshua Lane Terrell | Registered representative | Aug 2022 (4y) | ||
| Nancy Anne Davis Harris | Registered representative | Aug 2022 (4y) | ||
| Thomas F Furey | Registered representative | Aug 2022 (4y) | ||
| Alan E Boyer | Registered representative | Aug 2022 (4y) | ||
| Bryson Rees Horman | Registered representative | Aug 2022 (4y) | ||
| Braydon Mc Arthur | Registered representative | Aug 2022 (4y) | ||
| David Daniel Kline | Registered representative | CFP | Aug 2022 (4y) | |
| Jacqueline Duke Taylor | Registered representative | Aug 2022 (4y) | ||
| Jason M Cullen | Registered representative | Aug 2022 (4y) | ||
| Barbara Joan Gill | Registered representative | Chartered Financial Consultant | Aug 2022 (4y) | |
| Craig Lynn Miller | Registered representative | Aug 2022 (4y) | ||
| Matthew James Cole | Registered representative | Aug 2022 (4y) | ||
| Cotton Lee Sears | Registered representative | Aug 2022 (4y) | ||
| Hannah Beth Raynes | Registered representative | Aug 2022 (4y) | ||
| Chad Michael Beck | Registered representative | Aug 2022 (4y) | ||
| David Oliver Wright | Registered representative | Aug 2022 (4y) | ||
| Frederick Leroy Wright | Registered representative | Aug 2022 (4y) | ||
| Joseph Neil Rubinstein | Registered representative | Aug 2022 (4y) | ||
| Joshua Alfred Fowler | Registered representative | CFP | Aug 2022 (4y) | |
| Meredith Erin Wright | Registered representative | Aug 2022 (4y) | ||
| Justin T Getts | Registered representative | Aug 2022 (4y) | ||
| Seth Wheatley Ollice | Registered representative | Aug 2022 (4y) | ||
| Alec Fourie | Registered representative | Aug 2022 (4y) | ||
| Brian James O'konski | Registered representative | Aug 2022 (4y) | ||
| Daniel F Toronto | Registered representative | Aug 2022 (4y) | ||
| Elizabeth Ashley Wise | Registered representative | Aug 2022 (4y) | ||
| Garrett Koopmann | Registered representative | Aug 2022 (4y) | ||
| John William Hunt | Registered representative | Aug 2022 (4y) | ||
| Thomas J Elkins | Registered representative | Aug 2022 (4y) | ||
| Arden Alvin Baptiste | Registered representative | Aug 2022 (4y) | ||
| Beat Ryff | Registered representative | Aug 2022 (4y) | ||
| Christopher Louis Dursi | Registered representative | Aug 2022 (4y) | ||
| Erin Murphy Candler | Registered representative | Aug 2022 (4y) | ||
| Fabrizio Antoniocarlo Fabrizio | Registered representative | Aug 2022 (4y) | ||
| Gabriella Renee Mc Clain | Registered representative | Aug 2022 (4y) | ||
| Garett Christian Ceraso | Registered representative | Aug 2022 (4y) | ||
| Iryna Petrivna Antonyuk | Registered representative | Aug 2022 (4y) | ||
| Jane Ellen Porter Stefanowicz | Registered representative | Aug 2022 (4y) | ||
| Jerrett T. Weltens | Registered representative | Aug 2022 (4y) | ||
| John M Grayeski | Registered representative | Aug 2022 (4y) | ||
| Jonathan Barbour Andrews | Registered representative | Aug 2022 (4y) | ||
| Jordan William Sullivan | Registered representative | Aug 2022 (4y) | ||
| Janet Lisa Connolly | Registered representative | Aug 2022 (4y) | ||
| Jessica Burgmeier | Registered representative | Aug 2022 (4y) | ||
| Joseph Michael Faller | Registered representative | Aug 2022 (4y) | ||
| Juniper Broz | Registered representative | Aug 2022 (4y) | ||
| Kieran Makai Dexter | Registered representative | Aug 2022 (4y) | ||
| Lam Hung Wong Carbone | Registered representative | Aug 2022 (4y) | ||
| Lindsey Janelle Freese | Registered representative | Aug 2022 (4y) | ||
| Mario Dominic Bartoli | Registered representative | CFP | Aug 2022 (4y) | |
| Mary Mcnamara Couture | Registered representative | Aug 2022 (4y) | ||
| Richard Dimitrakis | Registered representative | CFP | Aug 2022 (4y) | |
| Robert Frank Notarfrancesco | Registered representative | Aug 2022 (4y) | ||
| Robert James Baptist | Registered representative | Aug 2022 (4y) | ||
| Robert Levar Duffus | Registered representative | Aug 2022 (4y) | ||
| Robert Todd Daly | Registered representative | Aug 2022 (4y) | ||
| Sabrina Anna Angiolillo | Registered representative | Aug 2022 (4y) | ||
| Sandra Lynn Assunto | Registered representative | Aug 2022 (4y) | ||
| Sean Steven Boccuzzi | Registered representative | Aug 2022 (4y) | ||
| Stefano Paul Cacciola | Registered representative | Aug 2022 (4y) | ||
| Stephen Nicholas Sayegh | Registered representative | CFP | Aug 2022 (4y) | |
| Thomas O Malley | Registered representative | Aug 2022 (4y) | ||
| Tyler Alexander Porter | Registered representative | Aug 2022 (4y) | ||
| Utpal Parekh | Registered representative | CFP Chartered Financial Consultant | Aug 2022 (4y) | |
| Hanna Spenser Kettelhut | Registered representative | Aug 2022 (4y) | ||
| Andrew Seth Kester | Registered representative | Aug 2022 (4y) | ||
| Joseph Edwin Stevens | Registered representative | Aug 2022 (4y) | ||
| Rene Milan Williams | Registered representative | Aug 2022 (4y) | ||
| Ryan Joseph Becker | Registered representative | Aug 2022 (4y) | ||
| Selina Simpson | Registered representative | Aug 2022 (4y) | ||
| Geoffrey M Demarco | Registered representative | Aug 2022 (4y) | ||
| Tammy Rachelle Claramunt Kibbe | Registered representative | Aug 2022 (4y) | ||
| Elizabeth Nelson | Registered representative | Aug 2022 (4y) | ||
| Emily Rose Smith | Registered representative | Aug 2022 (4y) | ||
| Sean R Tesoro | Registered representative | Aug 2022 (4y) | ||
| Zhu Zhang Howard | Registered representative | Aug 2022 (4y) | ||
| Brian S Burkett | Registered representative | Aug 2022 (4y) | ||
| Gregory Pierre Gagnon | Registered representative | Aug 2022 (4y) | ||
| Austin Taylor Costello | Registered representative | CFP | Aug 2022 (4y) | |
| Ian Michael Hass | Registered representative | Aug 2022 (4y) | ||
| Kaitlyn Sasseville | Registered representative | Aug 2022 (4y) | ||
| Kylie Slocum | Registered representative | Aug 2022 (4y) | ||
| Levi Glenn Cass | Registered representative | Aug 2022 (4y) | ||
| Cali Roane | Registered representative | Aug 2022 (4y) | ||
| Devin Nathaniel Moran | Registered representative | Aug 2022 (4y) | ||
| Joe Anthony Garcia | Registered representative | Aug 2022 (4y) | ||
| Judy Ann Rubino | Registered representative | CFP | Aug 2022 (4y) | |
| Kari Jo Skedsvold | Registered representative | Aug 2022 (4y) | ||
| Mercedes Victoria Napoli | Registered representative | CFP | Aug 2022 (4y) | |
| William J Colon | Registered representative | Aug 2022 (4y) | ||
| Gary Joel Mendelow | Registered representative | Aug 2022 (4y) | ||
| Anita Maria Adams | Registered representative | Aug 2022 (4y) | ||
| Brian James Maciejewski | Registered representative | Aug 2022 (4y) | ||
| Brett Michael Kasak | Registered representative | Aug 2022 (4y) | ||
| Celenea Lynn Brewer | Registered representative | Aug 2022 (4y) | ||
| Dominic Reynolds Poshedley | Registered representative | Aug 2022 (4y) | ||
| Mason Chambers Ibert | Registered representative | Aug 2022 (4y) | ||
| Nathan Alan Smith | Registered representative | Aug 2022 (4y) | ||
| Chad Arnold Hruska | Registered representative | Aug 2022 (4y) | ||
| Douglas Seth Lund | Registered representative | Aug 2022 (4y) | ||
| Jesse Allen Uhlorn | Registered representative | Aug 2022 (4y) | ||
| Jon P Glink | Registered representative | Aug 2022 (4y) | ||
| Joshua J Gottron | Registered representative | Aug 2022 (4y) | ||
| Joshua Stephen Wyper | Registered representative | Aug 2022 (4y) | ||
| Miguel Angel Fernandez | Registered representative | Aug 2022 (4y) | ||
| Andy S Rampersaud | Registered representative | Sep 2022 (4y) | ||
| Brandy Nicole Ebron | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| David Earl Spencer | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| George Alessandria | Registered representative | Sep 2022 (4y) | ||
| Jennifer Linh Jenkins | Registered representative | Sep 2022 (4y) | ||
| John Wesley Roberts | Registered representative | Sep 2022 (4y) | ||
| Justin J Hurd | Registered representative | CFP | Sep 2022 (4y) | |
| Katrina Ridgeway | Registered representative | Sep 2022 (4y) | ||
| Rene P Soliz | Registered representative | Sep 2022 (4y) | ||
| Sylvia M Jorgensen | Registered representative | Sep 2022 (4y) | ||
| Eugene J Weber | Registered representative | Sep 2022 (4y) | ||
| Kelley Shull Tredwin | Registered representative | Sep 2022 (4y) | ||
| Michael Jerome Greer | Registered representative | Sep 2022 (4y) | ||
| Pejhmon Kalantar | Registered representative | Sep 2022 (4y) | ||
| Thomas M Pancoast | Registered representative | Sep 2022 (4y) | ||
| Jenna Redeker | Registered representative | CFP | Sep 2022 (4y) | |
| Nathaniel Schuyler Pecherek | Registered representative | Sep 2022 (4y) | ||
| Stephen Joseph Stanger | Registered representative | Sep 2022 (4y) | ||
| John Paul Jordan | Registered representative | Sep 2022 (4y) | ||
| Luke John Rudolph | Registered representative | Sep 2022 (4y) | ||
| Maureen Rose Kelly | Registered representative | Sep 2022 (4y) | ||
| Suzanne Lawson Small | Registered representative | Sep 2022 (4y) | ||
| Terry John Belken | Registered representative | CFP | Sep 2022 (4y) | |
| Thomas Francis Kelly | Registered representative | Sep 2022 (4y) | ||
| Candace Sue Chapman | Registered representative | Sep 2022 (4y) | ||
| Joshua Ritz | Registered representative | Sep 2022 (4y) | ||
| Brandon Leigh Beukema | Registered representative | Sep 2022 (4y) | ||
| Ashley Worley | Registered representative | Sep 2022 (4y) | ||
| Kristen Lee Mackenzie | Registered representative | Sep 2022 (4y) | ||
| Mitchell Eugene Luth Pickard | Registered representative | Sep 2022 (4y) | ||
| Sujata Chakraborty | Registered representative | Sep 2022 (4y) | ||
| Maria Emiliani | Registered representative | Sep 2022 (4y) | ||
| Chipper Burch Watson | Registered representative | Sep 2022 (4y) | ||
| Johnathan T Stackhouse | Registered representative | Sep 2022 (4y) | ||
| Jonna Leigh Damiano | Registered representative | Sep 2022 (4y) | ||
| Kevin Hardt Foster | Registered representative | CFP | Sep 2022 (4y) | |
| Karen D Jacome | Registered representative | Sep 2022 (4y) | ||
| Lori Brink | Registered representative | Sep 2022 (4y) | ||
| Mark Craig Simpson | Registered representative | Sep 2022 (4y) | ||
| John Patrick O'connor | Registered representative | CFP | Sep 2022 (4y) | |
| Joshua Michael Mcsherry Ramos | Registered representative | Sep 2022 (4y) | ||
| Jacob Avenius | Registered representative | Sep 2022 (4y) | ||
| Benjamin Bathke | Registered representative | Sep 2022 (4y) | ||
| Nicholas Kibble | Registered representative | Sep 2022 (4y) | ||
| Jose K Chaparro Rosero | Registered representative | Sep 2022 (4y) | ||
| Nicholas Alan Niver | Registered representative | Sep 2022 (4y) | ||
| Rafael Andres Menier | Registered representative | Sep 2022 (4y) | ||
| Cheyanne M Schmitt | Registered representative | Sep 2022 (4y) | ||
| Daniel Edward Klosterman | Registered representative | Sep 2022 (4y) | ||
| Jonathan James Poure | Registered representative | CFP | Sep 2022 (4y) | |
| Kale Adren Gideon | Registered representative | Sep 2022 (4y) | ||
| William Lynn Hartfield | Registered representative | Sep 2022 (4y) | ||
| Andrew Malcolm Rose | Registered representative | Sep 2022 (4y) | ||
| Christine B Tang | Registered representative | CFP | Sep 2022 (4y) | |
| Christy Harchfield Heckler | Registered representative | Sep 2022 (4y) | ||
| Charles Rayne Christy | Registered representative | Sep 2022 (4y) | ||
| Eric Christopher Blankenfeld | Registered representative | Sep 2022 (4y) | ||
| Eric Paul Wasserman | Registered representative | Sep 2022 (4y) | ||
| Jeffrey Czajka | Registered representative | Sep 2022 (4y) | ||
| Marianela A Silva | Registered representative | CFP | Sep 2022 (4y) | |
| Mavel Becerra | Registered representative | Sep 2022 (4y) | ||
| William Clain Jaques | Registered representative | Sep 2022 (4y) | ||
| Benjamin E Everette Link | Registered representative | Sep 2022 (4y) | ||
| Brian Matthew Parker | Registered representative | Sep 2022 (4y) | ||
| Claire Feldhusen Pywell | Registered representative | Sep 2022 (4y) | ||
| Colin Michael Fernie | Registered representative | Sep 2022 (4y) | ||
| Christopher John Maynard | Registered representative | Sep 2022 (4y) | ||
| Ellen Barbara Crabtree | Registered representative | Sep 2022 (4y) | ||
| Matthew Scott Hilton | Registered representative | Sep 2022 (4y) | ||
| Nicole Kay Austin | Registered representative | Sep 2022 (4y) | ||
| Stephen Douglas Sexton | Registered representative | CFP | Sep 2022 (4y) | |
| Shirley V Sohmer | Registered representative | Sep 2022 (4y) | ||
| Joshua W Dowden | Registered representative | Sep 2022 (4y) | ||
| William Merchad | Registered representative | CFP | Sep 2022 (4y) | |
| Brackton D Smith | Registered representative | CFP | Sep 2022 (4y) | |
| Christopher Wendell Rothe | Registered representative | Sep 2022 (4y) | ||
| Duane Phillip Easter | Registered representative | Sep 2022 (4y) | ||
| Kirby C. Morrison | Registered representative | Sep 2022 (4y) | ||
| Melissa L Pujia | Registered representative | Sep 2022 (4y) | ||
| Matthew Stewart | Registered representative | Sep 2022 (4y) | ||
| John Mack Weaver | Registered representative | Sep 2022 (4y) | ||
| Jonathan Robert Vogel | Registered representative | Sep 2022 (4y) | ||
| Patricia Dailey | Registered representative | Sep 2022 (4y) | ||
| Tyler Joseph Lyons | Registered representative | Sep 2022 (4y) | ||
| Luis Arturo Carrera | Registered representative | Sep 2022 (4y) | ||
| Leanne Kim Skelly | Registered representative | Sep 2022 (4y) | ||
| Mary Katherine Coleman | Registered representative | CFP | Sep 2022 (4y) | |
| Melinda Simms Orozco | Registered representative | Sep 2022 (4y) | ||
| Roger Jyhjung Chang | Registered representative | Sep 2022 (4y) | ||
| William Bruce Robinson | Registered representative | CFP | Sep 2022 (4y) | |
| Alexander L Guiliano | Registered representative | Sep 2022 (4y) | ||
| Derek Joseph Johnson | Registered representative | CFP | Sep 2022 (4y) | |
| Matthew Paul Wilcox | Registered representative | Sep 2022 (4y) | ||
| Natasha Mcpherson | Registered representative | Sep 2022 (4y) | ||
| John Ben Neuenswander | Registered representative | Sep 2022 (4y) | ||
| Nathan Harsh | Registered representative | CFP | Sep 2022 (4y) | |
| Sebastian Raul Ruelas | Registered representative | Sep 2022 (4y) | ||
| Stephen S. Pitts | Registered representative | Sep 2022 (4y) | ||
| Steven Andrew Fuerbacher | Registered representative | Sep 2022 (4y) | ||
| Aldo Delgado | Registered representative | Oct 2022 (4y) | ||
| Blaise James Milanek | Registered representative | Oct 2022 (4y) | ||
| Brent James Beverly | Registered representative | CFP | Oct 2022 (4y) | |
| Calvin E Romero | Registered representative | Oct 2022 (4y) | ||
| Christian Francis Li | Registered representative | CFP | Oct 2022 (4y) | |
| Christopher M Albright | Registered representative | Oct 2022 (4y) | ||
| Gregory Paul Schill | Registered representative | CFP | Oct 2022 (4y) | |
| Hunter Cooper Allmon | Registered representative | Oct 2022 (4y) | ||
| Jeffrey Kent Schriner | Registered representative | CFP | Oct 2022 (4y) | |
| Manuel F Chinchay | Registered representative | CFP | Oct 2022 (4y) | |
| Meredith Jane Ferguson | Registered representative | Oct 2022 (4y) | ||
| Michael Clinton Evans | Registered representative | CFP | Oct 2022 (4y) | |
| Michael S Balster | Registered representative | Oct 2022 (4y) | ||
| Tod Michael Masin | Registered representative | Oct 2022 (4y) | ||
| William Dean Misko | Registered representative | Oct 2022 (4y) | ||
| William James Clements | Registered representative | Oct 2022 (4y) | ||
| Allyson Lynn Flournoy Wooten | Registered representative | Oct 2022 (4y) | ||
| Anthony Soeira | Registered representative | Oct 2022 (4y) | ||
| Brian D Bohnsack | Registered representative | Oct 2022 (4y) | ||
| Benjamin Wayne Deist | Registered representative | Oct 2022 (4y) | ||
| Christian Shawn Tice | Registered representative | CFP | Oct 2022 (4y) | |
| Christopher Kellett | Registered representative | Oct 2022 (4y) | ||
| Donald George Snyder | Registered representative | Oct 2022 (4y) | ||
| Fina Laura Sneed | Registered representative | CFP | Oct 2022 (4y) | |
| Gabriel Gonzalez | Registered representative | Oct 2022 (4y) | ||
| Maria Krista Piechocki | Registered representative | Oct 2022 (4y) | ||
| Ryan Leday | Registered representative | Oct 2022 (4y) | ||
| Taylor Davis Roberts | Registered representative | Oct 2022 (4y) | ||
| Vivian G Monahan | Registered representative | Oct 2022 (4y) | ||
| Christopher Duane Story | Registered representative | Oct 2022 (4y) | ||
| Jay Martin Desimone | Registered representative | Oct 2022 (4y) | ||
| Joseph Martin Montgomery | Registered representative | Oct 2022 (4y) | ||
| Kara Lynn Jett | Registered representative | Oct 2022 (4y) | ||
| Noah Roberts Morris | Registered representative | Oct 2022 (4y) | ||
| Samuel Walter Jones | Registered representative | Oct 2022 (4y) | ||
| Austin Raymond Horvath | Registered representative | Oct 2022 (4y) | ||
| Chip Carter Marcus | Registered representative | Oct 2022 (4y) | ||
| Daniel Vincent Giaimo | Registered representative | CFP | Oct 2022 (4y) | |
| Hannah Hays | Registered representative | Oct 2022 (4y) | ||
| Hyun Ryu | Registered representative | Oct 2022 (4y) | ||
| Joshua Ryan Atkins | Registered representative | Oct 2022 (4y) | ||
| Justin Moura | Registered representative | Oct 2022 (4y) | ||
| Samuel Joseph Fragale | Registered representative | Oct 2022 (4y) | ||
| Tyler Robert Kreger | Registered representative | Oct 2022 (4y) | ||
| Frederick Early Woltz | Registered representative | Oct 2022 (4y) | ||
| Lorie Anne Crowell | Registered representative | Oct 2022 (4y) | ||
| Heather Torseth | Registered representative | Oct 2022 (4y) | ||
| John Monty Selk | Registered representative | Oct 2022 (4y) | ||
| Thomas Michael Borrelli | Registered representative | Oct 2022 (4y) | ||
| Barry Shields Hatcher | Registered representative | Oct 2022 (4y) | ||
| Jennifer Sue Ramsey | Registered representative | Oct 2022 (4y) | ||
| Jonathan David Swerdloff | Registered representative | Oct 2022 (4y) | ||
| Justin Reinhold Carlson | Registered representative | Oct 2022 (4y) | ||
| Martin Ho Wah Lau | Registered representative | Oct 2022 (4y) | ||
| Prabhjot Singh Malhotra | Registered representative | Oct 2022 (4y) | ||
| Thomas Francis Koss | Registered representative | CFP | Oct 2022 (4y) | |
| Michael Donovan Morrison | Registered representative | Oct 2022 (4y) | ||
| Clark Anthony Johnson | Registered representative | Oct 2022 (4y) | ||
| David Moberg Nash | Registered representative | Oct 2022 (4y) | ||
| Steven Joseph Rockwell | Registered representative | Chartered Financial Consultant | Oct 2022 (4y) | |
| Jeffrey Richard Lockway | Registered representative | CFP | Oct 2022 (4y) | |
| Katelyn Nicolette Frizzie | Registered representative | Oct 2022 (4y) | ||
| Matthew Thomas Secrest | Registered representative | Oct 2022 (4y) | ||
| Clinton Lee Duprel | Registered representative | Oct 2022 (4y) | ||
| Megan Beasley Gioldasis | Registered representative | Oct 2022 (4y) | ||
| Richard Avedis Hachigian | Registered representative | Oct 2022 (4y) | ||
| Scott Regan Mohler | Registered representative | Oct 2022 (4y) | ||
| Jeroen Andre Heijnen | Registered representative | Oct 2022 (4y) | ||
| Steven Angelo Vessa | Registered representative | Oct 2022 (4y) | ||
| Timothy Monroe Williams | Registered representative | Oct 2022 (4y) | ||
| Tyler Alexander Small | Registered representative | Oct 2022 (4y) | ||
| Craig Shawn Jarvinen | Registered representative | Oct 2022 (4y) | ||
| Donna Jean Potter | Registered representative | Oct 2022 (4y) | ||
| William Elias George | Registered representative | Oct 2022 (4y) | ||
| Tyler David Ervin | Registered representative | Oct 2022 (4y) | ||
| Aaron Ashby Henry | Registered representative | Oct 2022 (4y) | ||
| David Andrew Kamlet | Registered representative | Oct 2022 (4y) | ||
| David Edward Altschuler | Registered representative | CFP Chartered Financial Consultant | Oct 2022 (4y) | |
| Michael John Kosolcharoen | Registered representative | Oct 2022 (4y) | ||
| Nicholas James Larsen | Registered representative | Oct 2022 (4y) | ||
| Robert David Camp | Registered representative | Oct 2022 (4y) | ||
| Susan Louie Leong | Registered representative | Oct 2022 (4y) | ||
| Thomas Scott Widener | Registered representative | Oct 2022 (4y) | ||
| Austin Park | Registered representative | Oct 2022 (4y) | ||
| Clinton Cameron Coldren | Registered representative | CFP | Oct 2022 (4y) | |
| Donovan Graham Miller | Registered representative | Oct 2022 (4y) | ||
| Jay Sellami | Registered representative | Oct 2022 (4y) | ||
| Skyler Von Martin | Registered representative | Oct 2022 (4y) | ||
| Brandon Dewayne Collins | Registered representative | Oct 2022 (4y) | ||
| Bret Michael Verstegen | Registered representative | CFP | Oct 2022 (4y) | |
| Conor M Hogan | Registered representative | Oct 2022 (4y) | ||
| Curtis Ray Willardson | Registered representative | CFP | Oct 2022 (4y) | |
| Elaine Mueller Shanley | Registered representative | CFP | Oct 2022 (4y) | |
| Justin Andrew Newbauer | Registered representative | Oct 2022 (4y) | ||
| Robert David Camp | Registered representative | Oct 2022 (4y) | ||
| Scott Allen Staschke | Registered representative | CFP | Oct 2022 (4y) | |
| Tyler Austin Zavala | Registered representative | CFP | Oct 2022 (4y) | |
| Wayne Allan Staschke | Registered representative | CFP | Oct 2022 (4y) | |
| Anthony M Ursetti | Registered representative | Oct 2022 (4y) | ||
| Brittany Nicole Wright | Registered representative | Oct 2022 (4y) | ||
| David Joseph Maniet | Registered representative | Oct 2022 (4y) | ||
| Dante Estefan Berry | Registered representative | Oct 2022 (4y) | ||
| Louis Sal Alfano | Registered representative | Oct 2022 (4y) | ||
| Michael Gary Argenbright | Registered representative | Oct 2022 (4y) | ||
| Paul Raymond Moran | Registered representative | Oct 2022 (4y) | ||
| William Carter France | Registered representative | CFA | Oct 2022 (4y) | |
| Bradley David Roberts | Registered representative | Oct 2022 (4y) | ||
| Erik Michael Wiese | Registered representative | Oct 2022 (4y) | ||
| Michael Richard Costello | Registered representative | Oct 2022 (4y) | ||
| Steven Aaron Frye | Registered representative | Oct 2022 (4y) | ||
| Andrew Stanford Rogers | Registered representative | Oct 2022 (4y) | ||
| Benjamin Charles Chamberlain | Registered representative | Oct 2022 (4y) | ||
| David J. Dobrusin | Registered representative | CFP | Oct 2022 (4y) | |
| Emily Suzanne Jameson | Registered representative | CFP | Oct 2022 (4y) | |
| Eric Samuel Ball | Registered representative | CFP Chartered Financial Consultant | Oct 2022 (4y) | |
| Laurence Vincent Plummer, Jr | Registered representative | Oct 2022 (4y) | ||
| Robert Bruce Young | Registered representative | Oct 2022 (4y) | ||
| Ronald Lee Eckloff | Registered representative | CFP | Oct 2022 (4y) | |
| Stephen Joseph Golembiowski | Registered representative | CFP Chartered Financial Consultant | Oct 2022 (4y) | |
| Carrie Ann Baker | Registered representative | Nov 2022 (4y) | ||
| Giovanni Ramirez Congiusto | Registered representative | Nov 2022 (4y) | ||
| Jared Wegley | Registered representative | Nov 2022 (4y) | ||
| Justin Wegley | Registered representative | Nov 2022 (4y) | ||
| Kyu Beom Kim | Registered representative | Nov 2022 (4y) | ||
| Keith Hower | Registered representative | Nov 2022 (4y) | ||
| Scott Michael Myers | Registered representative | Nov 2022 (4y) | ||
| Cassandra Mettlen | Registered representative | Nov 2022 (4y) | ||
| Edwin Stephen Fernandez | Registered representative | Personal Financial Specialist | Nov 2022 (4y) | |
| James Mathews Bentley | Registered representative | Nov 2022 (4y) | ||
| Jamie Wood | Registered representative | Nov 2022 (4y) | ||
| Jason Robert Artof | Registered representative | CFP | Nov 2022 (4y) | |
| Joel Thomas Chitiea | Registered representative | Nov 2022 (4y) | ||
| James Patrick Mc Namara | Registered representative | Nov 2022 (4y) | ||
| Mario Joaquin Torres | Registered representative | Nov 2022 (4y) | ||
| Mary Katherine Puzak | Registered representative | Nov 2022 (4y) | ||
| Rosalyn Pasco Weihe | Registered representative | Nov 2022 (4y) | ||
| Robert Lee Danstrom | Registered representative | CFP | Nov 2022 (4y) | |
| Andrew Joseph Fiega | Registered representative | Chartered Financial Consultant | Nov 2022 (4y) | |
| Antavius Torrell Greathouse | Registered representative | Nov 2022 (4y) | ||
| Blake A Smith | Registered representative | Nov 2022 (4y) | ||
| Cris S Giron | Registered representative | Nov 2022 (4y) | ||
| Gabe Hamideh | Registered representative | Nov 2022 (4y) | ||
| Gregory T Ruppel | Registered representative | Nov 2022 (4y) | ||
| Michelle D Anderson | Registered representative | Nov 2022 (4y) | ||
| Amy Elizabeth Lenoble | Registered representative | Nov 2022 (4y) | ||
| Brandon Marshall Baltzell | Registered representative | Nov 2022 (4y) | ||
| Benjamin Ballow Briney | Registered representative | Nov 2022 (4y) | ||
| Bryant Bitner Hall | Registered representative | Nov 2022 (4y) | ||
| Derek Raoul Brown | Registered representative | Nov 2022 (4y) | ||
| Emma Christine Nelson | Registered representative | Nov 2022 (4y) | ||
| Joshua Anthony Schrock | Registered representative | Nov 2022 (4y) | ||
| Jenifer L Busing | Registered representative | Nov 2022 (4y) | ||
| Robin C Hovis | Registered representative | Nov 2022 (4y) | ||
| Taylor C Parkin | Registered representative | Nov 2022 (4y) | ||
| Jane Elizabeth Terry Khalaf | Registered representative | CFP | Nov 2022 (4y) | |
| Mara Lynn Shaughnessy | Registered representative | Nov 2022 (4y) | ||
| Marc Anton Barretta | Registered representative | Nov 2022 (4y) | ||
| Vincent Howard Jensen | Registered representative | Nov 2022 (4y) | ||
| Christopher M Arends | Registered representative | CFA | Nov 2022 (4y) | |
| Gil Gabbay | Registered representative | Nov 2022 (4y) | ||
| Jeffrey Scott Mccorkendale | Registered representative | Nov 2022 (4y) | ||
| Jodi Selena Stevens | Registered representative | Nov 2022 (4y) | ||
| Jasmine Sandusky | Registered representative | Nov 2022 (4y) | ||
| Steven Paul Gonzalez | Registered representative | Nov 2022 (4y) | ||
| Alexander F Mcgrath | Registered representative | Nov 2022 (4y) | ||
| Charles Edward Zwiefelhofer | Registered representative | Nov 2022 (4y) | ||
| Christopher G Little | Registered representative | Nov 2022 (4y) | ||
| Deana A Cook | Registered representative | Nov 2022 (4y) | ||
| Ronald Paul Cornelison | Registered representative | Nov 2022 (4y) | ||
| Timothy John Truebenbach | Registered representative | CFP | Nov 2022 (4y) | |
| William T Jacobs | Registered representative | CFP | Nov 2022 (4y) | |
| Brian Matthew Cantrell | Registered representative | Nov 2022 (4y) | ||
| Jeffrey David Lynn | Registered representative | Nov 2022 (4y) | ||
| Matthew L Kuhns | Registered representative | Nov 2022 (4y) | ||
| Rishi Dev Anand | Registered representative | Nov 2022 (4y) | ||
| Charles Woodhull | Registered representative | Nov 2022 (4y) | ||
| Dennis Michael Gilliam | Registered representative | Nov 2022 (4y) | ||
| Eric Ryan Null | Registered representative | Nov 2022 (4y) | ||
| James A Rishel | Registered representative | Nov 2022 (4y) | ||
| Jacob Michael Hudson | Registered representative | Nov 2022 (4y) | ||
| John Gleason | Registered representative | Nov 2022 (4y) | ||
| Jonathan Meyer | Registered representative | Nov 2022 (4y) | ||
| Kevin Gerard White | Registered representative | Nov 2022 (4y) | ||
| Larry David Zuckerman | Registered representative | Nov 2022 (4y) | ||
| Marilyn Gay Zarkos | Registered representative | Nov 2022 (4y) | ||
| Noah S Davis | Registered representative | Nov 2022 (4y) | ||
| Christian Huggins | Registered representative | Nov 2022 (4y) | ||
| John Mark Darden Baird | Registered representative | Nov 2022 (4y) | ||
| Joseph Robert Collen | Registered representative | Nov 2022 (4y) | ||
| Robert Owen Johnson | Registered representative | Nov 2022 (4y) | ||
| Shelby Bo Smith | Registered representative | Nov 2022 (4y) | ||
| Eric Duane Lewis | Registered representative | Nov 2022 (4y) | ||
| Jeffrey Eric Doeden | Registered representative | Nov 2022 (4y) | ||
| Justin Travis Hardy | Registered representative | Nov 2022 (4y) | ||
| Robert Martin Herrmann | Registered representative | Chartered Financial Consultant | Nov 2022 (4y) | |
| Jason Neale Magar | Registered representative | CFP | Nov 2022 (4y) | |
| Michael Carl Lindemann | Registered representative | Nov 2022 (4y) | ||
| Aazar A Bhatti | Registered representative | Nov 2022 (4y) | ||
| Alina Rivera Wold | Registered representative | Nov 2022 (4y) | ||
| Benjamin J Ock | Registered representative | Nov 2022 (4y) | ||
| Daniel Edward Wilkinson | Registered representative | Nov 2022 (4y) | ||
| Jason G Hunsucker | Registered representative | Nov 2022 (4y) | ||
| Joanne Elizabeth Johnson | Registered representative | Nov 2022 (4y) | ||
| Karla Lee Ukman | Registered representative | Nov 2022 (4y) | ||
| Luis Alejandro Vera | Registered representative | Nov 2022 (4y) | ||
| Susan Tolbert Fox | Registered representative | Nov 2022 (4y) | ||
| William Ross Hensler | Registered representative | Nov 2022 (4y) | ||
| Abigail Frances Wade | Registered representative | Nov 2022 (4y) | ||
| Barton Liro | Registered representative | Nov 2022 (4y) | ||
| Benjamin Ray Garrett | Registered representative | CFP | Nov 2022 (4y) | |
| Jacquelyn Ann Sherman Herne | Registered representative | Nov 2022 (4y) | ||
| David Gregory Barr | Registered representative | CFP | Nov 2022 (4y) | |
| Susan H Stack | Registered representative | Nov 2022 (4y) | ||
| Daniel Ronald Plewa | Registered representative | Nov 2022 (4y) | ||
| Aaron Scott Biederstedt | Registered representative | Nov 2022 (4y) | ||
| Andrew David Scianna | Registered representative | Nov 2022 (4y) | ||
| Dru Berton Hull | Registered representative | CFP | Nov 2022 (4y) | |
| Keri Anne Holton | Registered representative | Nov 2022 (4y) | ||
| Kyle Ryan | Registered representative | CFP Chartered Financial Consultant | Nov 2022 (4y) | |
| Michael Gallagher Collins | Registered representative | Chartered Financial Consultant | Nov 2022 (4y) | |
| Michael Herbert Menninger | Registered representative | CFP | Nov 2022 (4y) | |
| Monica Daggs | Registered representative | Nov 2022 (4y) | ||
| Colin Bryant Ault | Registered representative | Nov 2022 (4y) | ||
| Darrell William Reese | Registered representative | Nov 2022 (4y) | ||
| Emily R Woodson | Registered representative | CFP | Nov 2022 (4y) | |
| Gary Lee Ulrich | Registered representative | CFP | Nov 2022 (4y) | |
| Joseph E. Biloon | Registered representative | CFP | Nov 2022 (4y) | |
| Nicholas Michael De Vito | Registered representative | Nov 2022 (4y) | ||
| Robert David Griesemer | Registered representative | Chartered Financial Consultant | Nov 2022 (4y) | |
| Stephen Michael Bowden | Registered representative | Nov 2022 (4y) | ||
| William R Deemer | Registered representative | Nov 2022 (4y) | ||
| Carlos Antonio Getino | Registered representative | CFP | Nov 2022 (4y) | |
| Eric Preston Fenton | Registered representative | Nov 2022 (4y) | ||
| Eric Lawrence Phelps | Registered representative | Nov 2022 (4y) | ||
| George Bradley Moore | Registered representative | Nov 2022 (4y) | ||
| James Otis Phillips | Registered representative | Nov 2022 (4y) | ||
| John New | Registered representative | CFP | Nov 2022 (4y) | |
| Kathryn Michelle Pilkinton | Registered representative | Nov 2022 (4y) | ||
| Pamela Berry Moore | Registered representative | Nov 2022 (4y) | ||
| Raymond Kip Reuter | Registered representative | Nov 2022 (4y) | ||
| Rodney Allen Wangler | Registered representative | Nov 2022 (4y) | ||
| Shannon Louise Lusk | Registered representative | Nov 2022 (4y) | ||
| Tanner James Odegaard | Registered representative | CFP | Nov 2022 (4y) | |
| Jeffrey James Wren | Registered representative | Dec 2022 (4y) | ||
| Loree Dane Quinn | Registered representative | Dec 2022 (4y) | ||
| Matthew James Trivett | Registered representative | CFP Chartered Financial Consultant | Dec 2022 (4y) | |
| Melissa Ann Logan | Registered representative | Dec 2022 (4y) | ||
| Tracy Richard Odegaard | Registered representative | CFP Chartered Financial Consultant | Dec 2022 (4y) | |
| Aaron Van Son Hung Spear | Registered representative | Dec 2022 (4y) | ||
| Adam A Smith | Registered representative | Dec 2022 (4y) | ||
| Amanda M Grey | Registered representative | CFP | Dec 2022 (4y) | |
| Christian Harvey Johnston | Registered representative | Dec 2022 (4y) | ||
| Christopher Matthew Tracy | Registered representative | Dec 2022 (4y) | ||
| David Monroe Wray | Registered representative | Dec 2022 (4y) | ||
| Forrest Thomas Miles | Registered representative | Dec 2022 (4y) | ||
| Keith Davis | Registered representative | CFP | Dec 2022 (4y) | |
| Michael Glenn Chandler | Registered representative | Dec 2022 (4y) | ||
| Roger Alan Clarkson | Registered representative | CFP | Dec 2022 (4y) | |
| Ryan Joseph Mcandrew | Registered representative | Dec 2022 (4y) | ||
| Stephan Lars Hodge | Registered representative | Dec 2022 (4y) | ||
| Andrew Charles Frazier | Registered representative | Dec 2022 (4y) | ||
| Andrew Michael Kastenholz | Registered representative | Dec 2022 (4y) | ||
| George Lawrence Mcreynolds | Registered representative | Dec 2022 (4y) | ||
| James Howard Ponder | Registered representative | Dec 2022 (4y) | ||
| James Murphey Toney | Registered representative | CFP | Dec 2022 (4y) | |
| Joshua James Blount | Registered representative | Dec 2022 (4y) | ||
| Joseph Mc Carrell Piszczor | Registered representative | CFP | Dec 2022 (4y) | |
| Lisa Ann Friebel | Registered representative | Dec 2022 (4y) | ||
| Melissa Jean Stein | Registered representative | CFP | Dec 2022 (4y) | |
| Peter James Tasillo | Registered representative | Dec 2022 (4y) | ||
| David Eugene Lewis | Registered representative | Dec 2022 (4y) | ||
| Gregory Scott Mason | Registered representative | Dec 2022 (4y) | ||
| James Arthur Oneill | Registered representative | Dec 2022 (4y) | ||
| Joshua Reed Stein | Registered representative | CFP | Dec 2022 (4y) | |
| Jacob Richard Lewandowski | Registered representative | Dec 2022 (4y) | ||
| Julia Ann Finnicum | Registered representative | CFP | Dec 2022 (4y) | |
| Michael Shannon Walden | Registered representative | Dec 2022 (4y) | ||
| Mykala Beth Rubey | Registered representative | Chartered Financial Consultant | Dec 2022 (4y) | |
| Scott William Holmes | Registered representative | Dec 2022 (4y) | ||
| Todd Lawrence Vanderbrook | Registered representative | Dec 2022 (4y) | ||
| Caleb John Laidig | Registered representative | Dec 2022 (4y) | ||
| D. Brent Fennema | Registered representative | Dec 2022 (4y) | ||
| Evan Daniel Fennema | Registered representative | Dec 2022 (4y) | ||
| John Douglas Vandyke | Registered representative | Dec 2022 (4y) | ||
| Leonor Mladenik | Registered representative | Dec 2022 (4y) | ||
| Mitchel Takens | Registered representative | Dec 2022 (4y) | ||
| Preston Jason Bellaire | Registered representative | Dec 2022 (4y) | ||
| Sean Michael Brown | Registered representative | Dec 2022 (4y) | ||
| Steven Richard Elder | Registered representative | Dec 2022 (4y) | ||
| Suzan Elizabeth Elder | Registered representative | Dec 2022 (4y) | ||
| Victor Andrew Sebastian | Registered representative | Dec 2022 (4y) | ||
| David Kenneth Rimkus | Registered representative | Dec 2022 (4y) | ||
| Daniel William Verdugo | Registered representative | Dec 2022 (4y) | ||
| Gary Duane Schaudt | Registered representative | Dec 2022 (4y) | ||
| Jeremy Shane Hay | Registered representative | Dec 2022 (4y) | ||
| Jacklyn Manner | Registered representative | Dec 2022 (4y) | ||
| Karen M. Sandrella | Registered representative | Dec 2022 (4y) | ||
| Andrew Lamar Vasquez | Registered representative | Dec 2022 (4y) | ||
| Charles Malcolm Stack | Registered representative | Dec 2022 (4y) | ||
| Christopher James Lubbers | Registered representative | CFP | Dec 2022 (4y) | |
| Caleb Andrew Hood | Registered representative | Dec 2022 (4y) | ||
| Daniel Stewart Westuba | Registered representative | Dec 2022 (4y) | ||
| Joe Mark Abbott | Registered representative | Dec 2022 (4y) | ||
| Mary Brooke Bryan | Registered representative | CFP | Dec 2022 (4y) | |
| Remick Landon Ham | Registered representative | Dec 2022 (4y) | ||
| Robert C Capuano | Registered representative | Dec 2022 (4y) | ||
| Tyler Caldwell Curtis | Registered representative | Dec 2022 (4y) | ||
| Albert Noble Donahey | Registered representative | Dec 2022 (4y) | ||
| Donald George Sharko | Registered representative | Dec 2022 (4y) | ||
| Eric Cain | Registered representative | Dec 2022 (4y) | ||
| Jack Steven Richardson | Registered representative | CFP CFA | Dec 2022 (4y) | |
| Jared Ian Hark | Registered representative | Dec 2022 (4y) | ||
| Keith Osborne | Registered representative | Dec 2022 (4y) | ||
| Michael Gilbert Hackler | Registered representative | CFP | Dec 2022 (4y) | |
| Paul Andrew Barr | Registered representative | Dec 2022 (4y) | ||
| Rory James Mckendrick | Registered representative | Dec 2022 (4y) | ||
| Ryan Hale | Registered representative | Dec 2022 (4y) | ||
| Zachary M Burke | Registered representative | CFP | Dec 2022 (4y) | |
| Bryce Anthony Hood | Registered representative | Dec 2022 (4y) | ||
| Christopher Carleton Wilbur | Registered representative | Dec 2022 (4y) | ||
| Kelly Mieloch Sparks | Registered representative | Dec 2022 (4y) | ||
| Kimberly Lynn O'brien | Registered representative | Dec 2022 (4y) | ||
| Matthew Brett Irwin | Registered representative | Dec 2022 (4y) | ||
| Melinda Cook Mccullough | Registered representative | Dec 2022 (4y) | ||
| Michael Ara Sarafian | Registered representative | CFP | Dec 2022 (4y) | |
| Shane Lane Hughes | Registered representative | Dec 2022 (4y) | ||
| Adam J Stone | Registered representative | Dec 2022 (4y) | ||
| Andrew Raskin | Registered representative | Dec 2022 (4y) | ||
| Christopher Louis Grano | Registered representative | Dec 2022 (4y) | ||
| Darden Winston Smith | Registered representative | Dec 2022 (4y) | ||
| Dylan James Roth | Registered representative | Dec 2022 (4y) | ||
| Deanna Marie Schoewe | Registered representative | Dec 2022 (4y) | ||
| Dustin Mc Nutt | Registered representative | Dec 2022 (4y) | ||
| Lathan Michael Ellis | Registered representative | Dec 2022 (4y) | ||
| Pasquale Palumbo | Registered representative | Dec 2022 (4y) | ||
| Zachary Michael Miller | Registered representative | Dec 2022 (4y) | ||
| Beau Thomas Talley | Registered representative | Dec 2022 (4y) | ||
| John Victor De Nuto | Registered representative | Dec 2022 (4y) | ||
| Joseph Inskeep | Registered representative | CFP | Dec 2022 (4y) | |
| Matthew Joseph Defalco | Registered representative | Dec 2022 (4y) | ||
| Peter Broderick Hamilton | Registered representative | Dec 2022 (4y) | ||
| Robert Nelson Hamilton | Registered representative | Dec 2022 (4y) | ||
| Troy Michael Knight Miller | Registered representative | Dec 2022 (4y) | ||
| Megan Penn | Registered representative | Dec 2022 (4y) | ||
| Mandy Marie Schmidt | Registered representative | Dec 2022 (4y) | ||
| Melanie Lynn Andrus | Registered representative | Dec 2022 (4y) | ||
| Rachel Johnson | Registered representative | Dec 2022 (4y) | ||
| Scott Andrew Knudsen | Registered representative | Dec 2022 (4y) | ||
| Andre Louis Cantareira | Registered representative | Dec 2022 (4y) | ||
| Danika Marie Young | Registered representative | Dec 2022 (4y) | ||
| Kent Cullinane | Registered representative | Dec 2022 (4y) | ||
| Layla Nicole Slater | Registered representative | Dec 2022 (4y) | ||
| Morgan Russo | Registered representative | Dec 2022 (4y) | ||
| Seth Aaron Keith | Registered representative | Dec 2022 (4y) | ||
| Misty Lane Doucet | Registered representative | Dec 2022 (4y) | ||
| Winston Yuin Tsang | Registered representative | CFP | Dec 2022 (4y) | |
| Ethan Nathaniel Stern | Registered representative | Dec 2022 (4y) | ||
| Gregory Charles Dieterich | Registered representative | Dec 2022 (4y) | ||
| Jeremy Jacob Purvines | Registered representative | Dec 2022 (4y) | ||
| Timothy Dale Reeves | Registered representative | Dec 2022 (4y) | ||
| Biren Patel | Registered representative | CFP | Dec 2022 (4y) | |
| Christopher Eugene Dini | Registered representative | Dec 2022 (4y) | ||
| Andrew Garrett Morris | Registered representative | Jan 2023 (4y) | ||
| Adam Francis Skotnicki | Registered representative | Jan 2023 (4y) | ||
| Carolrose Ann Schlesinger | Registered representative | Jan 2023 (4y) | ||
| Christopher Arthur Chouinard | Registered representative | CFP | Jan 2023 (4y) | |
| Lisa R Mc Pherson | Registered representative | Jan 2023 (4y) | ||
| Laura Katherine Freeman | Registered representative | Jan 2023 (4y) | ||
| Michael Willis Frank | Registered representative | CFP | Jan 2023 (4y) | |
| Roger Elliott Hare | Registered representative | Jan 2023 (4y) | ||
| Troy Richard Koepplin | Registered representative | Jan 2023 (4y) | ||
| Celia Kikue Garcia | Registered representative | Jan 2023 (4y) | ||
| David Stephen Spann | Registered representative | CFP | Jan 2023 (4y) | |
| Lauren Syarra Lofy | Registered representative | Jan 2023 (4y) | ||
| Leah Ann West | Registered representative | Jan 2023 (4y) | ||
| Zachary Stuart | Registered representative | Jan 2023 (4y) | ||
| Jeffery James Fox | Registered representative | CFP | Jan 2023 (4y) | |
| Mark Alan Lamensdorf | Registered representative | Jan 2023 (4y) | ||
| Patrick Andrew O'neil | Registered representative | Jan 2023 (4y) | ||
| Sarah Marie Novak | Registered representative | Jan 2023 (4y) | ||
| Thomas Gerard Rushin | Registered representative | Jan 2023 (4y) | ||
| Valarie Vasiliki Minetos | Registered representative | Jan 2023 (4y) | ||
| Britany Leigh Enelow | Registered representative | Jan 2023 (4y) | ||
| Christopher Jude Fusco | Registered representative | Jan 2023 (4y) | ||
| Kelly Thomas Morford | Registered representative | Jan 2023 (4y) | ||
| Matthew Doyle | Registered representative | Jan 2023 (4y) | ||
| Nikia Adams | Registered representative | Jan 2023 (4y) | ||
| Alisha Riley Hall | Registered representative | Jan 2023 (4y) | ||
| Jessica Lynn Powell | Registered representative | Jan 2023 (4y) | ||
| Xuan Thi Tran | Registered representative | Jan 2023 (4y) | ||
| Amie Jeanne Agamata | Registered representative | Jan 2023 (4y) | ||
| John Anthony Beach | Registered representative | Jan 2023 (4y) | ||
| Justin Thomas Vescovi | Registered representative | Jan 2023 (4y) | ||
| Kevin Patrick Riley | Registered representative | Jan 2023 (4y) | ||
| Mark Douglas Godes | Registered representative | CFP | Jan 2023 (4y) | |
| Michael Ganaden Basco | Registered representative | Jan 2023 (4y) | ||
| Michael P Reimann | Registered representative | Jan 2023 (4y) | ||
| Robert E Little | Registered representative | Jan 2023 (4y) | ||
| Nathanial Peter Hanson | Registered representative | Jan 2023 (4y) | ||
| Sean Anthony Siracusa | Registered representative | Jan 2023 (4y) | ||
| Tyler Ramsey | Registered representative | Jan 2023 (4y) | ||
| Colton Jon Kemp | Registered representative | Jan 2023 (4y) | ||
| David Vaughn Thomas | Registered representative | Jan 2023 (4y) | ||
| Jennifer Lee Zeits Gasko | Registered representative | Jan 2023 (4y) | ||
| Jessica Norris Callaham | Registered representative | Jan 2023 (4y) | ||
| Jeffrey Kercher Gantz | Registered representative | CFP | Jan 2023 (4y) | |
| Maurice Brent Sleeper | Registered representative | Jan 2023 (4y) | ||
| Neal Edward Doty | Registered representative | Jan 2023 (4y) | ||
| Timothy Dayton King | Registered representative | Jan 2023 (4y) | ||
| William Eli Patno | Registered representative | CFP | Jan 2023 (4y) | |
| Cory Glenn Triolo | Registered representative | Jan 2023 (4y) | ||
| Finn Merritt Price | Registered representative | Jan 2023 (4y) | ||
| Lisa Marie Cox | Registered representative | Jan 2023 (4y) | ||
| Benjamin John Lamanna | Registered representative | Jan 2023 (4y) | ||
| Chet Dylan Schwartz | Registered representative | Jan 2023 (4y) | ||
| Steven R Martindale | Registered representative | Jan 2023 (4y) | ||
| Liny Li | Registered representative | Jan 2023 (4y) | ||
| Aaron Jussi Thomas | Registered representative | Jan 2023 (4y) | ||
| Alexander Martin Groth | Registered representative | Jan 2023 (4y) | ||
| Jill Irja Thomas | Registered representative | CFP | Jan 2023 (4y) | |
| Joshua Irwin Rocha | Registered representative | CFP | Jan 2023 (4y) | |
| Melissa M Blaszczyk | Registered representative | Jan 2023 (4y) | ||
| Nicole Marie Adler Frigoletto | Registered representative | CFP | Jan 2023 (4y) | |
| Cameron Yusko | Registered representative | Jan 2023 (4y) | ||
| Curtis Lee Howard | Registered representative | Jan 2023 (4y) | ||
| Davis Domingo Aldana | Registered representative | Jan 2023 (4y) | ||
| Joanne Mantel | Registered representative | Jan 2023 (4y) | ||
| Logan Bailey | Registered representative | Jan 2023 (4y) | ||
| Marco Pietro Cuneo | Registered representative | Jan 2023 (4y) | ||
| Adam Michael Callender | Registered representative | Jan 2023 (4y) | ||
| Christopher Corcoran | Registered representative | Jan 2023 (4y) | ||
| Manuel R Franco | Registered representative | Jan 2023 (4y) | ||
| Matthew Jackson | Registered representative | Jan 2023 (4y) | ||
| Aaron Thomas Reed | Registered representative | Jan 2023 (4y) | ||
| Gregory Allen Large | Registered representative | Jan 2023 (4y) | ||
| Ryan Alan Franco | Registered representative | Jan 2023 (4y) | ||
| Tiffany Anne Nessmith | Registered representative | Jan 2023 (4y) | ||
| Brian Thomas Cody | Registered representative | CFP | Jan 2023 (4y) | |
| Christin Allison Shifflett | Registered representative | Jan 2023 (4y) | ||
| Eric Christian Lee | Registered representative | Jan 2023 (4y) | ||
| Jeremy Walker Young | Registered representative | Jan 2023 (4y) | ||
| Kyle Robert Seeman | Registered representative | Jan 2023 (4y) | ||
| Nadia Maria Goretti Klein | Registered representative | Jan 2023 (4y) | ||
| Alan Brian Zinkin | Registered representative | CFP | Jan 2023 (4y) | |
| Mariona Segales Ylla | Registered representative | Jan 2023 (4y) | ||
| Michael Anthony Torregrossa | Registered representative | Chartered Financial Consultant | Jan 2023 (4y) | |
| Tyler Edward Renaud | Registered representative | Jan 2023 (4y) | ||
| Calvin Tracy Meeks | Registered representative | Jan 2023 (4y) | ||
| Jonathan Lane Blakelock | Registered representative | CFP | Jan 2023 (4y) | |
| Justin D Smith | Registered representative | Jan 2023 (4y) | ||
| Nicholas Harrison Amodio | Registered representative | Jan 2023 (4y) | ||
| Robert James Kinnun | Registered representative | Jan 2023 (4y) | ||
| Marc Schock | Registered representative | Jan 2023 (4y) | ||
| Steven Michael Wilcox | Registered representative | Jan 2023 (4y) | ||
| Elizabeth Michelle Rost | Registered representative | Jan 2023 (4y) | ||
| James Peter Greco | Registered representative | Jan 2023 (4y) | ||
| Steven Charles Small | Registered representative | Jan 2023 (4y) | ||
| Taylor Mc Kay Love | Registered representative | Jan 2023 (4y) | ||
| Andrea Marie Pease | Registered representative | Jan 2023 (4y) | ||
| Austin Steven Whitcher | Registered representative | Jan 2023 (4y) | ||
| Benjamin Paul Doerner | Registered representative | Jan 2023 (4y) | ||
| Craig J Davis | Registered representative | Jan 2023 (4y) | ||
| David Allen Casparian | Registered representative | Jan 2023 (4y) | ||
| David Paul Yahnian | Registered representative | Jan 2023 (4y) | ||
| Edwin Rafael Molina | Registered representative | Jan 2023 (4y) | ||
| Gregory Gordon Riggs | Registered representative | Jan 2023 (4y) | ||
| Kevin John Riggs | Registered representative | Jan 2023 (4y) | ||
| Alexander Weber Boyer | Registered representative | CFP | Feb 2023 (4y) | |
| Andrew Bernard Conti | Registered representative | Feb 2023 (4y) | ||
| Andrew Michael Maddaloni | Registered representative | Feb 2023 (4y) | ||
| Brian James Mcgrath | Registered representative | Feb 2023 (4y) | ||
| Carl C Crowley | Registered representative | Feb 2023 (4y) | ||
| Cherie Lynette Harris | Registered representative | Feb 2023 (4y) | ||
| Cyril James Kanaga Raj | Registered representative | Feb 2023 (4y) | ||
| Daniel Alexander Nyiri | Registered representative | Feb 2023 (4y) | ||
| Daniel B Boyer | Registered representative | Feb 2023 (4y) | ||
| David Scott Chorney | Registered representative | Feb 2023 (4y) | ||
| Dean Edward Elliott | Registered representative | Feb 2023 (4y) | ||
| Frederick Anton Landwehr | Registered representative | Feb 2023 (4y) | ||
| Harold Francis Scattergood | Registered representative | Feb 2023 (4y) | ||
| James Carl Corts | Registered representative | Feb 2023 (4y) | ||
| Jan Robert Carr | Registered representative | CFP | Feb 2023 (4y) | |
| Jay Eliot Bigman | Registered representative | Feb 2023 (4y) | ||
| Jeffrey Joon Yee Tong | Registered representative | Feb 2023 (4y) | ||
| Jessica Xochitl Lorubbio | Registered representative | Feb 2023 (4y) | ||
| Joel Phillip Feldman | Registered representative | Feb 2023 (4y) | ||
| John Michael Durkan | Registered representative | Feb 2023 (4y) | ||
| Joseph David Waterman | Registered representative | Feb 2023 (4y) | ||
| Joshua Scott Hyman | Registered representative | CFP | Feb 2023 (4y) | |
| Julie Seher Bickel | Registered representative | CFP | Feb 2023 (4y) | |
| Jonathan Howard Brice | Registered representative | Feb 2023 (4y) | ||
| Kenneth Richard Huffine | Registered representative | Feb 2023 (4y) | ||
| Kristin Marie Hill | Registered representative | Feb 2023 (4y) | ||
| Lisa Ann Schaub | Registered representative | Feb 2023 (4y) | ||
| Mario Anthony Giovannucci | Registered representative | Feb 2023 (4y) | ||
| Martin Patrick Kraft D'amico | Registered representative | Feb 2023 (4y) | ||
| Peter Allan Haupt | Registered representative | Feb 2023 (4y) | ||
| Philip Joseph Baldassari | Registered representative | CFA | Feb 2023 (4y) | |
| Robert Cepeda | Registered representative | CFP | Feb 2023 (4y) | |
| Ronald Stephen Rader | Registered representative | Feb 2023 (4y) | ||
| Samuel Charles Ginsberg | Registered representative | Feb 2023 (4y) | ||
| Stephen Edward Balen | Registered representative | Feb 2023 (4y) | ||
| Theodore William Hintz | Registered representative | Feb 2023 (4y) | ||
| William John Niederauer | Registered representative | Feb 2023 (4y) | ||
| Dustin S Williams | Registered representative | Feb 2023 (3y) | ||
| Felix Sherrard Lemarinel | Registered representative | Feb 2023 (3y) | ||
| Joshua J Hansen | Registered representative | Feb 2023 (3y) | ||
| Mary Tryon | Registered representative | Feb 2023 (3y) | ||
| Robert Joseph Tornincaso | Registered representative | Feb 2023 (3y) | ||
| Alexander Scott Gourley | Registered representative | Feb 2023 (3y) | ||
| George William Kovka | Registered representative | Feb 2023 (3y) | ||
| Jeffrey Cleckner | Registered representative | Feb 2023 (3y) | ||
| James Ernest Driskell | Registered representative | Chartered Financial Consultant | Feb 2023 (3y) | |
| John Henry Gray | Registered representative | Feb 2023 (3y) | ||
| Daniel L Mickley | Registered representative | Feb 2023 (3y) | ||
| David Benjamin Zwick | Registered representative | Feb 2023 (3y) | ||
| Jonathan Hreha | Registered representative | Feb 2023 (3y) | ||
| Lawrence Jay Agler | Registered representative | Feb 2023 (3y) | ||
| Mark James Kinney | Registered representative | Feb 2023 (3y) | ||
| Nathan Rodgers Dofflemyer | Registered representative | Feb 2023 (3y) | ||
| Phillip Lawrence Dimond | Registered representative | Feb 2023 (3y) | ||
| William Andrew Howe | Registered representative | Feb 2023 (3y) | ||
| Devon Scott Uy | Registered representative | Feb 2023 (3y) | ||
| Mark A Stockard | Registered representative | Feb 2023 (3y) | ||
| Karl Thomas Crytser | Registered representative | Feb 2023 (3y) | ||
| Tanya Elizabeth Battle | Registered representative | Feb 2023 (3y) | ||
| Adam J Upleger | Registered representative | Feb 2023 (3y) | ||
| Brian Christopher Monske | Registered representative | Feb 2023 (3y) | ||
| Dalas Lee Gundersen | Registered representative | Feb 2023 (3y) | ||
| Jeffrey Scott Jones Irwin | Registered representative | Feb 2023 (3y) | ||
| John Leonard Grace | Registered representative | Feb 2023 (3y) | ||
| Marc Andrew Pitts | Registered representative | Feb 2023 (3y) | ||
| Matthew Lewis | Registered representative | Feb 2023 (3y) | ||
| Mindy Leigh Qua | Registered representative | Feb 2023 (3y) | ||
| Ronald Charles Hunter | Registered representative | CFP | Feb 2023 (3y) | |
| Susan Adele Knox | Registered representative | Feb 2023 (3y) | ||
| Aaron Christopher Bethune | Registered representative | Feb 2023 (3y) | ||
| Andrew Marcus Tran | Registered representative | Feb 2023 (3y) | ||
| William Theodore Brice | Registered representative | Feb 2023 (3y) | ||
| Austin Timothy Jungers | Registered representative | Feb 2023 (3y) | ||
| Dean Millar Forstmann | Registered representative | Feb 2023 (3y) | ||
| Elaina Huffman | Registered representative | Feb 2023 (3y) | ||
| Janessa Marie Sobania | Registered representative | Feb 2023 (3y) | ||
| Tam Thanh Le | Registered representative | Feb 2023 (3y) | ||
| Caitlain Mary Mc Donald | Registered representative | CFP | Feb 2023 (3y) | |
| Tony S Choi | Registered representative | Feb 2023 (3y) | ||
| Carmela Patricia Michaels | Registered representative | Feb 2023 (3y) | ||
| Daniel Samuel Sarkissian | Registered representative | Feb 2023 (3y) | ||
| Lonnie Adam Friedman | Registered representative | Feb 2023 (3y) | ||
| Mary V Mann | Registered representative | Feb 2023 (3y) | ||
| Michael Vincent Sansone | Registered representative | Feb 2023 (3y) | ||
| Thomas Craig Maher | Registered representative | Feb 2023 (3y) | ||
| Jeremy Matthew Draskovich | Registered representative | Feb 2023 (3y) | ||
| Josh W Oliver | Registered representative | Feb 2023 (3y) | ||
| Nicholas Alexander Schnieders | Registered representative | Feb 2023 (3y) | ||
| Robert Louis Petrella | Registered representative | Feb 2023 (3y) | ||
| Sarah Lynn Russell Frossard | Registered representative | Feb 2023 (3y) | ||
| Scott Thomas Andersen | Registered representative | Feb 2023 (3y) | ||
| Sharon D Welch | Registered representative | Feb 2023 (3y) | ||
| Brayden Martin Jerde | Registered representative | CFP | Feb 2023 (3y) | |
| Peter Emmanuel Roulier | Registered representative | Feb 2023 (3y) | ||
| Stephanie Hook | Registered representative | Feb 2023 (3y) | ||
| William Mark Chambers | Registered representative | Feb 2023 (3y) | ||
| Timothy Michael Lanier | Registered representative | CFP | Feb 2023 (3y) | |
| Tucker Woods | Registered representative | Feb 2023 (3y) | ||
| Erik Charles Tom | Registered representative | CFP | Feb 2023 (3y) | |
| Maxwell J Mc Arthur | Registered representative | Feb 2023 (3y) | ||
| Stephen Lee Kidd | Registered representative | Feb 2023 (3y) | ||
| Thomas Robert Metzler | Registered representative | Chartered Financial Consultant | Feb 2023 (3y) | |
| Alexandra M Wardell | Registered representative | Feb 2023 (3y) | ||
| Aridai Eubank | Registered representative | Feb 2023 (3y) | ||
| Amber Nichole Clos | Registered representative | Feb 2023 (3y) | ||
| Anthony Joseph Siewert | Registered representative | Feb 2023 (3y) | ||
| George Peter Brkljacic | Registered representative | CFP | Feb 2023 (3y) | |
| Jayne Teresa Deutmeyer | Registered representative | Feb 2023 (3y) | ||
| Karolina K Simmons | Registered representative | Feb 2023 (3y) | ||
| Richard Eric Weintraub | Registered representative | CFP | Feb 2023 (3y) | |
| Richard Nelson Mower | Registered representative | CFP | Feb 2023 (3y) | |
| Tanya Rebekah Mathews | Registered representative | Feb 2023 (3y) | ||
| Carl Lavern Hart | Registered representative | CFP | Feb 2023 (3y) | |
| Gregory Michael Pollack | Registered representative | CFP | Feb 2023 (3y) | |
| Hyman Noah Glasman | Registered representative | Feb 2023 (3y) | ||
| Matthew Christopher Coonley | Registered representative | Feb 2023 (3y) | ||
| Ronald Dean Clark | Registered representative | Feb 2023 (3y) | ||
| Shawn Brian Shindelar | Registered representative | Feb 2023 (3y) | ||
| Aaron Michael Finney | Registered representative | Feb 2023 (3y) | ||
| Aspen Elaine Noack | Registered representative | Feb 2023 (3y) | ||
| Jacob Staub | Registered representative | Feb 2023 (3y) | ||
| Tai Alexandra Kotler | Registered representative | Feb 2023 (3y) | ||
| Steven Joseph Paine | Registered representative | Feb 2023 (3y) | ||
| Stephanie Ellen Comer | Registered representative | Feb 2023 (3y) | ||
| Colby Hesson | Registered representative | Feb 2023 (3y) | ||
| Edward Bryan Kucharski | Registered representative | CFP | Feb 2023 (3y) | |
| Jay Michael Scienza | Registered representative | Feb 2023 (3y) | ||
| Michael Paul Tekin | Registered representative | Feb 2023 (3y) | ||
| Nicholas Vito Agostinacchio | Registered representative | Feb 2023 (3y) | ||
| Paul David Tearson | Registered representative | Feb 2023 (3y) | ||
| Raul Alves Ramos | Registered representative | Feb 2023 (3y) | ||
| Susan Michelle Bowers | Registered representative | CFP | Feb 2023 (3y) | |
| Vincent Michael Primavera | Registered representative | Feb 2023 (3y) | ||
| Austin Marcellus Mcintosh | Registered representative | Feb 2023 (3y) | ||
| Alyssa Rose Sanderson | Registered representative | Feb 2023 (3y) | ||
| Jonathan Reid Rowland | Registered representative | Feb 2023 (3y) | ||
| Lukas Paul Manger | Registered representative | Feb 2023 (3y) | ||
| Megan Whitehead | Registered representative | Feb 2023 (3y) | ||
| Michael Andrew Rivera | Registered representative | Chartered Financial Consultant | Feb 2023 (3y) | |
| Patricia Joanne Heider | Registered representative | Feb 2023 (3y) | ||
| William Joseph Henry | Registered representative | CFP | Feb 2023 (3y) | |
| Benjamin R Howe | Registered representative | Mar 2023 (3y) | ||
| Brian Joseph Tevlin | Registered representative | CFP | Mar 2023 (3y) | |
| Christopher Shane Pikunas | Registered representative | Mar 2023 (3y) | ||
| Danielle Rae Scodellaro | Registered representative | CFP Chartered Financial Consultant | Mar 2023 (3y) | |
| Ellen M. Bylsma | Registered representative | Mar 2023 (3y) | ||
| Edward Kenneth Penner | Registered representative | Mar 2023 (3y) | ||
| Garrett Steven Smith | Registered representative | CFP | Mar 2023 (3y) | |
| Jeffrey William Vandiver | Registered representative | Mar 2023 (3y) | ||
| Joseph Martin Pay | Registered representative | Mar 2023 (3y) | ||
| James Thomas Ferris | Registered representative | Mar 2023 (3y) | ||
| Kelcy Leigh Wilcox Weiger | Registered representative | Mar 2023 (3y) | ||
| Mary Sherrill Ware | Registered representative | CFP | Mar 2023 (3y) | |
| Matthew Kirk Landis | Registered representative | Mar 2023 (3y) | ||
| Matthew Thomas Doherty | Registered representative | Mar 2023 (3y) | ||
| Scott Anthony Glasson | Registered representative | Mar 2023 (3y) | ||
| Scott Wayne Clark | Registered representative | Mar 2023 (3y) | ||
| Steven Richard Bramhall | Registered representative | Mar 2023 (3y) | ||
| Audrey Shea Keune | Registered representative | Mar 2023 (3y) | ||
| Rachael Ashley Kettle | Registered representative | Mar 2023 (3y) | ||
| Steven Craig Davis | Registered representative | CFP | Mar 2023 (3y) | |
| Trecci A Simmons | Registered representative | Mar 2023 (3y) | ||
| Chad Douglas Waters | Registered representative | CFP | Mar 2023 (3y) | |
| Ethan Clarke Davis | Registered representative | Mar 2023 (3y) | ||
| Joaquin C. Lopez | Registered representative | Mar 2023 (3y) | ||
| Jonathan Allen House | Registered representative | Mar 2023 (3y) | ||
| Michael David Vichunas | Registered representative | Mar 2023 (3y) | ||
| Nicholas Alexander Lalonde | Registered representative | CFP | Mar 2023 (3y) | |
| Alex Ward Carter | Registered representative | CFP | Mar 2023 (3y) | |
| Angela Smith Ostendarp | Registered representative | CFP | Mar 2023 (3y) | |
| Austin Tyler Kissinger | Registered representative | Mar 2023 (3y) | ||
| Brooks Mitchell Mayfield | Registered representative | Mar 2023 (3y) | ||
| Jordan John Raniszeski | Registered representative | CFP | Mar 2023 (3y) | |
| Robert Willis Davis | Registered representative | Mar 2023 (3y) | ||
| Rumesh Bandara Senanayake | Registered representative | Mar 2023 (3y) | ||
| Scott Donald Mathewson | Registered representative | CFP | Mar 2023 (3y) | |
| Shane Edward Cloninger | Registered representative | Mar 2023 (3y) | ||
| Timothy James Moreland | Registered representative | Mar 2023 (3y) | ||
| Travis Christopher Grosse | Registered representative | Mar 2023 (3y) | ||
| Austin Jarrett | Registered representative | Mar 2023 (3y) | ||
| Christopher M Reed | Registered representative | Mar 2023 (3y) | ||
| Douglas Holmes Brindle | Registered representative | Mar 2023 (3y) | ||
| Jacob Siano Whalen | Registered representative | Mar 2023 (3y) | ||
| Suzanne Saville | Registered representative | Mar 2023 (3y) | ||
| Richard Lee Chambers | Registered representative | Mar 2023 (3y) | ||
| Katherine Elizabeth Waggoner | Registered representative | Mar 2023 (3y) | ||
| Craig Alan Cole | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Elizabeth Nicole Brennan | Registered representative | Mar 2023 (3y) | ||
| Roger Rudolph Inkrott | Registered representative | Mar 2023 (3y) | ||
| Stephen Richard Myers | Registered representative | Mar 2023 (3y) | ||
| Alvaro Mauricio Jiron | Registered representative | Mar 2023 (3y) | ||
| Ahamad Kamal Makouk | Registered representative | Mar 2023 (3y) | ||
| Justin Bradford May | Registered representative | Mar 2023 (3y) | ||
| Kemp Edward Cunningham | Registered representative | CFP | Mar 2023 (3y) | |
| Niki Wheeles | Registered representative | Mar 2023 (3y) | ||
| Daniel Carl Minnis | Registered representative | CFP | Mar 2023 (3y) | |
| George Throckmorton Chandler | Registered representative | Mar 2023 (3y) | ||
| Jeffrey Scott Spencer | Registered representative | Mar 2023 (3y) | ||
| Jason Todd Jackson | Registered representative | Mar 2023 (3y) | ||
| Jordan J Floerke | Registered representative | Mar 2023 (3y) | ||
| Kevin David Mccloud | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Richard Gaspare Dragotta | Registered representative | Mar 2023 (3y) | ||
| Shomari A Linton | Registered representative | Mar 2023 (3y) | ||
| William Charles Meltzer | Registered representative | Mar 2023 (3y) | ||
| Hayley Beatrice Higgins | Registered representative | Mar 2023 (3y) | ||
| Mark Larson | Registered representative | Mar 2023 (3y) | ||
| Michael Brandon Gotleib | Registered representative | Mar 2023 (3y) | ||
| Sean Kenji Okamoto | Registered representative | Mar 2023 (3y) | ||
| Sean Fitzgerald | Registered representative | Mar 2023 (3y) | ||
| Chad Andrew Brown | Registered representative | Mar 2023 (3y) | ||
| Charles Kelly Hamad | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| David Walkup | Registered representative | Mar 2023 (3y) | ||
| Gregory S Mikesell | Registered representative | Mar 2023 (3y) | ||
| Jason Thomas Strasser | Registered representative | Mar 2023 (3y) | ||
| Jeffrey Stephen Daney | Registered representative | Mar 2023 (3y) | ||
| Jennifer Currier Williams | Registered representative | CFP | Mar 2023 (3y) | |
| John Whitaker | Registered representative | Mar 2023 (3y) | ||
| Kathleen A Pigott | Registered representative | CFP | Mar 2023 (3y) | |
| Michael S Clements | Registered representative | Mar 2023 (3y) | ||
| Richard Frederick Reimers | Registered representative | CFP | Mar 2023 (3y) | |
| Stephen Todd Mckenney | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Tamilla Lynn Simpson | Registered representative | Mar 2023 (3y) | ||
| Adam Lee Weber | Registered representative | Mar 2023 (3y) | ||
| Bradley Kurt Skiles | Registered representative | CFP Chartered Financial Consultant | Mar 2023 (3y) | |
| Gerald Joseph Castellano | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Hayden Christopher Shaddox | Registered representative | Mar 2023 (3y) | ||
| Leo Alan Gotleib | Registered representative | CFP | Mar 2023 (3y) | |
| Richia Lynn Allen | Registered representative | Mar 2023 (3y) | ||
| William Thomas Spencer | Registered representative | Mar 2023 (3y) | ||
| Bo Edvardsson | Registered representative | Mar 2023 (3y) | ||
| Jeramiah Adam Botkin | Registered representative | Mar 2023 (3y) | ||
| Justin Carl Morales | Registered representative | Mar 2023 (3y) | ||
| Karen Elizabeth Brady | Registered representative | Mar 2023 (3y) | ||
| Mark Jay Sonnenblick | Registered representative | Mar 2023 (3y) | ||
| Matthew Tyler Vaage | Registered representative | Mar 2023 (3y) | ||
| Tyler Dicke | Registered representative | CFA | Mar 2023 (3y) | |
| David Alan Suderman | Registered representative | Mar 2023 (3y) | ||
| Deborah Renee Humphreys | Registered representative | Mar 2023 (3y) | ||
| Dima Aboshady | Registered representative | Mar 2023 (3y) | ||
| Joana Halu Karl | Registered representative | Mar 2023 (3y) | ||
| Jose R Madera Reyes | Registered representative | Mar 2023 (3y) | ||
| James Thomas Bellush | Registered representative | Mar 2023 (3y) | ||
| Bonnie Lee Mcguire | Registered representative | Mar 2023 (3y) | ||
| Corey Daniel Schaul | Registered representative | Mar 2023 (3y) | ||
| Eugene Bozzo | Registered representative | Mar 2023 (3y) | ||
| Frank David Ruscetti | Registered representative | Mar 2023 (3y) | ||
| Jason Michael Messick | Registered representative | Mar 2023 (3y) | ||
| Jessica Danielle Silver | Registered representative | CFP | Mar 2023 (3y) | |
| Kristie Rountree Stevenson | Registered representative | Mar 2023 (3y) | ||
| Mary Beth Feduska | Registered representative | Mar 2023 (3y) | ||
| Sean Rodger Knapp | Registered representative | Mar 2023 (3y) | ||
| Stephen Eddy Fuhrer | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Vincent Jay Intiso | Registered representative | Mar 2023 (3y) | ||
| Dmitriy Bgatov | Registered representative | Mar 2023 (3y) | ||
| Frank Martin | Registered representative | CFP | Mar 2023 (3y) | |
| Jodi Ann Mccloskey | Registered representative | Mar 2023 (3y) | ||
| John Aloysius Wojtowicz | Registered representative | Mar 2023 (3y) | ||
| Jeffrey Miyahara | Registered representative | Mar 2023 (3y) | ||
| Julie Gay Mekhail | Registered representative | Mar 2023 (3y) | ||
| Rob Nmn Harris | Registered representative | Mar 2023 (3y) | ||
| Anna Lyn Simon | Registered representative | Mar 2023 (3y) | ||
| David Carl Stern | Registered representative | Mar 2023 (3y) | ||
| Geoffrey Ross Cleveland | Registered representative | Mar 2023 (3y) | ||
| Jonathan Phillip Grocott | Registered representative | Mar 2023 (3y) | ||
| Karen T Soule | Registered representative | Mar 2023 (3y) | ||
| Stephen Edward Walker | Registered representative | Mar 2023 (3y) | ||
| Todd Alan Mattingly | Registered representative | Mar 2023 (3y) | ||
| Wesley Greg Alston | Registered representative | Mar 2023 (3y) | ||
| Ann Cheryl Frigon | Registered representative | CFP | Mar 2023 (3y) | |
| Frank Arthur Giorgio Iv | Registered representative | Mar 2023 (3y) | ||
| Jason Stern | Registered representative | Mar 2023 (3y) | ||
| Jeremiah Rader | Registered representative | CFP | Mar 2023 (3y) | |
| Luke Trahan | Registered representative | Mar 2023 (3y) | ||
| Marshall Andrew Egermier | Registered representative | CFP | Mar 2023 (3y) | |
| Michelle L Reynolds | Registered representative | Mar 2023 (3y) | ||
| Maverick B. Churchill | Registered representative | Mar 2023 (3y) | ||
| Olivia Kaye Gilliland | Registered representative | Mar 2023 (3y) | ||
| Samuel L Estes | Registered representative | Mar 2023 (3y) | ||
| Gina Diaz | Registered representative | Mar 2023 (3y) | ||
| Patrick John Lodes | Registered representative | Mar 2023 (3y) | ||
| Charles Alan Correal | Registered representative | Mar 2023 (3y) | ||
| Jason Murray | Registered representative | Mar 2023 (3y) | ||
| Steven Jude Meleco | Registered representative | Mar 2023 (3y) | ||
| Tanner Ryan Pearman | Registered representative | Mar 2023 (3y) | ||
| Alexis Schulte | Registered representative | Mar 2023 (3y) | ||
| Bradley Scott Burnfield | Registered representative | CFP Chartered Financial Consultant | Mar 2023 (3y) | |
| Carolyn Jean Hobble | Registered representative | CFP | Mar 2023 (3y) | |
| Christopher D Stevens | Registered representative | Mar 2023 (3y) | ||
| Denise Bunton | Registered representative | Mar 2023 (3y) | ||
| Eric Kleinstein | Registered representative | Mar 2023 (3y) | ||
| Ethan Howard Saidel | Registered representative | CFP | Mar 2023 (3y) | |
| Andrew Thomas Seitz | Registered representative | Mar 2023 (3y) | ||
| Brooke Lea Martin | Registered representative | Mar 2023 (3y) | ||
| Charles Reed Terry | Registered representative | CFP | Mar 2023 (3y) | |
| Michael Gerard Riffel | Registered representative | Mar 2023 (3y) | ||
| Adam Benjamin Carlat | Registered representative | Apr 2023 (3y) | ||
| Carlo Dipietro Bentley | Registered representative | Apr 2023 (3y) | ||
| Edward Stanley Myers | Registered representative | Apr 2023 (3y) | ||
| Gavin Jensen | Registered representative | Apr 2023 (3y) | ||
| Jacob Allen Mager | Registered representative | Apr 2023 (3y) | ||
| Jay Robert Braaten | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Millie France | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Richard Dodd Hammond | Registered representative | Apr 2023 (3y) | ||
| Robert L Young | Registered representative | Apr 2023 (3y) | ||
| Brian E Wooten | Registered representative | CFP | Apr 2023 (3y) | |
| Lynnette Michelle Mcgill Koehn | Registered representative | Apr 2023 (3y) | ||
| Randy Alan Chalmers | Registered representative | Apr 2023 (3y) | ||
| Antonio Desamours | Registered representative | Apr 2023 (3y) | ||
| Joseph Albert Lodes | Registered representative | Apr 2023 (3y) | ||
| Robert Jeffery Edwards | Registered representative | Apr 2023 (3y) | ||
| Stephen Anthony Gentile | Registered representative | Apr 2023 (3y) | ||
| Timothy Michael Grogan | Registered representative | Apr 2023 (3y) | ||
| Anthony George Makransky | Registered representative | Apr 2023 (3y) | ||
| Austin John Deskewicz | Registered representative | Apr 2023 (3y) | ||
| Dustin M Dick | Registered representative | Apr 2023 (3y) | ||
| Dustin Mac Brown | Registered representative | CFP | Apr 2023 (3y) | |
| Jacob Sloan Lee | Registered representative | Apr 2023 (3y) | ||
| Kade Clinton | Registered representative | Apr 2023 (3y) | ||
| Ryan James Krome | Registered representative | Apr 2023 (3y) | ||
| Tyler James Sendejas | Registered representative | Apr 2023 (3y) | ||
| Austin Black | Registered representative | CFP | Apr 2023 (3y) | |
| James Charles Smith | Registered representative | Apr 2023 (3y) | ||
| Robert M Savage | Registered representative | Apr 2023 (3y) | ||
| Craig James Freund | Registered representative | CFP | Apr 2023 (3y) | |
| Jordan R Lefko | Registered representative | Apr 2023 (3y) | ||
| Ryan T Neal | Registered representative | Apr 2023 (3y) | ||
| Steven Thomas Belloli | Registered representative | Apr 2023 (3y) | ||
| William Jordan | Registered representative | Apr 2023 (3y) | ||
| Francesco Olmo | Registered representative | Apr 2023 (3y) | ||
| James Paul Curry | Registered representative | Apr 2023 (3y) | ||
| Shawn Raymond Tighe | Registered representative | CFP | Apr 2023 (3y) | |
| Thomas Kayvon Hagigh | Registered representative | CFP | Apr 2023 (3y) | |
| William Zachary Disbrow | Registered representative | Apr 2023 (3y) | ||
| James Denis Sheehan | Registered representative | CFP | Apr 2023 (3y) | |
| Jonathan Hennessey Holmes | Registered representative | Apr 2023 (3y) | ||
| Justin Neiman | Registered representative | Apr 2023 (3y) | ||
| Kevin Barr | Registered representative | CFP | Apr 2023 (3y) | |
| Todd Bradley Doleshal | Registered representative | CFP | Apr 2023 (3y) | |
| Douglas Findley | Registered representative | Apr 2023 (3y) | ||
| Francis Lee Friend | Registered representative | Apr 2023 (3y) | ||
| Michael Richard Tormey | Registered representative | Apr 2023 (3y) | ||
| Nikolaos P Peroulas | Registered representative | Apr 2023 (3y) | ||
| Pier Paul Mutovic | Registered representative | Apr 2023 (3y) | ||
| Shawn Patrick Whatley | Registered representative | Apr 2023 (3y) | ||
| Deborah Lorraine Daniels | Registered representative | Apr 2023 (3y) | ||
| Indya Kellman | Registered representative | Apr 2023 (3y) | ||
| Matthew James Hess | Registered representative | Apr 2023 (3y) | ||
| Amanda Del Carmen Diaz | Registered representative | CFP | Apr 2023 (3y) | |
| Andrew La Spina | Registered representative | Apr 2023 (3y) | ||
| Gregory John Geryak | Registered representative | Apr 2023 (3y) | ||
| Steven Matthew Raymond | Registered representative | CFP | Apr 2023 (3y) | |
| Timothy J Mol | Registered representative | CFP | Apr 2023 (3y) | |
| Jace Scott Kasteler | Registered representative | Apr 2023 (3y) | ||
| Joseph Richard Blackner | Registered representative | Apr 2023 (3y) | ||
| Lance Eugene Mcginnis | Registered representative | Apr 2023 (3y) | ||
| Sage Walker De Mull | Registered representative | Apr 2023 (3y) | ||
| Terri Lynn Conger | Registered representative | Apr 2023 (3y) | ||
| Trevor Steven Lubereski | Registered representative | Apr 2023 (3y) | ||
| Blanca Elena Estrada Rosanoff | Registered representative | Apr 2023 (3y) | ||
| Charles F Bowman | Registered representative | Apr 2023 (3y) | ||
| Habib Habibi | Registered representative | Apr 2023 (3y) | ||
| Jonathan Leonard Lewandowski | Registered representative | Apr 2023 (3y) | ||
| Michael Joseph Agriesti | Registered representative | Apr 2023 (3y) | ||
| Christopher Gerald Lohs | Registered representative | Apr 2023 (3y) | ||
| John Fisher Weber | Registered representative | Apr 2023 (3y) | ||
| Taylor Sara French | Registered representative | Apr 2023 (3y) | ||
| Adam King Skumawitz | Registered representative | Apr 2023 (3y) | ||
| Joel Michael Michalek | Registered representative | Apr 2023 (3y) | ||
| Louis Philip Ashamallah | Registered representative | CFP | Apr 2023 (3y) | |
| Mark Joseph Anselmo | Registered representative | CFP | Apr 2023 (3y) | |
| Raymond Paul Scannell | Registered representative | CFP Chartered Financial Consultant | Apr 2023 (3y) | |
| Brian Jerold Whinnery | Registered representative | Apr 2023 (3y) | ||
| Eric John Zalek | Registered representative | Apr 2023 (3y) | ||
| Jonathan Emile Carlon | Registered representative | Apr 2023 (3y) | ||
| Lawrence Ewing Stevenson | Registered representative | Apr 2023 (3y) | ||
| Lawrence Gilbert Union | Registered representative | Apr 2023 (3y) | ||
| Nancy Nientzu Woo | Registered representative | Apr 2023 (3y) | ||
| Nathaniel Jamil Carlon | Registered representative | Apr 2023 (3y) | ||
| Ronny Lynn Knight | Registered representative | Apr 2023 (3y) | ||
| Tucker Sahnow | Registered representative | Apr 2023 (3y) | ||
| Whitney Morein Colton | Registered representative | Apr 2023 (3y) | ||
| Daniel Wayne Kalsbeek | Registered representative | Apr 2023 (3y) | ||
| David Gordon Moelker | Registered representative | Apr 2023 (3y) | ||
| Jacob I Tuinstra | Registered representative | Apr 2023 (3y) | ||
| Jonathan Kesselman | Registered representative | CFP | Apr 2023 (3y) | |
| Joshua Russell Geerts | Registered representative | Apr 2023 (3y) | ||
| Kevin Dale Gaut | Registered representative | Apr 2023 (3y) | ||
| Kimberly Ann Trimmer | Registered representative | Apr 2023 (3y) | ||
| Katherine Lois Weber | Registered representative | Apr 2023 (3y) | ||
| Pamela M Gruber | Registered representative | Apr 2023 (3y) | ||
| Phillip A Veenstra | Registered representative | Apr 2023 (3y) | ||
| Raymond Anthony Abreu | Registered representative | Apr 2023 (3y) | ||
| Ryan Michael Krantz | Registered representative | CFP | Apr 2023 (3y) | |
| Travis Jeffrey Makings | Registered representative | Apr 2023 (3y) | ||
| William Lee Friebel | Registered representative | CFP | Apr 2023 (3y) | |
| Keith William Salscheider | Registered representative | Apr 2023 (3y) | ||
| Rodney J Van Buren | Registered representative | Apr 2023 (3y) | ||
| Scott Andrew Castilow | Registered representative | Apr 2023 (3y) | ||
| Vincent Robert Gallagher | Registered representative | Apr 2023 (3y) | ||
| Alan Beverly Irving | Registered representative | Apr 2023 (3y) | ||
| Ashley M Amstadt | Registered representative | Apr 2023 (3y) | ||
| Darlene Leigh Pedrosa | Registered representative | CFP | Apr 2023 (3y) | |
| Elizabeth Basinger Stevens | Registered representative | Apr 2023 (3y) | ||
| Jeffrey Lawrence Hedberg | Registered representative | Apr 2023 (3y) | ||
| Michelle Marie Doffek | Registered representative | Apr 2023 (3y) | ||
| Nicholas John Cantando | Registered representative | Apr 2023 (3y) | ||
| Patrick Carl Gherity | Registered representative | Apr 2023 (3y) | ||
| Paul Goodfellow | Registered representative | Apr 2023 (3y) | ||
| Christian Allan Hill | Registered representative | May 2023 (3y) | ||
| Gina Renee Espinoza | Registered representative | May 2023 (3y) | ||
| Kimberly Michelle Hayes | Registered representative | CFP | May 2023 (3y) | |
| Michael Joseph Palen | Registered representative | May 2023 (3y) | ||
| Nicole Marie Foxworth | Registered representative | May 2023 (3y) | ||
| Syed Asif Hussain | Registered representative | May 2023 (3y) | ||
| William Henry Granger | Registered representative | May 2023 (3y) | ||
| Frank Alfred Leyes | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Jeffrey Howard Mckinnon | Registered representative | May 2023 (3y) | ||
| Neil Howard Pettes | Registered representative | May 2023 (3y) | ||
| Nichole Ann Johnson | Registered representative | May 2023 (3y) | ||
| Peter John Korcusko | Registered representative | May 2023 (3y) | ||
| Sandra Jean Rose | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Savannah Lee Patrick | Registered representative | May 2023 (3y) | ||
| Stephen Joseph Stravolo | Registered representative | Personal Financial Specialist | May 2023 (3y) | |
| Cameron Hall | Registered representative | May 2023 (3y) | ||
| David Owen Livingston | Registered representative | May 2023 (3y) | ||
| Heather L Cheney | Registered representative | May 2023 (3y) | ||
| Jeffrey Katz | Registered representative | May 2023 (3y) | ||
| Justin Alan Katz | Registered representative | May 2023 (3y) | ||
| Martin Joseph Mancuso | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Mary Hunley Kloesel | Registered representative | May 2023 (3y) | ||
| Michelle Brennan Hall | Registered representative | May 2023 (3y) | ||
| Nicholas Harvey Gums | Registered representative | May 2023 (3y) | ||
| Adolph Charles Lara | Registered representative | May 2023 (3y) | ||
| Donna Maria Stewart | Registered representative | May 2023 (3y) | ||
| Jonathan Phillip Macy | Registered representative | May 2023 (3y) | ||
| Landon Joseph Ahring Randall | Registered representative | May 2023 (3y) | ||
| Tedd Peterson Laporte | Registered representative | May 2023 (3y) | ||
| Warren Harris Strauss | Registered representative | May 2023 (3y) | ||
| Cathryn D Pierce | Registered representative | May 2023 (3y) | ||
| Edmond A Mc Kone | Registered representative | CFP | May 2023 (3y) | |
| John Frederick Bohinski | Registered representative | May 2023 (3y) | ||
| Larry Don Smith | Registered representative | May 2023 (3y) | ||
| Manuel Alonso Vega | Registered representative | May 2023 (3y) | ||
| Rene Michelle Karsko | Registered representative | May 2023 (3y) | ||
| Robert A Castanares | Registered representative | May 2023 (3y) | ||
| Todd Michael Rosel | Registered representative | May 2023 (3y) | ||
| Danielle K Hill | Registered representative | May 2023 (3y) | ||
| Alexondra Nicole Brouwer | Registered representative | May 2023 (3y) | ||
| Charles William Haden Rumsey | Registered representative | May 2023 (3y) | ||
| Douglas Duane Nelson | Registered representative | May 2023 (3y) | ||
| Daniel Alan Nitsch | Registered representative | May 2023 (3y) | ||
| Daniel Wayne Adams | Registered representative | May 2023 (3y) | ||
| Kiera Monaco | Registered representative | May 2023 (3y) | ||
| Kristen Marie Parrow | Registered representative | May 2023 (3y) | ||
| Stacey Brisson Randall | Registered representative | May 2023 (3y) | ||
| James Harol Harrison | Registered representative | May 2023 (3y) | ||
| Jerry Eldon Milligan | Registered representative | May 2023 (3y) | ||
| Laura Ann Thompson | Registered representative | May 2023 (3y) | ||
| Marion Terrell Foxworth | Registered representative | CFP | May 2023 (3y) | |
| Ryan Sean Leroux | Registered representative | May 2023 (3y) | ||
| Brian Joseph Olson | Registered representative | CFP | May 2023 (3y) | |
| Cain Benjamin Kobert | Registered representative | CFP | May 2023 (3y) | |
| Gary Allen Scott | Registered representative | May 2023 (3y) | ||
| John James Turcotte | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Josef Albert Stark | Registered representative | May 2023 (3y) | ||
| James K Ross | Registered representative | May 2023 (3y) | ||
| Michael Aloysius Oflaherty | Registered representative | May 2023 (3y) | ||
| Michael James Gjerde | Registered representative | May 2023 (3y) | ||
| Christopher Paul Jenkins | Registered representative | May 2023 (3y) | ||
| Eric Paul Zeitler | Registered representative | May 2023 (3y) | ||
| Eugene David Grenham | Registered representative | May 2023 (3y) | ||
| Hayward Lamar Sawyer | Registered representative | May 2023 (3y) | ||
| Jason Glen Reeves | Registered representative | May 2023 (3y) | ||
| Ronald Stephen Iacobelli | Registered representative | May 2023 (3y) | ||
| Richard Nicholas Mc Elhatten | Registered representative | May 2023 (3y) | ||
| Rusty Gene Acheson | Registered representative | May 2023 (3y) | ||
| Samuel Taylor Green | Registered representative | May 2023 (3y) | ||
| Vincent Francis Guagenti | Registered representative | May 2023 (3y) | ||
| Adam Wayne Fliehman | Registered representative | May 2023 (3y) | ||
| Logan Brycent Wiebe | Registered representative | May 2023 (3y) | ||
| Luke Daniel Russell | Registered representative | May 2023 (3y) | ||
| Robert Howell Frank | Registered representative | May 2023 (3y) | ||
| Thomas Chandler Gunnell | Registered representative | May 2023 (3y) | ||
| Andrew Lawrence Mussen | Registered representative | May 2023 (3y) | ||
| Bryan Michael Stebel | Registered representative | CFP | May 2023 (3y) | |
| Chad E Tallman | Registered representative | May 2023 (3y) | ||
| Cole Richmond Service Benzing | Registered representative | CFP | May 2023 (3y) | |
| Colin Kestner Cohen | Registered representative | May 2023 (3y) | ||
| Craig Thomas Johnson | Registered representative | May 2023 (3y) | ||
| David J Koch | Registered representative | May 2023 (3y) | ||
| Deron Scott Shymkewich | Registered representative | CFP | May 2023 (3y) | |
| Fred Paul Belknap | Registered representative | May 2023 (3y) | ||
| Gregg Warren Bowen | Registered representative | May 2023 (3y) | ||
| Jeffrey Farner Meyer | Registered representative | May 2023 (3y) | ||
| Joey Robert Lovgren | Registered representative | May 2023 (3y) | ||
| John Robert Petrus | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Joseph George Stassi | Registered representative | May 2023 (3y) | ||
| Joseph Michael Mccormick | Registered representative | May 2023 (3y) | ||
| Joshua Michael Arrowood | Registered representative | May 2023 (3y) | ||
| Justin David Bradford | Registered representative | May 2023 (3y) | ||
| Matthew Kevin Hartman | Registered representative | May 2023 (3y) | ||
| Mary Magdalene Vegh | Registered representative | May 2023 (3y) | ||
| Nicholas Edward Styczen | Registered representative | May 2023 (3y) | ||
| Richard Mark Taden | Registered representative | May 2023 (3y) | ||
| Richard Peter Steigerwald | Registered representative | CFP | May 2023 (3y) | |
| Robert John Bucci | Registered representative | CFP Chartered Financial Consultant | May 2023 (3y) | |
| Todd Anthony Lien | Registered representative | May 2023 (3y) | ||
| Ty Colby Hodges | Registered representative | CFP | May 2023 (3y) | |
| Annette Marie Wright | Registered representative | May 2023 (3y) | ||
| Amy Starlight Lawrence | Registered representative | May 2023 (3y) | ||
| Dominic F Perry | Registered representative | May 2023 (3y) | ||
| Louis Robert Civitarese | Registered representative | May 2023 (3y) | ||
| Robert Joseph Sikorski | Registered representative | CFP | May 2023 (3y) | |
| David Allan Anderson | Registered representative | May 2023 (3y) | ||
| Donald Edward Headley | Registered representative | May 2023 (3y) | ||
| Jacqueline Danielle Jenkins | Registered representative | May 2023 (3y) | ||
| Joshua Raymond Yoskosky | Registered representative | May 2023 (3y) | ||
| Kirk Anthony Sempsrott | Registered representative | May 2023 (3y) | ||
| Paul West Wallin | Registered representative | May 2023 (3y) | ||
| Thomas Gary Peterson | Registered representative | May 2023 (3y) | ||
| Tina Lynn Mclaskey | Registered representative | CFP | May 2023 (3y) | |
| Bradford Freeman Maltby | Registered representative | May 2023 (3y) | ||
| Brett Cebert Blair | Registered representative | May 2023 (3y) | ||
| Clinton Leslie Potts | Registered representative | May 2023 (3y) | ||
| Johnny Wayne Morrison | Registered representative | May 2023 (3y) | ||
| Melanie Christine Dohrman | Registered representative | CFP | May 2023 (3y) | |
| Michael A Piccione | Registered representative | May 2023 (3y) | ||
| Milissa Marie Hengel | Registered representative | May 2023 (3y) | ||
| Ronald C Jernigan | Registered representative | May 2023 (3y) | ||
| Scott Richard O'mara | Registered representative | CFP | May 2023 (3y) | |
| Steven Grady Carver | Registered representative | May 2023 (3y) | ||
| Charles William Snyder | Registered representative | May 2023 (3y) | ||
| Jack Wendell Griffith | Registered representative | May 2023 (3y) | ||
| Josef Matthew Stark | Registered representative | May 2023 (3y) | ||
| Justin Andrew Rosenblume | Registered representative | May 2023 (3y) | ||
| Lindsey Clark | Registered representative | May 2023 (3y) | ||
| Markellos Nicholas Marcou | Registered representative | May 2023 (3y) | ||
| Matthew Blackman | Registered representative | May 2023 (3y) | ||
| Matthew J Baumgartner | Registered representative | May 2023 (3y) | ||
| Robert Paul Abraham | Registered representative | May 2023 (3y) | ||
| Robert William Stephens | Registered representative | May 2023 (3y) | ||
| Scott Drury Lundberg | Registered representative | CFP | May 2023 (3y) | |
| Andrew Biagio Genovese | Registered representative | May 2023 (3y) | ||
| James Michael Milford | Registered representative | CFP | May 2023 (3y) | |
| Jesse Ray Garshak | Registered representative | May 2023 (3y) | ||
| Lawrence Lowe | Registered representative | May 2023 (3y) | ||
| Nicholas Adam Topp | Registered representative | May 2023 (3y) | ||
| Phillip Keith Jackson | Registered representative | May 2023 (3y) | ||
| Stephen Wayne Willis | Registered representative | May 2023 (3y) | ||
| William Avery Postma | Registered representative | May 2023 (3y) | ||
| Alan Harry Davidson | Registered representative | May 2023 (3y) | ||
| Alexian Gomberg | Registered representative | May 2023 (3y) | ||
| Malik Jamaal Mallory | Registered representative | May 2023 (3y) | ||
| Nicholas Champagne | Registered representative | May 2023 (3y) | ||
| Tammy Lynn Swann | Registered representative | May 2023 (3y) | ||
| Anthony John Bonner | Registered representative | May 2023 (3y) | ||
| Alexander Bradley Aucoin | Registered representative | May 2023 (3y) | ||
| Brian William Baird | Registered representative | May 2023 (3y) | ||
| Cosette Montgomery Gibson Mc Elroy | Registered representative | May 2023 (3y) | ||
| Eric Michael Frantz | Registered representative | May 2023 (3y) | ||
| Frank Robert Zocco | Registered representative | May 2023 (3y) | ||
| Jason Samuel Trippett | Registered representative | May 2023 (3y) | ||
| Jennifer Mouser Capell | Registered representative | CFP | May 2023 (3y) | |
| Jon David Coppola | Registered representative | May 2023 (3y) | ||
| Lauren Thorpe Hunter | Registered representative | May 2023 (3y) | ||
| Noah Moore Collier | Registered representative | May 2023 (3y) | ||
| Thomas J Fox | Registered representative | May 2023 (3y) | ||
| Tara Y Davis | Registered representative | May 2023 (3y) | ||
| Leor Baruch Getzel | Registered representative | May 2023 (3y) | ||
| Parker Lee Webb | Registered representative | May 2023 (3y) | ||
| Randolph Miles Peters | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Terence A Keratsopoulos | Registered representative | May 2023 (3y) | ||
| Trent Joseph Lockard | Registered representative | May 2023 (3y) | ||
| William Bowden Simmermon | Registered representative | May 2023 (3y) | ||
| Ashley Fernandez | Registered representative | May 2023 (3y) | ||
| Braden David Baer | Registered representative | May 2023 (3y) | ||
| Frank George Savage | Registered representative | May 2023 (3y) | ||
| Gregory Bernard Mc Elheny | Registered representative | May 2023 (3y) | ||
| Joseph James Di Biasi | Registered representative | May 2023 (3y) | ||
| Jason Edward Mlakar | Registered representative | May 2023 (3y) | ||
| Alexis Bowman | Registered representative | May 2023 (3y) | ||
| Bernard Anthony Unger | Registered representative | May 2023 (3y) | ||
| David Alan Paskievitch | Registered representative | May 2023 (3y) | ||
| Deborah Ann Swanson | Registered representative | CFP | May 2023 (3y) | |
| David Karl Holman | Registered representative | May 2023 (3y) | ||
| Gregory Adam Legate | Registered representative | May 2023 (3y) | ||
| Jane W Griffith | Registered representative | CFP | May 2023 (3y) | |
| Jason Scott Young | Registered representative | May 2023 (3y) | ||
| Melissa Dawn Poppell | Registered representative | May 2023 (3y) | ||
| Mark Joseph Hoge | Registered representative | May 2023 (3y) | ||
| Roberto De Jesus Cantu | Registered representative | May 2023 (3y) | ||
| Thomas Bruce Seamans | Registered representative | CFP | May 2023 (3y) | |
| Warren Davis Waters | Registered representative | CFP | May 2023 (3y) | |
| Alyssa Jordan Clark | Registered representative | May 2023 (3y) | ||
| Christopher Fowler Fulton | Registered representative | May 2023 (3y) | ||
| Gwendolyn Jeanne Floyd | Registered representative | May 2023 (3y) | ||
| Hanna Justine Wagner | Registered representative | May 2023 (3y) | ||
| Michael Grant Pannell | Registered representative | May 2023 (3y) | ||
| Mirnes Tursunovic | Registered representative | May 2023 (3y) | ||
| Richard Todd Robinson | Registered representative | May 2023 (3y) | ||
| Thomas Albert Zamagni | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Bruce Michael Cohen | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Destinee Nicole Chupp | Registered representative | Jun 2023 (3y) | ||
| Ferdinand Perez Pernia | Registered representative | Jun 2023 (3y) | ||
| Josh Haggard | Registered representative | CFP | Jun 2023 (3y) | |
| Kevin Lewis Kuntz | Registered representative | Jun 2023 (3y) | ||
| Kimberly Geneva Schmelz | Registered representative | Jun 2023 (3y) | ||
| Scott Michael Hartman | Registered representative | Jun 2023 (3y) | ||
| Shannon Lorraine Corpuz | Registered representative | Jun 2023 (3y) | ||
| Shawn Eugene Weber | Registered representative | Jun 2023 (3y) | ||
| Steven D. Elsea | Registered representative | Jun 2023 (3y) | ||
| Tammi Jo Ortega | Registered representative | CFP | Jun 2023 (3y) | |
| Uriel Batista | Registered representative | Jun 2023 (3y) | ||
| Adam Christopher Johnston | Registered representative | Jun 2023 (3y) | ||
| David Glenn Smith | Registered representative | CFP | Jun 2023 (3y) | |
| Dennis Alan Haubert | Registered representative | CFP | Jun 2023 (3y) | |
| Gregory Allen Peebles | Registered representative | Jun 2023 (3y) | ||
| Jeff Craig Dargatz | Registered representative | Jun 2023 (3y) | ||
| Julia Oh | Registered representative | Jun 2023 (3y) | ||
| Kelly Ann Purvis | Registered representative | Jun 2023 (3y) | ||
| Liam Maison | Registered representative | Jun 2023 (3y) | ||
| Shannon Schmidt | Registered representative | Jun 2023 (3y) | ||
| William James Sealey | Registered representative | Jun 2023 (3y) | ||
| John Meneses Tan | Registered representative | Jun 2023 (3y) | ||
| Caleb D Lilly | Registered representative | Jun 2023 (3y) | ||
| Cheryl Patricia Janik | Registered representative | Jun 2023 (3y) | ||
| Courtney Buddy Favor | Registered representative | Jun 2023 (3y) | ||
| Jason Christopher Gaynor | Registered representative | Jun 2023 (3y) | ||
| John Alan Kuntz | Registered representative | CFP | Jun 2023 (3y) | |
| Joseph Hall Mathias | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Pratik Kirtikumar Bhavsar | Registered representative | Jun 2023 (3y) | ||
| Renee Louise Dietz | Registered representative | Jun 2023 (3y) | ||
| Tori Catherine Lewis | Registered representative | CFP | Jun 2023 (3y) | |
| Brett Erich Leonhardt | Registered representative | Jun 2023 (3y) | ||
| Cortnie Marie Hodder | Registered representative | CFP | Jun 2023 (3y) | |
| Cory Britt Hoagstrom | Registered representative | Jun 2023 (3y) | ||
| Israel Epstein | Registered representative | Jun 2023 (3y) | ||
| John Francis Potter | Registered representative | Jun 2023 (3y) | ||
| Matthew Charles Fox | Registered representative | Jun 2023 (3y) | ||
| Michael Charles Riley | Registered representative | CFP | Jun 2023 (3y) | |
| Shannon Marie Sanders | Registered representative | Jun 2023 (3y) | ||
| William E Ferguson | Registered representative | Jun 2023 (3y) | ||
| Adham S Kaibni | Registered representative | Jun 2023 (3y) | ||
| Hui Z Yu | Registered representative | Jun 2023 (3y) | ||
| John J Benedetto | Registered representative | Jun 2023 (3y) | ||
| Joseph Cantanucci | Registered representative | Jun 2023 (3y) | ||
| Joshua David Winston | Registered representative | Jun 2023 (3y) | ||
| Marissa Lynn Main | Registered representative | Jun 2023 (3y) | ||
| William Tyler Johnson | Registered representative | Jun 2023 (3y) | ||
| Audrey Clair Gregg | Registered representative | Jun 2023 (3y) | ||
| Gregory John Russell | Registered representative | Jun 2023 (3y) | ||
| Jeff T. Erdman | Registered representative | Jun 2023 (3y) | ||
| John Daniel Treptow | Registered representative | Jun 2023 (3y) | ||
| Kenneth Aaron Van Houten | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Max Johann Rooney | Registered representative | CFP Chartered Financial Consultant | Jun 2023 (3y) | |
| Sally Ann Hawk | Registered representative | Jun 2023 (3y) | ||
| Andrew M Houte | Registered representative | CFP | Jun 2023 (3y) | |
| Douglas L Lilly | Registered representative | Jun 2023 (3y) | ||
| John Eric Moore | Registered representative | Jun 2023 (3y) | ||
| Laura Ellen Evans | Registered representative | CFP Chartered Financial Consultant | Jun 2023 (3y) | |
| Aaron Wayne De Long | Registered representative | Jun 2023 (3y) | ||
| David H Nitta | Registered representative | Jun 2023 (3y) | ||
| Edward James Foy | Registered representative | Jun 2023 (3y) | ||
| George Khalsa | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Henry Snyder | Registered representative | Jun 2023 (3y) | ||
| Matthew Aaron Mowrer | Registered representative | Jun 2023 (3y) | ||
| Maurice Schaefer | Registered representative | Jun 2023 (3y) | ||
| Richard James Rodak | Registered representative | Jun 2023 (3y) | ||
| Satnam Khalsa | Registered representative | Jun 2023 (3y) | ||
| Zachary David Quinn | Registered representative | Jun 2023 (3y) | ||
| Christopher Michael Ocepek | Registered representative | Jun 2023 (3y) | ||
| Jason Scott Dodson | Registered representative | Jun 2023 (3y) | ||
| John Joseph Foltz | Registered representative | Jun 2023 (3y) | ||
| Jacob Peter Mc Collum | Registered representative | Jun 2023 (3y) | ||
| Michael Lendell Foland | Registered representative | Jun 2023 (3y) | ||
| Nina Santich | Registered representative | Jun 2023 (3y) | ||
| Bryan T Schmitt | Registered representative | CFP | Jun 2023 (3y) | |
| Casey William Nelson | Registered representative | Jun 2023 (3y) | ||
| Christopher J Coffin | Registered representative | Jun 2023 (3y) | ||
| Edward Anthony Maruca | Registered representative | Jun 2023 (3y) | ||
| Edward Anthony Maruca | Registered representative | Jun 2023 (3y) | ||
| James Russell Malone | Registered representative | Jun 2023 (3y) | ||
| Michael Tatarko | Registered representative | Jun 2023 (3y) | ||
| Robert R. Maruca | Registered representative | Jun 2023 (3y) | ||
| Ryan Samuel Rodriguez | Registered representative | Jun 2023 (3y) | ||
| Thomas V Cherry | Registered representative | Jun 2023 (3y) | ||
| Visonja Andrianopoulos | Registered representative | Jun 2023 (3y) | ||
| Angela Kay Mitzel Saladis | Registered representative | Jun 2023 (3y) | ||
| John S Hunt | Registered representative | Jun 2023 (3y) | ||
| Jonathan Mike Moranchel | Registered representative | Jun 2023 (3y) | ||
| Jason Steiner | Registered representative | Jun 2023 (3y) | ||
| Jimmy Chase Mc Bee | Registered representative | Jun 2023 (3y) | ||
| Kevin Wayne Lively | Registered representative | Jun 2023 (3y) | ||
| Min Jong Sul | Registered representative | Jun 2023 (3y) | ||
| Robert Whaley Diehl | Registered representative | CFP | Jun 2023 (3y) | |
| Stephanie Berry Chapman | Registered representative | Jun 2023 (3y) | ||
| Todd Michael Graham | Registered representative | Jun 2023 (3y) | ||
| Troy Anthony Sanborn | Registered representative | Jun 2023 (3y) | ||
| Alexander George Moody | Registered representative | Jun 2023 (3y) | ||
| Bradley Alan Rist | Registered representative | Jun 2023 (3y) | ||
| David B Jenkins | Registered representative | Jun 2023 (3y) | ||
| Matthew Ryan Simon | Registered representative | Jun 2023 (3y) | ||
| Raja Govind Asava | Registered representative | Jun 2023 (3y) | ||
| Tonya Ann Cummings | Registered representative | Jun 2023 (3y) | ||
| Benjamin Reed Beecher | Registered representative | CFP | Jun 2023 (3y) | |
| Calvin Earl Keth | Registered representative | Jun 2023 (3y) | ||
| Daniel R Sopher | Registered representative | CFP | Jun 2023 (3y) | |
| Ieva Navarro | Registered representative | Jun 2023 (3y) | ||
| Isaac John Hart | Registered representative | CFP Chartered Financial Consultant | Jun 2023 (3y) | |
| Jeremy David Spellmeyer | Registered representative | Jun 2023 (3y) | ||
| John Gilbert Allensworth | Registered representative | Jun 2023 (3y) | ||
| Matthew Lee Malvitz | Registered representative | Jun 2023 (3y) | ||
| Matthew Steven Sopher | Registered representative | CFP | Jun 2023 (3y) | |
| Peyton W. Stauffer | Registered representative | Jun 2023 (3y) | ||
| Robert Entwistle | Registered representative | Jun 2023 (3y) | ||
| Sinan Asani | Registered representative | CFP Chartered Financial Consultant | Jun 2023 (3y) | |
| Daniel William Sopher | Registered representative | Jun 2023 (3y) | ||
| Farrell Olazo Dela Cruz | Registered representative | Jun 2023 (3y) | ||
| Gregg Alan Jehl | Registered representative | CFP | Jun 2023 (3y) | |
| Julie Ann Burenga | Registered representative | CFP | Jun 2023 (3y) | |
| Kevin Michael Kreilach | Registered representative | CFP | Jun 2023 (3y) | |
| Ralyn M Bocker | Registered representative | Jun 2023 (3y) | ||
| Stephen James Rohde | Registered representative | Jun 2023 (3y) | ||
| Tibor Laszlo Baksy | Registered representative | Jun 2023 (3y) | ||
| Christine Catherine Mallul | Registered representative | Jun 2023 (3y) | ||
| Dane Depolo | Registered representative | Jun 2023 (3y) | ||
| Jason Alexander Lira | Registered representative | Jun 2023 (3y) | ||
| Jeffrey David Kinsler | Registered representative | Jun 2023 (3y) | ||
| Randall Todd Williams | Registered representative | Jun 2023 (3y) | ||
| Christopher Michael Schommer | Registered representative | Jun 2023 (3y) | ||
| Emmie Elizabeth Ashwell | Registered representative | Jun 2023 (3y) | ||
| Michael Gordon Wendlandt | Registered representative | Jun 2023 (3y) | ||
| Brenna Nicole Vitus | Registered representative | Jun 2023 (3y) | ||
| Darren Scott Mason | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Eric Michael Bishop | Registered representative | Jun 2023 (3y) | ||
| Gloria Kay Ruuspakka | Registered representative | Jun 2023 (3y) | ||
| Jerry Allan Kanter | Registered representative | Jun 2023 (3y) | ||
| Marc John Miner | Registered representative | CFP | Jun 2023 (3y) | |
| Matthew Dennis | Registered representative | Jun 2023 (3y) | ||
| Christopher John Westerman | Registered representative | CFP | Jun 2023 (3y) | |
| Ian Mcdougall | Registered representative | CFP | Jun 2023 (3y) | |
| Jessica Lynn Catalan | Registered representative | Jun 2023 (3y) | ||
| Justin Anthony Maciak | Registered representative | Jun 2023 (3y) | ||
| Nicole Lynn Starbuck | Registered representative | Jun 2023 (3y) | ||
| Robert G. Wilkes | Registered representative | Jun 2023 (3y) | ||
| Randi Lynn Harrison | Registered representative | Jun 2023 (3y) | ||
| Robert Andrew Bakker | Registered representative | Jun 2023 (3y) | ||
| William Edwin Nicholas Wolfe | Registered representative | Jun 2023 (3y) | ||
| Benjamin Edwin Bolen | Registered representative | Jun 2023 (3y) | ||
| Brendan Flynn Mcnamara | Registered representative | Jun 2023 (3y) | ||
| David W Rodgers | Registered representative | CFP | Jun 2023 (3y) | |
| Robert Warren Sundermann | Registered representative | Jun 2023 (3y) | ||
| William M Meyer | Registered representative | Jun 2023 (3y) | ||
| Brianne Beth Mosbach | Registered representative | Jun 2023 (3y) | ||
| Christopher Eero Helin | Registered representative | CFP | Jun 2023 (3y) | |
| Christopher John Mikolajczewski | Registered representative | Jun 2023 (3y) | ||
| Curt C Edwards | Registered representative | CFP Chartered Financial Consultant | Jun 2023 (3y) | |
| Eustace Peter Fernandes | Registered representative | Jun 2023 (3y) | ||
| Evan Michael Murphy | Registered representative | CFP | Jun 2023 (3y) | |
| Jorge E Romero | Registered representative | CFP | Jun 2023 (3y) | |
| Andrew Currie Anderson | Registered representative | Jun 2023 (3y) | ||
| Andrew Fortunato Clemenza | Registered representative | Jun 2023 (3y) | ||
| Brandon Garrett Powell | Registered representative | Jun 2023 (3y) | ||
| David Brian Hesler | Registered representative | Jun 2023 (3y) | ||
| Dennis Lynn Starbuck | Registered representative | CFP | Jun 2023 (3y) | |
| Jason Eric Johnson | Registered representative | Jun 2023 (3y) | ||
| Joseph Tarquini | Registered representative | Jun 2023 (3y) | ||
| Julio Vozza | Registered representative | Jun 2023 (3y) | ||
| Jacob Fink | Registered representative | Jun 2023 (3y) | ||
| Kiley Sorale Demery | Registered representative | Jun 2023 (3y) | ||
| Kimberly Lyne Friedman | Registered representative | Jun 2023 (3y) | ||
| Michael Saverio Longo | Registered representative | Jun 2023 (3y) | ||
| Michael Todd Brezovec | Registered representative | Jun 2023 (3y) | ||
| Robert Peyton Herndon | Registered representative | Jun 2023 (3y) | ||
| Sandra Danielle Goodman | Registered representative | Jun 2023 (3y) | ||
| Scott Alan Katzenbarger | Registered representative | Jun 2023 (3y) | ||
| Tammy Tenney Paquette | Registered representative | Jun 2023 (3y) | ||
| Carlene Edith Barajas | Registered representative | Jul 2023 (3y) | ||
| Jason Matthew Nelson | Registered representative | CFP | Jul 2023 (3y) | |
| Matthew Jordan Yale | Registered representative | Jul 2023 (3y) | ||
| Michael Joseph D'angelis | Registered representative | Jul 2023 (3y) | ||
| Beatrice Rauch | Registered representative | Jul 2023 (3y) | ||
| Brenda Laura Isabel Monk | Registered representative | Jul 2023 (3y) | ||
| Derrick Shane Clark | Registered representative | Jul 2023 (3y) | ||
| Edward Taylor Mc Dannold | Registered representative | Jul 2023 (3y) | ||
| Gary Daniel Lucas | Registered representative | Jul 2023 (3y) | ||
| Jon Kevin Reynolds | Registered representative | Jul 2023 (3y) | ||
| Michael Joseph Cook | Registered representative | Jul 2023 (3y) | ||
| Mark Joseph Peiffer | Registered representative | Jul 2023 (3y) | ||
| Robert Antonacci | Registered representative | Jul 2023 (3y) | ||
| Bruce Michael Neterer | Registered representative | Jul 2023 (3y) | ||
| Chase Christian Gould | Registered representative | Jul 2023 (3y) | ||
| David Andrew Altemus | Registered representative | Jul 2023 (3y) | ||
| Helen Hoang Altemus | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Henry Krich | Registered representative | Jul 2023 (3y) | ||
| Moreland Binford Bell | Registered representative | Jul 2023 (3y) | ||
| Peter Louis Pashos | Registered representative | Jul 2023 (3y) | ||
| Robert Earl Stanlick | Registered representative | Jul 2023 (3y) | ||
| Zachary Clayton Youngblood | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Angela Denise Cantin | Registered representative | Jul 2023 (3y) | ||
| Brittany Mc Allister | Registered representative | Jul 2023 (3y) | ||
| Brooke Angela Gibbard | Registered representative | Jul 2023 (3y) | ||
| Chancy Anthony Darcangelis | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Cari A Anderson | Registered representative | Jul 2023 (3y) | ||
| Cole M Hunt | Registered representative | Jul 2023 (3y) | ||
| David Russo | Registered representative | CFP | Jul 2023 (3y) | |
| Edward George Murphy | Registered representative | CFP | Jul 2023 (3y) | |
| Gary L Altman | Registered representative | Jul 2023 (3y) | ||
| Mark Reedy | Registered representative | Jul 2023 (3y) | ||
| Michael Nathan Paulson | Registered representative | Jul 2023 (3y) | ||
| Steven Russo | Registered representative | Jul 2023 (3y) | ||
| Timothy Michael Conway | Registered representative | Jul 2023 (3y) | ||
| Bill Nick Polizos | Registered representative | Jul 2023 (3y) | ||
| Corey Jason Baker | Registered representative | Jul 2023 (3y) | ||
| Lisa Caiazzo Calongne | Registered representative | Jul 2023 (3y) | ||
| Ashley Renee Rosser | Registered representative | Jul 2023 (3y) | ||
| Gregory Lee Howell | Registered representative | Jul 2023 (3y) | ||
| John Joseph Moravek | Registered representative | CFP | Jul 2023 (3y) | |
| Lindsey Marie Williams | Registered representative | Jul 2023 (3y) | ||
| Peter Benjamin Kauffman | Registered representative | Jul 2023 (3y) | ||
| Ronald J Pratt | Registered representative | Jul 2023 (3y) | ||
| Steven Alan Green | Registered representative | Jul 2023 (3y) | ||
| John Patrick Keating | Registered representative | Jul 2023 (3y) | ||
| Mikal J Moranz | Registered representative | Jul 2023 (3y) | ||
| Jeffrey Paul Little | Registered representative | Jul 2023 (3y) | ||
| Molly Anne Montgomery | Registered representative | Jul 2023 (3y) | ||
| Tyler Finney | Registered representative | CFP | Jul 2023 (3y) | |
| Vanessa M Mason | Registered representative | Jul 2023 (3y) | ||
| Brian Joseph Ullmann | Registered representative | CFP | Jul 2023 (3y) | |
| Christopher Michael Reaume | Registered representative | Jul 2023 (3y) | ||
| Dennis Ray Schafer | Registered representative | Jul 2023 (3y) | ||
| Erika Ann Greeney | Registered representative | Jul 2023 (3y) | ||
| Jennifer Dawn Lyman | Registered representative | Jul 2023 (3y) | ||
| Kathleen Anne Mulhern Webster | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Mitchell Allan Schafer | Registered representative | Jul 2023 (3y) | ||
| Nanette Bouvier Rediker | Registered representative | Jul 2023 (3y) | ||
| Alicia Michelle Boylan | Registered representative | Jul 2023 (3y) | ||
| Jake Alexander Mclean | Registered representative | Jul 2023 (3y) | ||
| Maxwell Bonevento | Registered representative | Jul 2023 (3y) | ||
| Richard Calvert Donahue | Registered representative | CFP | Jul 2023 (3y) | |
| Valery Anahi Capuchino | Registered representative | Jul 2023 (3y) | ||
| Alycemay Lois Quastad | Registered representative | Jul 2023 (3y) | ||
| Amy Kristine King | Registered representative | CFP | Jul 2023 (3y) | |
| Andres R Casas | Registered representative | Jul 2023 (3y) | ||
| Anna Daisy Leon | Registered representative | Jul 2023 (3y) | ||
| Bettina Thien Tran | Registered representative | CFP | Jul 2023 (3y) | |
| Brian John Mchenry | Registered representative | Jul 2023 (3y) | ||
| Batkhuu Batjargal | Registered representative | Jul 2023 (3y) | ||
| Berta Alicia Gordon | Registered representative | Jul 2023 (3y) | ||
| Chad Michael Webster | Registered representative | Jul 2023 (3y) | ||
| Charles K Truong | Registered representative | Jul 2023 (3y) | ||
| Christopher Michael Rea | Registered representative | Jul 2023 (3y) | ||
| Craig Jahncke Mcgrath | Registered representative | Jul 2023 (3y) | ||
| Curtis Lee Thornton | Registered representative | Jul 2023 (3y) | ||
| Clifford F Robbins | Registered representative | Jul 2023 (3y) | ||
| David Glynn Tyson | Registered representative | Jul 2023 (3y) | ||
| Dennis Christopher Quan | Registered representative | Jul 2023 (3y) | ||
| Diana Ho Chan | Registered representative | Jul 2023 (3y) | ||
| Douglas Brent Arnell | Registered representative | Jul 2023 (3y) | ||
| Drewe Lynn Robinson | Registered representative | Jul 2023 (3y) | ||
| Dan Michael Santillan | Registered representative | Jul 2023 (3y) | ||
| De Anne Kay Krull | Registered representative | Jul 2023 (3y) | ||
| Eric Robert Schreiner | Registered representative | Jul 2023 (3y) | ||
| Edgar A Acosta | Registered representative | Jul 2023 (3y) | ||
| Francis Jacobs | Registered representative | Jul 2023 (3y) | ||
| Gabriel Dibildox | Registered representative | Jul 2023 (3y) | ||
| Geoff Louis Grabe | Registered representative | Jul 2023 (3y) | ||
| Greg Laurence Coburn | Registered representative | CFP | Jul 2023 (3y) | |
| Gregory Francois Philippe Achard | Registered representative | Jul 2023 (3y) | ||
| Grant Walter Kincade | Registered representative | CFP | Jul 2023 (3y) | |
| Hamy Sharifi | Registered representative | Jul 2023 (3y) | ||
| Isaac Martin Suazo | Registered representative | Jul 2023 (3y) | ||
| Jacob John Brodt | Registered representative | Jul 2023 (3y) | ||
| Jeffery Alex Mckannay | Registered representative | Jul 2023 (3y) | ||
| Jeffery James Maynard | Registered representative | Jul 2023 (3y) | ||
| Jesse Thurber | Registered representative | CFP | Jul 2023 (3y) | |
| Jessica Arlin Dun Young | Registered representative | Jul 2023 (3y) | ||
| Jody Lee Mcnerney | Registered representative | Jul 2023 (3y) | ||
| John E Thornton | Registered representative | Jul 2023 (3y) | ||
| Julian Cruz | Registered representative | Jul 2023 (3y) | ||
| Junko Nagai | Registered representative | Jul 2023 (3y) | ||
| Justin M. Deutschmann | Registered representative | Jul 2023 (3y) | ||
| Jacek Alexander Holzwieser | Registered representative | Jul 2023 (3y) | ||
| Jacob Christopher Somero | Registered representative | Jul 2023 (3y) | ||
| James Howe | Registered representative | Jul 2023 (3y) | ||
| Jason Masaaki Tajima | Registered representative | Jul 2023 (3y) | ||
| Jason Meiwes | Registered representative | Jul 2023 (3y) | ||
| Jeff Brian Yankauskas | Registered representative | Jul 2023 (3y) | ||
| Jordan Albert Quinn | Registered representative | CFP | Jul 2023 (3y) | |
| Joyce Mueni Lello | Registered representative | Jul 2023 (3y) | ||
| Karsten David Melgaard | Registered representative | Jul 2023 (3y) | ||
| Keith Richard Zavala | Registered representative | Jul 2023 (3y) | ||
| Kelly Orlan Cooper | Registered representative | Jul 2023 (3y) | ||
| Kevin Clinton Loyd | Registered representative | Jul 2023 (3y) | ||
| Lance Victor Cannon | Registered representative | Jul 2023 (3y) | ||
| Mei Cheung | Registered representative | Jul 2023 (3y) | ||
| Milap Shah | Registered representative | Jul 2023 (3y) | ||
| Monessa N Duran | Registered representative | Jul 2023 (3y) | ||
| Nicholas Joel Engel | Registered representative | Jul 2023 (3y) | ||
| Rachael S Christensen | Registered representative | Jul 2023 (3y) | ||
| Raul Hernandez | Registered representative | Jul 2023 (3y) | ||
| Rodney Ray Gates | Registered representative | Jul 2023 (3y) | ||
| Russell Allen Burch | Registered representative | Jul 2023 (3y) | ||
| Ruth Bettencourt Freitas | Registered representative | Jul 2023 (3y) | ||
| Rachel Eboch | Registered representative | Jul 2023 (3y) | ||
| Randall Silva | Registered representative | Jul 2023 (3y) | ||
| Regina Arnold Leathers | Registered representative | Jul 2023 (3y) | ||
| Robert Gallagher | Registered representative | Jul 2023 (3y) | ||
| Rohan Rashid | Registered representative | Jul 2023 (3y) | ||
| Ross Warren Benson | Registered representative | CFP | Jul 2023 (3y) | |
| Saba C Jahanian | Registered representative | Jul 2023 (3y) | ||
| Samineh Najafi Shaeghi | Registered representative | CFP | Jul 2023 (3y) | |
| Scott Archie Stone | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Sean Michael Mullin | Registered representative | Jul 2023 (3y) | ||
| Seth Alden Watson | Registered representative | Jul 2023 (3y) | ||
| Smansa Chu | Registered representative | Jul 2023 (3y) | ||
| Stephen Brian Rouse | Registered representative | Jul 2023 (3y) | ||
| Thomas Edward Cochran | Registered representative | Jul 2023 (3y) | ||
| Troy A Ross | Registered representative | Jul 2023 (3y) | ||
| Talhon Ford Campbell | Registered representative | Jul 2023 (3y) | ||
| Tiffney Chang | Registered representative | Jul 2023 (3y) | ||
| Tony Tat Yan Lam | Registered representative | Jul 2023 (3y) | ||
| Yama Jamili | Registered representative | CFP | Jul 2023 (3y) | |
| Anush Keshishyan | Registered representative | Jul 2023 (3y) | ||
| Amanda Nicole Lamar | Registered representative | Jul 2023 (3y) | ||
| Brandon Scott | Registered representative | Jul 2023 (3y) | ||
| Joshua Monroe Childers | Registered representative | Jul 2023 (3y) | ||
| Patrick Ryan Johnson | Registered representative | CFP | Jul 2023 (3y) | |
| Paul James Contos | Registered representative | CFP | Jul 2023 (3y) | |
| Victor Manuel De La Rosa | Registered representative | Jul 2023 (3y) | ||
| Wesley Erik Smith | Registered representative | Jul 2023 (3y) | ||
| Brent M Fisk | Registered representative | Jul 2023 (3y) | ||
| David Randall Schadel | Registered representative | CFP | Jul 2023 (3y) | |
| John Pikras | Registered representative | Jul 2023 (3y) | ||
| Alvin R Anton | Registered representative | Jul 2023 (3y) | ||
| Brett Gabriel Williams | Registered representative | Jul 2023 (3y) | ||
| Daniel James Prentice | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Kevin Robert Lonergan | Registered representative | Jul 2023 (3y) | ||
| Mary Ellen Oestmann | Registered representative | Jul 2023 (3y) | ||
| Michael Joseph Fiammetta | Registered representative | Jul 2023 (3y) | ||
| Michael P Orihel | Registered representative | Jul 2023 (3y) | ||
| Peter Richard Holland | Registered representative | Jul 2023 (3y) | ||
| Robert John Bohne | Registered representative | Jul 2023 (3y) | ||
| Roisin Mary D'angelo | Registered representative | Jul 2023 (3y) | ||
| Stefan Gene D'angelo | Registered representative | CFP | Jul 2023 (3y) | |
| William Howard Powers | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Christopher Ray Rotberg | Registered representative | CFP | Jul 2023 (3y) | |
| David Allen Strandin | Registered representative | Jul 2023 (3y) | ||
| David M Alshay | Registered representative | CFP | Jul 2023 (3y) | |
| Mark Donald Allison | Registered representative | Jul 2023 (3y) | ||
| Mark Thomas Eberle | Registered representative | Jul 2023 (3y) | ||
| Matthew Connelly Tabler | Registered representative | Jul 2023 (3y) | ||
| Cynthia Autenreith | Registered representative | Jul 2023 (3y) | ||
| Robert Duffy Tracy | Registered representative | CFP | Jul 2023 (3y) | |
| Brian Scarr | Registered representative | Jul 2023 (3y) | ||
| Caroline Marie Kwiatkowski | Registered representative | Jul 2023 (3y) | ||
| Jeffrey Scott Pirkl | Registered representative | Jul 2023 (3y) | ||
| Joshua Lambert | Registered representative | CFP | Jul 2023 (3y) | |
| Alex Robert Buellesbach | Registered representative | Jul 2023 (3y) | ||
| Cody Nicholas Rickaway | Registered representative | CFP | Jul 2023 (3y) | |
| Damian Thomas Prajer | Registered representative | Jul 2023 (3y) | ||
| John R Gordon | Registered representative | Jul 2023 (3y) | ||
| James Leon Farrish | Registered representative | Jul 2023 (3y) | ||
| Mark Christopher Ramsey | Registered representative | Jul 2023 (3y) | ||
| Steven S Miodonski | Registered representative | Jul 2023 (3y) | ||
| Heather Forbes Newell | Registered representative | Jul 2023 (3y) | ||
| Rebecca Adams Hollis | Registered representative | Jul 2023 (3y) | ||
| Anthony John Gizzarelli | Registered representative | CFP | Aug 2023 (3y) | |
| James Evan Fanning | Registered representative | CFP | Aug 2023 (3y) | |
| John Richard Klein | Registered representative | CFP Chartered Financial Consultant | Aug 2023 (3y) | |
| Jonathan Lovecchio | Registered representative | Aug 2023 (3y) | ||
| Jennifer Marie James | Registered representative | Aug 2023 (3y) | ||
| Kara Miller | Registered representative | Aug 2023 (3y) | ||
| Kevin Richard Rose | Registered representative | CFP | Aug 2023 (3y) | |
| Summer Nicole Rudder | Registered representative | Aug 2023 (3y) | ||
| Sydney Leigh Abraham | Registered representative | Aug 2023 (3y) | ||
| Daniel Oliver Mackey | Registered representative | Aug 2023 (3y) | ||
| J. Brendan Wood | Registered representative | Aug 2023 (3y) | ||
| Larry Blake Bailey | Registered representative | Aug 2023 (3y) | ||
| Maria Elizabeth Zoll | Registered representative | Aug 2023 (3y) | ||
| David Michael Robertson | Registered representative | Aug 2023 (3y) | ||
| Glen Kevin Sundberg | Registered representative | Aug 2023 (3y) | ||
| Jessica M Bricker | Registered representative | CFP | Aug 2023 (3y) | |
| Kevin Clayton Keil | Registered representative | Aug 2023 (3y) | ||
| Kevin James Gilligan | Registered representative | Aug 2023 (3y) | ||
| Lawrence M Goldstein | Registered representative | Aug 2023 (3y) | ||
| Mary Jo Gilligan | Registered representative | Aug 2023 (3y) | ||
| Ryan Joseph Pinkerton | Registered representative | Aug 2023 (3y) | ||
| Andrew I Hayek | Registered representative | CFP | Aug 2023 (3y) | |
| Bratati Bea Mukherjee | Registered representative | Aug 2023 (3y) | ||
| Cory M Gresham | Registered representative | Aug 2023 (3y) | ||
| Jordan Robert Ludewig | Registered representative | Aug 2023 (3y) | ||
| Jennifer S Hamlyn | Registered representative | Aug 2023 (3y) | ||
| Noah Gonzales | Registered representative | Aug 2023 (3y) | ||
| David Anthony Wyzgowski | Registered representative | Aug 2023 (3y) | ||
| David Duane Jones | Registered representative | Aug 2023 (3y) | ||
| Dawn Irene Makurat | Registered representative | Aug 2023 (3y) | ||
| Douglas David Zweig | Registered representative | CFP | Aug 2023 (3y) | |
| John William Weaver | Registered representative | Aug 2023 (3y) | ||
| Jacob P Pape | Registered representative | Aug 2023 (3y) | ||
| Natalie Moon Lim Taylor | Registered representative | Aug 2023 (3y) | ||
| Paul Dykes | Registered representative | Aug 2023 (3y) | ||
| Richard Durant Adams | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| Ronald S. Zweig | Registered representative | Aug 2023 (3y) | ||
| Steve C Boeckmann | Registered representative | CFP Chartered Financial Consultant | Aug 2023 (3y) | |
| David M Kraus | Registered representative | Aug 2023 (3y) | ||
| Leon Montgomery | Registered representative | Aug 2023 (3y) | ||
| Nicole Marie Geiger | Registered representative | Aug 2023 (3y) | ||
| Pasqualino Ruffa | Registered representative | CFP | Aug 2023 (3y) | |
| Robert Caito Nugent | Registered representative | Aug 2023 (3y) | ||
| Roger John Relucio | Registered representative | CFP | Aug 2023 (3y) | |
| Colleen Ann Schuler | Registered representative | CFP | Aug 2023 (3y) | |
| David Mancuso | Registered representative | Aug 2023 (3y) | ||
| James William Boland | Registered representative | Aug 2023 (3y) | ||
| John Thomas Gibson | Registered representative | CFP | Aug 2023 (3y) | |
| Richard Patrick Biagiotti | Registered representative | CFP | Aug 2023 (3y) | |
| Richard Wiggins | Registered representative | Aug 2023 (3y) | ||
| Jason Matthew Nenadov | Registered representative | Aug 2023 (3y) | ||
| Matthew James Holbrook | Registered representative | CFP | Aug 2023 (3y) | |
| Nury Sair Hyre | Registered representative | Aug 2023 (3y) | ||
| William Harless | Registered representative | Aug 2023 (3y) | ||
| Aaron Stephen Murphy | Registered representative | Aug 2023 (3y) | ||
| David Michael Lalonde | Registered representative | Aug 2023 (3y) | ||
| Derek R Mac Farlane | Registered representative | Aug 2023 (3y) | ||
| Timothy Jay Van Slooten | Registered representative | Aug 2023 (3y) | ||
| Casey Anne Fox | Registered representative | Aug 2023 (3y) | ||
| Christopher Graham Stewart | Registered representative | Aug 2023 (3y) | ||
| Christopher Milton Dock | Registered representative | Aug 2023 (3y) | ||
| Isaac David Quella | Registered representative | Aug 2023 (3y) | ||
| James Staurt Otto | Registered representative | Aug 2023 (3y) | ||
| Kevin William Hostert | Registered representative | CFP | Aug 2023 (3y) | |
| Kyle Hess Richardson | Registered representative | CFP | Aug 2023 (3y) | |
| Marissa A Cosenza | Registered representative | Aug 2023 (3y) | ||
| Michael Bishop Moore | Registered representative | Aug 2023 (3y) | ||
| Richard Samuel Liberante | Registered representative | Aug 2023 (3y) | ||
| Robert Chad Denton | Registered representative | CFP | Aug 2023 (3y) | |
| Ronald Thomas Davies | Registered representative | Aug 2023 (3y) | ||
| Scott Duane Van Wyngarden | Registered representative | Aug 2023 (3y) | ||
| Stephen Victor Wolff | Registered representative | Aug 2023 (3y) | ||
| Thomas James Mcdavitt | Registered representative | Aug 2023 (3y) | ||
| Tyler Allen Brilinski | Registered representative | CFP | Aug 2023 (3y) | |
| Benjamin Paul Burkley | Registered representative | Aug 2023 (3y) | ||
| Carmen Guy Cercone | Registered representative | Aug 2023 (3y) | ||
| Charles Edwin Hatch | Registered representative | CFP | Aug 2023 (3y) | |
| Jacob Guy Cercone | Registered representative | Aug 2023 (3y) | ||
| James Lee Bruce | Registered representative | Aug 2023 (3y) | ||
| Jordan Michael Duvall | Registered representative | Aug 2023 (3y) | ||
| Jared Sidney Cromley | Registered representative | Aug 2023 (3y) | ||
| Michael Brett Mcmahon | Registered representative | Aug 2023 (3y) | ||
| Ronald Anwar | Registered representative | Aug 2023 (3y) | ||
| Samuel Koessl | Registered representative | Aug 2023 (3y) | ||
| Stephen Joseph Koessl | Registered representative | Aug 2023 (3y) | ||
| Travis Stanley Barnes | Registered representative | CFP | Aug 2023 (3y) | |
| Travis Jeremy Holgate | Registered representative | Aug 2023 (3y) | ||
| William Gale Stracener | Registered representative | Aug 2023 (3y) | ||
| Andrew C Love | Registered representative | Aug 2023 (3y) | ||
| Beth Ann Hoock | Registered representative | Aug 2023 (3y) | ||
| Brittany Dawn Thompson | Registered representative | Aug 2023 (3y) | ||
| Bryan Mcdavitt | Registered representative | Aug 2023 (3y) | ||
| Camille Marie Marolf | Registered representative | Aug 2023 (3y) | ||
| Christopher Joseph Mickey | Registered representative | Aug 2023 (3y) | ||
| Christopher Layne Ward | Registered representative | Aug 2023 (3y) | ||
| Dallas Coy Clemens | Registered representative | Aug 2023 (3y) | ||
| Daniel Joseph Esselman | Registered representative | Aug 2023 (3y) | ||
| Daniel Richard Matter | Registered representative | Aug 2023 (3y) | ||
| Darrin Adrian Andrews | Registered representative | Aug 2023 (3y) | ||
| Eric Gregory Oppelz | Registered representative | Aug 2023 (3y) | ||
| James Thomas Blalock | Registered representative | Aug 2023 (3y) | ||
| John Alan Lockhart | Registered representative | Aug 2023 (3y) | ||
| John Tyler Stevens | Registered representative | Aug 2023 (3y) | ||
| Joseph Michael Costello | Registered representative | Aug 2023 (3y) | ||
| John Michael Priester | Registered representative | CFP | Aug 2023 (3y) | |
| Karen Harth | Registered representative | Aug 2023 (3y) | ||
| Kyle Scott Clemson | Registered representative | CFP | Aug 2023 (3y) | |
| Lisa Ann May | Registered representative | Aug 2023 (3y) | ||
| Lori Dee Mackaben | Registered representative | Aug 2023 (3y) | ||
| Megan Marie Stirrat | Registered representative | Aug 2023 (3y) | ||
| Michael Christopher Unnerstall | Registered representative | Aug 2023 (3y) | ||
| Michael Robert Holder | Registered representative | Aug 2023 (3y) | ||
| Maxwell Jared Synon | Registered representative | Aug 2023 (3y) | ||
| Robert J Phillips | Registered representative | Aug 2023 (3y) | ||
| Seth Allan Keethler | Registered representative | Aug 2023 (3y) | ||
| Steven Anthony Gambino | Registered representative | Aug 2023 (3y) | ||
| Tenley Young Hardt | Registered representative | Aug 2023 (3y) | ||
| Vijay Brahmbhatt | Registered representative | Aug 2023 (3y) | ||
| Barry Charles Clapper | Registered representative | Aug 2023 (3y) | ||
| Barry Lewis Thomas | Registered representative | Aug 2023 (3y) | ||
| Brian Christopher Shedleski | Registered representative | CFP | Aug 2023 (3y) | |
| Casimir Joseph Karnish | Registered representative | Aug 2023 (3y) | ||
| Cynthia Leigh Powell | Registered representative | Aug 2023 (3y) | ||
| Daniel Yutzy | Registered representative | Aug 2023 (3y) | ||
| Francis Alexander Sciecinski | Registered representative | Aug 2023 (3y) | ||
| Frank William Runco | Registered representative | Aug 2023 (3y) | ||
| Hokon Brian Yun | Registered representative | Aug 2023 (3y) | ||
| James Andrews Dunn | Registered representative | Aug 2023 (3y) | ||
| Katherine Elizabeth Wentling | Registered representative | Aug 2023 (3y) | ||
| Kenneth Robert Gallagher | Registered representative | Aug 2023 (3y) | ||
| Linda J Worthington | Registered representative | Aug 2023 (3y) | ||
| Matthew Cappelletti | Registered representative | Aug 2023 (3y) | ||
| Michael John Skubon | Registered representative | Aug 2023 (3y) | ||
| Michelle Medleycott Joyce | Registered representative | Aug 2023 (3y) | ||
| Mitchell Robert Cable | Registered representative | Aug 2023 (3y) | ||
| Patrick Brian Devlin | Registered representative | Aug 2023 (3y) | ||
| Richard Robert Rose | Registered representative | Aug 2023 (3y) | ||
| Rosemarie Elizabeth Foster | Registered representative | Aug 2023 (3y) | ||
| Seth Marshall Mchenry | Registered representative | Aug 2023 (3y) | ||
| Sharon Jeanette Goss | Registered representative | Aug 2023 (3y) | ||
| Theresa M Riley | Registered representative | Aug 2023 (3y) | ||
| Timothy Watson Flynn | Registered representative | Aug 2023 (3y) | ||
| Aaron Cosmo Montez | Registered representative | CFP | Aug 2023 (3y) | |
| Adrian John Paich | Registered representative | Aug 2023 (3y) | ||
| Andrew D Tuell | Registered representative | Aug 2023 (3y) | ||
| Andrew William St.John | Registered representative | Aug 2023 (3y) | ||
| Cody Brannon Moore | Registered representative | Aug 2023 (3y) | ||
| Daniel Logsdon Putman | Registered representative | CFP | Aug 2023 (3y) | |
| Darrin Stuart Cohen | Registered representative | Aug 2023 (3y) | ||
| Derwyn Castro Anda | Registered representative | Aug 2023 (3y) | ||
| Ethan Dean Berube | Registered representative | CFP | Aug 2023 (3y) | |
| Giuseppe Terranova | Registered representative | Aug 2023 (3y) | ||
| Humberto Rury Jimenez | Registered representative | Aug 2023 (3y) | ||
| Jacob Kelly Sanders | Registered representative | CFP | Aug 2023 (3y) | |
| Jeffrey Wayne Hansen | Registered representative | CFP | Aug 2023 (3y) | |
| Joseph Tecklenburg | Registered representative | CFP Chartered Financial Consultant | Aug 2023 (3y) | |
| Joseph Wayne Thompson | Registered representative | Aug 2023 (3y) | ||
| Kurt (Nmi) Oswald | Registered representative | Aug 2023 (3y) | ||
| Robert Hugh Holland | Registered representative | Aug 2023 (3y) | ||
| Ryan Scott Kidd | Registered representative | Aug 2023 (3y) | ||
| Robert Davis Williams | Registered representative | Aug 2023 (3y) | ||
| Sean Guill | Registered representative | Aug 2023 (3y) | ||
| Sondra Jane Turnbach | Registered representative | Aug 2023 (3y) | ||
| Shelby C Masen | Registered representative | Aug 2023 (3y) | ||
| Tammy S Stephan | Registered representative | Aug 2023 (3y) | ||
| Wade Alan Masen | Registered representative | Aug 2023 (3y) | ||
| Zachary H Armstrong | Registered representative | Aug 2023 (3y) | ||
| Austin Matthew Smith | Registered representative | Aug 2023 (3y) | ||
| Kyle Thomas Hammen | Registered representative | Aug 2023 (3y) | ||
| Raanan Yoav Pritzker | Registered representative | CFA | Aug 2023 (3y) | |
| Steven Richard Santucci | Registered representative | Aug 2023 (3y) | ||
| Samantha Lynn Melching | Registered representative | Aug 2023 (3y) | ||
| Tommy Neal Foushee | Registered representative | CFP | Aug 2023 (3y) | |
| Jeremiah J Rogers | Registered representative | Aug 2023 (3y) | ||
| Nathan Abbott | Registered representative | Aug 2023 (3y) | ||
| William Edward Winegar | Registered representative | Aug 2023 (3y) | ||
| Aaron M Gordon | Registered representative | CFP | Aug 2023 (3y) | |
| Brian Scott Brenneman | Registered representative | Aug 2023 (3y) | ||
| David Andrew Hall | Registered representative | Aug 2023 (3y) | ||
| Marilyn Freed Allen | Registered representative | Aug 2023 (3y) | ||
| Nasar Aboubakare | Registered representative | Aug 2023 (3y) | ||
| Peter William Coughlin | Registered representative | Aug 2023 (3y) | ||
| Amir Hossein Haddadzadeh Moshaeehaee | Registered representative | Aug 2023 (3y) | ||
| Daisy Stevens Rojas | Registered representative | Aug 2023 (3y) | ||
| Armand Patrick Glassman | Registered representative | CFP | Aug 2023 (3y) | |
| Carlos Javier Lopez | Registered representative | Aug 2023 (3y) | ||
| Danette K Carr | Registered representative | Aug 2023 (3y) | ||
| Grant Andrews | Registered representative | Aug 2023 (3y) | ||
| Kathryn Marie Holland | Registered representative | CFP | Aug 2023 (3y) | |
| Richard Kordas | Registered representative | Aug 2023 (3y) | ||
| Abigail Alexandra Adams | Registered representative | Aug 2023 (3y) | ||
| Brianna Morgan Komondor | Registered representative | Aug 2023 (3y) | ||
| Chandler Isaac Jenson | Registered representative | Aug 2023 (3y) | ||
| Nathan John Woolstenhulme | Registered representative | Aug 2023 (3y) | ||
| Romney Kay Cox | Registered representative | CFP | Aug 2023 (3y) | |
| Vivian Fengi Chuan Sun | Registered representative | Aug 2023 (3y) | ||
| Andrew Elliot Holt | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| Chase Eric Jenson | Registered representative | Aug 2023 (3y) | ||
| Edward Joseph Sullivan | Registered representative | CFP | Aug 2023 (3y) | |
| Lauren Catherine Fuller | Registered representative | Aug 2023 (3y) | ||
| Rachel Lynn Click | Registered representative | Aug 2023 (3y) | ||
| Scott Allen Webster | Registered representative | Aug 2023 (3y) | ||
| Stephen John Koorey | Registered representative | Aug 2023 (3y) | ||
| Todd Brandon Feldman | Registered representative | Aug 2023 (3y) | ||
| Tuongvan Thi Nguyen | Registered representative | Aug 2023 (3y) | ||
| Tobin Christopher Anderson | Registered representative | Aug 2023 (3y) | ||
| Todd Philip Mazzo | Registered representative | Aug 2023 (3y) | ||
| Jock Williams Bovington | Registered representative | Aug 2023 (3y) | ||
| Louis Anthony Toujague | Registered representative | Aug 2023 (3y) | ||
| Matthew R Maloy | Registered representative | CFP | Aug 2023 (3y) | |
| Michael Joseph Moore | Registered representative | Aug 2023 (3y) | ||
| Stacy Nicole Moskowitz | Registered representative | Aug 2023 (3y) | ||
| Amanda J Urban | Registered representative | Sep 2023 (3y) | ||
| Brice Douglas Silver | Registered representative | Sep 2023 (3y) | ||
| Jessica Joann Cerne | Registered representative | Sep 2023 (3y) | ||
| Zachary Daniel Carothers | Registered representative | Sep 2023 (3y) | ||
| Chant'a Lindsey | Registered representative | Sep 2023 (3y) | ||
| Anthony Pietruszka | Registered representative | Sep 2023 (3y) | ||
| Jonathon Patrick Krikie | Registered representative | Sep 2023 (3y) | ||
| Keith Allen | Registered representative | Sep 2023 (3y) | ||
| Melissa Rae Smith | Registered representative | Sep 2023 (3y) | ||
| Minnampalli Elangomani Selvaraj | Registered representative | Sep 2023 (3y) | ||
| Mason Lawrence Brown | Registered representative | Sep 2023 (3y) | ||
| Steven Jay Miles | Registered representative | Sep 2023 (3y) | ||
| Ann Elizabeth Meiring | Registered representative | Sep 2023 (3y) | ||
| Christopher Marburger | Registered representative | Sep 2023 (3y) | ||
| Claryann Kiilani Olofsson Loo | Registered representative | Sep 2023 (3y) | ||
| David Wesley Climer | Registered representative | Sep 2023 (3y) | ||
| Jayce Reed Serrano | Registered representative | Sep 2023 (3y) | ||
| Kenneth Allen Reese | Registered representative | Sep 2023 (3y) | ||
| Marina Ann Saldivar | Registered representative | Sep 2023 (3y) | ||
| Melanie Renee Weischwill | Registered representative | Sep 2023 (3y) | ||
| Michael Wayne Climer | Registered representative | Sep 2023 (3y) | ||
| Neil Jamieson Berston | Registered representative | Sep 2023 (3y) | ||
| Kenneth Ray Tucker | Registered representative | CFP Chartered Financial Consultant | Sep 2023 (3y) | |
| Randall Caleb Staudt | Registered representative | Sep 2023 (3y) | ||
| Robert Timothy Wright | Registered representative | CFP | Sep 2023 (3y) | |
| Ryan Cessna | Registered representative | Sep 2023 (3y) | ||
| Ross Blount | Registered representative | CFP | Sep 2023 (3y) | |
| Alexandru Varanita | Registered representative | Sep 2023 (3y) | ||
| Anthony P Fisher | Registered representative | Sep 2023 (3y) | ||
| Brandon James Malburg | Registered representative | Sep 2023 (3y) | ||
| Cole Smith | Registered representative | Sep 2023 (3y) | ||
| Edward Michael Simonsen | Registered representative | Sep 2023 (3y) | ||
| Erin Elizabeth Thompson | Registered representative | Sep 2023 (3y) | ||
| Heath Samuel Johnson | Registered representative | Sep 2023 (3y) | ||
| Hillari Marie Runsat | Registered representative | Sep 2023 (3y) | ||
| Jonathan Matthew Ellis | Registered representative | Sep 2023 (3y) | ||
| Michael Crescenzio Gimlin | Registered representative | Sep 2023 (3y) | ||
| Sabrina Marie Gimlin | Registered representative | Sep 2023 (3y) | ||
| Todd A Miller | Registered representative | Sep 2023 (3y) | ||
| Michael C Gimlin | Registered representative | Sep 2023 (3y) | ||
| Douglas Allen Maher | Registered representative | Sep 2023 (3y) | ||
| Daniel Ray Butcher | Registered representative | Sep 2023 (3y) | ||
| Edward Joseph Travaglianti | Registered representative | Sep 2023 (3y) | ||
| Hugh Thomas Boyle | Registered representative | Sep 2023 (3y) | ||
| James Frederick Mangam | Registered representative | CFP | Sep 2023 (3y) | |
| Jarrett Dominic Apa | Registered representative | Sep 2023 (3y) | ||
| John Fitzgerald Cullinan | Registered representative | Sep 2023 (3y) | ||
| Kimberly Adams Stirling | Registered representative | Sep 2023 (3y) | ||
| Marcus Luckeneder | Registered representative | Sep 2023 (3y) | ||
| Maxwell Fontaine | Registered representative | Sep 2023 (3y) | ||
| Madison Kathleen Tilles | Registered representative | Sep 2023 (3y) | ||
| Nathaniel Allen Starkey | Registered representative | Sep 2023 (3y) | ||
| Ryan Cabrera | Registered representative | Sep 2023 (3y) | ||
| Todd M Klein | Registered representative | CFP | Sep 2023 (3y) | |
| Zachary Lawrence Hockert | Registered representative | Sep 2023 (3y) | ||
| Kathryn Dunn Lynch | Registered representative | Sep 2023 (3y) | ||
| Kevin C Mangam | Registered representative | Sep 2023 (3y) | ||
| Nolan Randall Cohen | Registered representative | CFP | Sep 2023 (3y) | |
| Robert Evan Ahrendt | Registered representative | Sep 2023 (3y) | ||
| Aaron Gray Cizon | Registered representative | Sep 2023 (3y) | ||
| Andrew James Due | Registered representative | Sep 2023 (3y) | ||
| Burke William Francis | Registered representative | Sep 2023 (3y) | ||
| Heather Kate Rossitto | Registered representative | Sep 2023 (3y) | ||
| John Jerome Jablonski | Registered representative | CFP | Sep 2023 (3y) | |
| Julie Decker Willis | Registered representative | Sep 2023 (3y) | ||
| Stephanie Rose Mullenax | Registered representative | Sep 2023 (3y) | ||
| Eric M Jenson | Registered representative | Sep 2023 (3y) | ||
| Kevin C Outland | Registered representative | Sep 2023 (3y) | ||
| Robert Charles Wagner | Registered representative | Sep 2023 (3y) | ||
| Anthony Robert Capri | Registered representative | Sep 2023 (3y) | ||
| Calvin Alexander Williams | Registered representative | Sep 2023 (3y) | ||
| Dawn Marie Asis | Registered representative | Sep 2023 (3y) | ||
| James Earl Foote | Registered representative | Sep 2023 (3y) | ||
| Nicholas L. Gomez | Registered representative | Sep 2023 (3y) | ||
| Sonya Lynn Boldt | Registered representative | Sep 2023 (3y) | ||
| Terry William Stogsdill | Registered representative | Sep 2023 (3y) | ||
| Angelo M Burns | Registered representative | Sep 2023 (3y) | ||
| Charles Le Roy Mack | Registered representative | Sep 2023 (3y) | ||
| Cole Joseph Mitchell | Registered representative | Sep 2023 (3y) | ||
| Joseph Kanan Polwrek | Registered representative | Sep 2023 (3y) | ||
| Joseph P Denis | Registered representative | Sep 2023 (3y) | ||
| Larisa Holiday | Registered representative | Sep 2023 (3y) | ||
| Logan M. Buglio | Registered representative | Sep 2023 (3y) | ||
| Monique Yolanda Herrera Chalker | Registered representative | Sep 2023 (3y) | ||
| Robert Klepner | Registered representative | Sep 2023 (3y) | ||
| Samuel Wright Starling | Registered representative | Sep 2023 (3y) | ||
| Scott James Foties | Registered representative | CFP | Sep 2023 (3y) | |
| Benn Anthony Albrecht | Registered representative | Sep 2023 (3y) | ||
| Beverly Vernon Bishop | Registered representative | Sep 2023 (3y) | ||
| Chad Lee Baldwin | Registered representative | CFP | Sep 2023 (3y) | |
| Lori Jo Fischer | Registered representative | Sep 2023 (3y) | ||
| Mindy Suzanne Helfrich | Registered representative | Sep 2023 (3y) | ||
| Marcela Arimany | Registered representative | Sep 2023 (3y) | ||
| Nicole Wilson | Registered representative | Sep 2023 (3y) | ||
| Patrick Myron Ricketts | Registered representative | CFP | Sep 2023 (3y) | |
| Ryan P Strasdauskas | Registered representative | CFP | Sep 2023 (3y) | |
| Timothy Patrick Strasdauskas | Registered representative | CFP | Sep 2023 (3y) | |
| Tricia Marie Seitelbach Green | Registered representative | Sep 2023 (3y) | ||
| Adam James Tabak | Registered representative | CFP | Sep 2023 (3y) | |
| Aaron David Holman | Registered representative | Sep 2023 (3y) | ||
| James William Igo | Registered representative | Sep 2023 (3y) | ||
| Jeffrey Robert Hackbarth | Registered representative | CFP | Sep 2023 (3y) | |
| James Michael Tabak | Registered representative | Sep 2023 (3y) | ||
| Kerry Lynn Prichard | Registered representative | Sep 2023 (3y) | ||
| Kyle Upp | Registered representative | Sep 2023 (3y) | ||
| Melissa Elise Buttafoco | Registered representative | Sep 2023 (3y) | ||
| Rease Morin | Registered representative | Sep 2023 (3y) | ||
| Shane Alexander Tschappat | Registered representative | Sep 2023 (3y) | ||
| Stephen Wayne Newton | Registered representative | Sep 2023 (3y) | ||
| Taryn Weiks | Registered representative | Sep 2023 (3y) | ||
| Terry Robert Cleman | Registered representative | Sep 2023 (3y) | ||
| Taylor James Fairweather | Registered representative | Sep 2023 (3y) | ||
| Wyatt Isaiah Fouts | Registered representative | Sep 2023 (3y) | ||
| Aaron Allan Stanley | Registered representative | Sep 2023 (3y) | ||
| Angela Elaine Vlach | Registered representative | Sep 2023 (3y) | ||
| Aimee Francoeur Tesoro | Registered representative | CFP | Sep 2023 (3y) | |
| Joseph Payne Cunningham | Registered representative | CFP | Sep 2023 (3y) | |
| Mohammad Soliman Popal | Registered representative | Sep 2023 (3y) | ||
| Robert Michael Doran | Registered representative | Sep 2023 (3y) | ||
| Alexander Robert Hale | Registered representative | Sep 2023 (3y) | ||
| Charles Alan Wiegand | Registered representative | Sep 2023 (3y) | ||
| Joseph Jordan Mcintosh | Registered representative | Sep 2023 (3y) | ||
| Lee Calarco | Registered representative | Sep 2023 (3y) | ||
| Lindsey Ann Kreske | Registered representative | CFP | Sep 2023 (3y) | |
| Lauren V Torres | Registered representative | Sep 2023 (3y) | ||
| Michelle Blackwelder Bodin | Registered representative | Sep 2023 (3y) | ||
| Roston Ted Willis | Registered representative | Sep 2023 (3y) | ||
| Barry James Rings | Registered representative | CFP | Sep 2023 (3y) | |
| Clayton T Buchanan | Registered representative | Sep 2023 (3y) | ||
| Connor Bryan Demore | Registered representative | Sep 2023 (3y) | ||
| David Jerome Willmott | Registered representative | Sep 2023 (3y) | ||
| Jamie Leigh Bryant | Registered representative | Sep 2023 (3y) | ||
| Joe Martin Bryant | Registered representative | Sep 2023 (3y) | ||
| Joel Barron | Registered representative | Sep 2023 (3y) | ||
| Paul William Adamo | Registered representative | Sep 2023 (3y) | ||
| Steven David Dombrower | Registered representative | CFA | Sep 2023 (3y) | |
| Andrew Jackson Wood | Registered representative | CFP | Sep 2023 (3y) | |
| Bradley Roy Riley | Registered representative | Sep 2023 (3y) | ||
| Christopher D Wells | Registered representative | Sep 2023 (3y) | ||
| Ernest Junior Miars | Registered representative | CFP | Sep 2023 (3y) | |
| James Robert Piper | Registered representative | Sep 2023 (3y) | ||
| Jason Sebastian Cole | Registered representative | Sep 2023 (3y) | ||
| Jennifer Lee Schroeder | Registered representative | Sep 2023 (3y) | ||
| Jacob Arthur Allred | Registered representative | Sep 2023 (3y) | ||
| Michael Martin Busch | Registered representative | Sep 2023 (3y) | ||
| Christopher Charles Bradford | Registered representative | CFP | Sep 2023 (3y) | |
| Graham Patrick Heck | Registered representative | Sep 2023 (3y) | ||
| Jon Christopher Dobson | Registered representative | Sep 2023 (3y) | ||
| Joshua Ryan Larson | Registered representative | CFP | Sep 2023 (3y) | |
| Lynn Schmitt | Registered representative | Sep 2023 (3y) | ||
| Patrick Thomas Levendusky | Registered representative | Sep 2023 (3y) | ||
| Roy E Cook | Registered representative | Sep 2023 (3y) | ||
| Stine Karlsen Bradford | Registered representative | Sep 2023 (3y) | ||
| Thomas Edward Tilton | Registered representative | CFP | Oct 2023 (3y) | |
| Aaron James Putman | Registered representative | CFP | Oct 2023 (3y) | |
| Cristian Manuel Martinez | Registered representative | Oct 2023 (3y) | ||
| Darren Mark Knight | Registered representative | CFP | Oct 2023 (3y) | |
| James David Doss | Registered representative | Oct 2023 (3y) | ||
| John E Malicoat | Registered representative | Oct 2023 (3y) | ||
| John James Kapuranis | Registered representative | Oct 2023 (3y) | ||
| Joseph Lynn Tigert | Registered representative | Oct 2023 (3y) | ||
| Kirstin J Ricketts | Registered representative | CFP | Oct 2023 (3y) | |
| Michael Joseph Kowal | Registered representative | Oct 2023 (3y) | ||
| Paul William Davis | Registered representative | Oct 2023 (3y) | ||
| Preston Matthew Davis | Registered representative | Oct 2023 (3y) | ||
| Randal Charles Fields | Registered representative | Oct 2023 (3y) | ||
| Rick Andrew Fuchs | Registered representative | Oct 2023 (3y) | ||
| Vanessa Ann Rohlman | Registered representative | Oct 2023 (3y) | ||
| Aaron Niels Gingrich | Registered representative | Oct 2023 (3y) | ||
| Ann Kristine Fiorita | Registered representative | Oct 2023 (3y) | ||
| Brock Raymond Hively | Registered representative | CFP | Oct 2023 (3y) | |
| Cameron Goodling | Registered representative | Oct 2023 (3y) | ||
| Douglas Henry Riccitelli | Registered representative | Oct 2023 (3y) | ||
| Emily Catherine Sides | Registered representative | Oct 2023 (3y) | ||
| Jessica Ann Marie Hall | Registered representative | Oct 2023 (3y) | ||
| John Byron Poore | Registered representative | Oct 2023 (3y) | ||
| Joshua Patrick Smeltzer | Registered representative | Oct 2023 (3y) | ||
| Julia Marie Toone | Registered representative | Oct 2023 (3y) | ||
| Jesse Salcedo Aragon | Registered representative | Oct 2023 (3y) | ||
| Jill Hankel | Registered representative | Oct 2023 (3y) | ||
| Julia Fleming | Registered representative | Oct 2023 (3y) | ||
| Matthew M Warter | Registered representative | Oct 2023 (3y) | ||
| Theresa Marie Houle | Registered representative | Oct 2023 (3y) | ||
| Thomas Anthony Kingery | Registered representative | Oct 2023 (3y) | ||
| Amy Gail Legate | Registered representative | CFP | Oct 2023 (3y) | |
| Andrew Seested | Registered representative | Oct 2023 (3y) | ||
| Bradley Scott Mills | Registered representative | Oct 2023 (3y) | ||
| Daniel Carl Boehler | Registered representative | Oct 2023 (3y) | ||
| Deborah Marie Reaves | Registered representative | Oct 2023 (3y) | ||
| Douglas Wade Mccown | Registered representative | CFP | Oct 2023 (3y) | |
| Jared Vance West | Registered representative | Oct 2023 (3y) | ||
| John Norberg | Registered representative | CFP | Oct 2023 (3y) | |
| Konner Lessard | Registered representative | CFP | Oct 2023 (3y) | |
| Lawrence David Silverman | Registered representative | CFP | Oct 2023 (3y) | |
| Louis F. Alfero | Registered representative | Oct 2023 (3y) | ||
| Marc H. Gusto | Registered representative | Oct 2023 (3y) | ||
| Robert Manley Mark | Registered representative | Oct 2023 (3y) | ||
| Sandy Brown | Registered representative | Oct 2023 (3y) | ||
| Xavier Tomas Gutierrez | Registered representative | Oct 2023 (3y) | ||
| Zachary James Stedry | Registered representative | CFP | Oct 2023 (3y) | |
| Alan David Kahn | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Charlie James Hensley | Registered representative | Oct 2023 (3y) | ||
| Daniel Mason Helmer | Registered representative | Oct 2023 (3y) | ||
| Derek Alfinito | Registered representative | Oct 2023 (3y) | ||
| Frank Valvano | Registered representative | Oct 2023 (3y) | ||
| Joseph John Alfinito | Registered representative | Personal Financial Specialist | Oct 2023 (3y) | |
| Russell Maughan Hull | Registered representative | Oct 2023 (3y) | ||
| Chris Charles Acuna | Registered representative | Oct 2023 (3y) | ||
| Christian Jose Dominguez | Registered representative | Oct 2023 (3y) | ||
| Craig Lee Smith | Registered representative | CFP | Oct 2023 (3y) | |
| David A. Dire | Registered representative | Oct 2023 (3y) | ||
| Jimmie M Anderson | Registered representative | Oct 2023 (3y) | ||
| Michael Joseph Pumo | Registered representative | CFP | Oct 2023 (3y) | |
| Mark Christopher Harms | Registered representative | Oct 2023 (3y) | ||
| Nathan Lee Ketcham | Registered representative | Oct 2023 (3y) | ||
| Jennifer Anne Kinzler | Registered representative | Oct 2023 (3y) | ||
| Katelyn Kelter | Registered representative | Oct 2023 (3y) | ||
| Timothy Patrick Graney | Registered representative | CFP | Oct 2023 (3y) | |
| Zachary Ryan Frey | Registered representative | Oct 2023 (3y) | ||
| Bradley Darren Sicoff | Registered representative | Oct 2023 (3y) | ||
| Bruce Porter | Registered representative | CFP | Oct 2023 (3y) | |
| Drew Vasil Dimond | Registered representative | CFP | Oct 2023 (3y) | |
| Ericson Paul Hilbun | Registered representative | CFP | Oct 2023 (3y) | |
| Emma Rose Martin Metcalf | Registered representative | Oct 2023 (3y) | ||
| Jeffrey Phillip Roach | Registered representative | Oct 2023 (3y) | ||
| Michael David Trnka | Registered representative | Oct 2023 (3y) | ||
| Michael Alan Moore | Registered representative | Oct 2023 (3y) | ||
| Ryan Mathew Bishop | Registered representative | Oct 2023 (3y) | ||
| Virginia Morrow Thompson | Registered representative | Oct 2023 (3y) | ||
| Alton Sidney Fabre | Registered representative | Oct 2023 (3y) | ||
| Christopher Wayne Stewart | Registered representative | Oct 2023 (3y) | ||
| Daniel Patrick Miller | Registered representative | Oct 2023 (3y) | ||
| Derek Jens Reese | Registered representative | Oct 2023 (3y) | ||
| Drake Doyle | Registered representative | Oct 2023 (3y) | ||
| Guy Allen Duane Leman | Registered representative | CFP | Oct 2023 (3y) | |
| Matthew Park Best | Registered representative | Oct 2023 (3y) | ||
| Paul Alfred Schmidt | Registered representative | CFP | Oct 2023 (3y) | |
| Reece James Morrison | Registered representative | Oct 2023 (3y) | ||
| Ryan Christopher Edwards | Registered representative | Oct 2023 (3y) | ||
| Seth David Stephens | Registered representative | Oct 2023 (3y) | ||
| Brittni Nicole Lamothe | Registered representative | Oct 2023 (3y) | ||
| Daria Magdalena Schumacher | Registered representative | CFP Chartered Financial Consultant | Oct 2023 (3y) | |
| Nicole Mulvihill | Registered representative | Oct 2023 (3y) | ||
| Sean David Snowden | Registered representative | Oct 2023 (3y) | ||
| David Sean Barkholz | Registered representative | Oct 2023 (3y) | ||
| John Anthony Lankford | Registered representative | Oct 2023 (3y) | ||
| Julie Luther | Registered representative | Oct 2023 (3y) | ||
| Justin Gene Pestel | Registered representative | Oct 2023 (3y) | ||
| Matthew Jared Peterson | Registered representative | Oct 2023 (3y) | ||
| Michael Charles Doherty | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Michael George Evereth | Registered representative | Oct 2023 (3y) | ||
| Mitchell Borst | Registered representative | Oct 2023 (3y) | ||
| Matthew Kroll | Registered representative | Oct 2023 (3y) | ||
| Melissa L Kahler | Registered representative | Oct 2023 (3y) | ||
| Michael Anthony Bajorek | Registered representative | Oct 2023 (3y) | ||
| Nathan William Ibarra | Registered representative | Oct 2023 (3y) | ||
| Nicholas Joseph Krajniak | Registered representative | Oct 2023 (3y) | ||
| Ryan M Doherty | Registered representative | Oct 2023 (3y) | ||
| Ryan Michael Pellegrini | Registered representative | Oct 2023 (3y) | ||
| Steven T Barber | Registered representative | Oct 2023 (3y) | ||
| Shawn David Baker | Registered representative | Oct 2023 (3y) | ||
| Trevor Phillips Johnson | Registered representative | Oct 2023 (3y) | ||
| Tim Patrick Mcfillin | Registered representative | Oct 2023 (3y) | ||
| Timothy Daniel Fahey | Registered representative | Oct 2023 (3y) | ||
| William Robert Flowers | Registered representative | CFP | Oct 2023 (3y) | |
| Caitlin G Persson | Registered representative | Oct 2023 (3y) | ||
| Joel Kent Wilkinson | Registered representative | Oct 2023 (3y) | ||
| Joseph R Dimaggio | Registered representative | Oct 2023 (3y) | ||
| Keith Marcus Fedor | Registered representative | Oct 2023 (3y) | ||
| Peter J Navaretta | Registered representative | Oct 2023 (3y) | ||
| Peter Navaretta | Registered representative | Oct 2023 (3y) | ||
| Trevor Robert Kengle | Registered representative | Oct 2023 (3y) | ||
| Allen Lee Wilferd Herman | Registered representative | Oct 2023 (3y) | ||
| Andrew Jon Duff | Registered representative | CFP Chartered Financial Consultant | Oct 2023 (3y) | |
| Anowar Sadat Mohammed Osmani | Registered representative | Oct 2023 (3y) | ||
| Blake Matheson Mier | Registered representative | Oct 2023 (3y) | ||
| Jason Bryson | Registered representative | Oct 2023 (3y) | ||
| Jennifer Jill Glovacki | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Michael Cirillo | Registered representative | Oct 2023 (3y) | ||
| Robert Lee Wheeler | Registered representative | CFP Chartered Financial Consultant | Oct 2023 (3y) | |
| Ryan Rex Hughes | Registered representative | Oct 2023 (3y) | ||
| Steven T Lyden | Registered representative | Oct 2023 (3y) | ||
| Tracy Renee Hardin | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Tyler Boone Powell | Registered representative | Oct 2023 (3y) | ||
| William Joseph Murphy | Registered representative | Oct 2023 (3y) | ||
| Brian Paul Russo | Registered representative | Oct 2023 (3y) | ||
| Caleb Wellington Pearson | Registered representative | Oct 2023 (3y) | ||
| John Peter Dikun | Registered representative | CFP | Oct 2023 (3y) | |
| Kyle Bird | Registered representative | Oct 2023 (3y) | ||
| Michael Joseph Cunningham | Registered representative | Oct 2023 (3y) | ||
| Mathilda Spiers Waren | Registered representative | Oct 2023 (3y) | ||
| Neil Robert Montesano | Registered representative | Oct 2023 (3y) | ||
| Robert Scott Mette | Registered representative | Oct 2023 (3y) | ||
| Thomas Alan Boland | Registered representative | CFP | Oct 2023 (3y) | |
| Carmen Joseph Pontelandolfo | Registered representative | Oct 2023 (3y) | ||
| Laura Villota Stella | Registered representative | Oct 2023 (3y) | ||
| Mark Edward Choinski | Registered representative | Oct 2023 (3y) | ||
| Michael Albert Gandet | Registered representative | Oct 2023 (3y) | ||
| Robert Joseph Angelo | Registered representative | CFP | Oct 2023 (3y) | |
| Scott Hagopian | Registered representative | Oct 2023 (3y) | ||
| Arthur J Sisco | Registered representative | CFP | Oct 2023 (3y) | |
| Charles William Mcgrath | Registered representative | CFP | Oct 2023 (3y) | |
| David Segil | Registered representative | Oct 2023 (3y) | ||
| Emmanuel Thomas Floyd Gilmore | Registered representative | CFP | Oct 2023 (3y) | |
| Mark Steven Mcneely | Registered representative | CFP | Oct 2023 (3y) | |
| Ryan Patrick Mc Laughlin | Registered representative | Oct 2023 (3y) | ||
| Stephanie J O'hara | Registered representative | Oct 2023 (3y) | ||
| Taylor Grant Boice | Registered representative | Oct 2023 (3y) | ||
| Archimedes Chua Gomez | Registered representative | Oct 2023 (3y) | ||
| Chase Benjamin Daknis | Registered representative | Oct 2023 (3y) | ||
| Graham Baggarley Bailey | Registered representative | Oct 2023 (3y) | ||
| James Lawton O'quinn | Registered representative | Oct 2023 (3y) | ||
| Katherine Marie Ritter | Registered representative | Oct 2023 (3y) | ||
| Brian Thomas Miller | Registered representative | CFP | Oct 2023 (3y) | |
| Donald E Grassi | Registered representative | Oct 2023 (3y) | ||
| Kimberly Ann Orlando | Registered representative | Oct 2023 (3y) | ||
| Matthew Fothergill | Registered representative | Oct 2023 (3y) | ||
| Ryan David Alsup | Registered representative | CFP | Oct 2023 (3y) | |
| Terrance Lee Johnson | Registered representative | Oct 2023 (3y) | ||
| Jennifer Ann Bower | Registered representative | Oct 2023 (3y) | ||
| Justin Wesley Bates | Registered representative | Oct 2023 (3y) | ||
| Paul James La Banc | Registered representative | Oct 2023 (3y) | ||
| Ryan Mc Carthy | Registered representative | Oct 2023 (3y) | ||
| Theresa Ann Guerini | Registered representative | Oct 2023 (3y) | ||
| Timothy Joseph Cerny | Registered representative | Oct 2023 (3y) | ||
| Antonio Jacob Dimatteo | Registered representative | Oct 2023 (3y) | ||
| Benjamin Ross Howell | Registered representative | Oct 2023 (3y) | ||
| George I Feliciano | Registered representative | Oct 2023 (3y) | ||
| Kane Elliott Vines | Registered representative | Oct 2023 (3y) | ||
| Lacey Michele Young | Registered representative | Oct 2023 (3y) | ||
| Matthew James Worthington | Registered representative | Oct 2023 (3y) | ||
| Michael Todd Rossman | Registered representative | Oct 2023 (3y) | ||
| Nathan Ellerbee | Registered representative | Oct 2023 (3y) | ||
| Ronald Hongo | Registered representative | Oct 2023 (3y) | ||
| Sarah Ahlheim | Registered representative | Oct 2023 (3y) | ||
| Alexander Lance Brown | Registered representative | Oct 2023 (3y) | ||
| Anthony Joseph Crutchfield | Registered representative | Oct 2023 (3y) | ||
| Benjamin Robert Young | Registered representative | Oct 2023 (3y) | ||
| Gaye Ellen Gandy | Registered representative | Oct 2023 (3y) | ||
| Gabriel Lynn Gehret | Registered representative | Oct 2023 (3y) | ||
| James Michael Hunt | Registered representative | Oct 2023 (3y) | ||
| Joseph Gray Davis | Registered representative | Oct 2023 (3y) | ||
| Mark Vaughn Snider | Registered representative | CFP Chartered Financial Consultant | Oct 2023 (3y) | |
| Michael Stephen Myers | Registered representative | CFP | Oct 2023 (3y) | |
| Nathan Carroll Grooms | Registered representative | Oct 2023 (3y) | ||
| Phillip Wallace Poston | Registered representative | Oct 2023 (3y) | ||
| Richard West Weemhoff | Registered representative | Oct 2023 (3y) | ||
| Daniel Sean Stroh | Registered representative | Oct 2023 (3y) | ||
| Adam G. Lewis | Registered representative | Oct 2023 (3y) | ||
| Andrew Gordon Bacharach | Registered representative | Oct 2023 (3y) | ||
| James Thomas Buto | Registered representative | Oct 2023 (3y) | ||
| Liliana Maria Maes | Registered representative | Oct 2023 (3y) | ||
| Lowell Franklin Fairley | Registered representative | Oct 2023 (3y) | ||
| Marvin Sanford Goldman | Registered representative | Oct 2023 (3y) | ||
| Matthew Guy Dyal | Registered representative | Oct 2023 (3y) | ||
| Robert James Nolan | Registered representative | Oct 2023 (3y) | ||
| Robert Jason Nicotra | Registered representative | Oct 2023 (3y) | ||
| Steven Coert Van Voorhees | Registered representative | Oct 2023 (3y) | ||
| William Halsey Blankenship | Registered representative | Oct 2023 (3y) | ||
| Christopher Allan Adams | Registered representative | Oct 2023 (3y) | ||
| Cody J Faust | Registered representative | Oct 2023 (3y) | ||
| Joseph Edward Engler | Registered representative | CFP | Oct 2023 (3y) | |
| Joseph Lee Wilder | Registered representative | CFP | Oct 2023 (3y) | |
| Jennifer Anne Desimone | Registered representative | Oct 2023 (3y) | ||
| Kevin Christopher Bruce | Registered representative | Oct 2023 (3y) | ||
| Kevin V Otskey | Registered representative | Oct 2023 (3y) | ||
| Robert Michael Elstad | Registered representative | Oct 2023 (3y) | ||
| Walter Ezra Jamison | Registered representative | Oct 2023 (3y) | ||
| Wiebke Rupard | Registered representative | Oct 2023 (3y) | ||
| Zachary Johnston Stover | Registered representative | CFP | Oct 2023 (3y) | |
| Andrew Stephen Hudak | Registered representative | Nov 2023 (3y) | ||
| Bradley David Thomas | Registered representative | CFP Chartered Financial Consultant | Nov 2023 (3y) | |
| Brian S Cussimanio | Registered representative | Nov 2023 (3y) | ||
| Charles Stuart Jenkins | Registered representative | Nov 2023 (3y) | ||
| Francis William Ross | Registered representative | Nov 2023 (3y) | ||
| James Donenberg | Registered representative | Nov 2023 (3y) | ||
| John Calvin Hatfield | Registered representative | Nov 2023 (3y) | ||
| Joshua David Dunbar | Registered representative | Nov 2023 (3y) | ||
| Joshua Cline | Registered representative | Nov 2023 (3y) | ||
| Trevor James Dietrich | Registered representative | Nov 2023 (3y) | ||
| Adam David Talbert | Registered representative | Nov 2023 (3y) | ||
| Amee Sue Wright | Registered representative | Nov 2023 (3y) | ||
| Brian Seisuke Kawano | Registered representative | Nov 2023 (3y) | ||
| Cole Masato Nakada | Registered representative | Nov 2023 (3y) | ||
| Christianne Erickson | Registered representative | Nov 2023 (3y) | ||
| Genti Basha | Registered representative | Nov 2023 (3y) | ||
| John Carl Mouganis | Registered representative | CFP Chartered Financial Consultant | Nov 2023 (3y) | |
| Leo Poki Kauhini | Registered representative | CFP Chartered Financial Consultant | Nov 2023 (3y) | |
| Stephen Cyle Freeman | Registered representative | Nov 2023 (3y) | ||
| Thomas Craig Cherington | Registered representative | Nov 2023 (3y) | ||
| Tyler Redding Mainous | Registered representative | CFP CFA | Nov 2023 (3y) | |
| Alexandra Ann Chapman | Registered representative | Nov 2023 (3y) | ||
| Andrew Christian Koleno | Registered representative | Nov 2023 (3y) | ||
| Brett Michael Webb | Registered representative | Nov 2023 (3y) | ||
| Jerome Michael Madden | Registered representative | Nov 2023 (3y) | ||
| Joseph Appleton Bassett | Registered representative | Nov 2023 (3y) | ||
| Kelsey A Swigart | Registered representative | Nov 2023 (3y) | ||
| Mc Keea M Fields | Registered representative | Nov 2023 (3y) | ||
| Peter Millard Manning | Registered representative | Personal Financial Specialist | Nov 2023 (3y) | |
| Tyler Behel | Registered representative | Nov 2023 (3y) | ||
| Joshua Barr | Registered representative | Nov 2023 (3y) | ||
| August Hummert | Registered representative | CFP | Nov 2023 (3y) | |
| Arika Morrell | Registered representative | Nov 2023 (3y) | ||
| Barry Wayne Tate | Registered representative | Nov 2023 (3y) | ||
| Chris Carlberg | Registered representative | Nov 2023 (3y) | ||
| Ethan Wyman Bowers | Registered representative | Nov 2023 (3y) | ||
| James Bernard Poole | Registered representative | Nov 2023 (3y) | ||
| James Rick Durbin | Registered representative | CFP | Nov 2023 (3y) | |
| Karnail Singh Kooner | Registered representative | Chartered Financial Consultant | Nov 2023 (3y) | |
| Kimberly Kathryn Durbin | Registered representative | Nov 2023 (3y) | ||
| Kenyon Laughrey | Registered representative | Nov 2023 (3y) | ||
| Marek Bogdan Puk | Registered representative | Nov 2023 (3y) | ||
| Ryan Ray Barnhill | Registered representative | Nov 2023 (3y) | ||
| Taylor Joseph Mcclish | Registered representative | Nov 2023 (3y) | ||
| Anthony Salvatore Zambri | Registered representative | CFP Chartered Financial Consultant | Nov 2023 (3y) | |
| Anthony Vincent Zambri | Registered representative | Nov 2023 (3y) | ||
| Brandon James Karp | Registered representative | Nov 2023 (3y) | ||
| Grant Michael Anthony | Registered representative | Nov 2023 (3y) | ||
| Henry K Cho | Registered representative | Nov 2023 (3y) | ||
| Jeffery Wayne Hill | Registered representative | Nov 2023 (3y) | ||
| Kenneth Jurgen Weise | Registered representative | Nov 2023 (3y) | ||
| Maddux John Myer | Registered representative | Nov 2023 (3y) | ||
| Matthew Lee Ratchenski | Registered representative | Nov 2023 (3y) | ||
| Nicholas Dale Dennie | Registered representative | Nov 2023 (3y) | ||
| Rebecca Marie Vanhorn | Registered representative | Nov 2023 (3y) | ||
| Robert Michael Cianci | Registered representative | Nov 2023 (3y) | ||
| Rafael Munguia | Registered representative | Nov 2023 (3y) | ||
| Adrian Emmanuel Prabnil Shankar | Registered representative | Nov 2023 (3y) | ||
| Andre Sauder | Registered representative | Nov 2023 (3y) | ||
| Craig Arthur Marquardt | Registered representative | Nov 2023 (3y) | ||
| Robert James Diekema | Registered representative | Nov 2023 (3y) | ||
| Achilleas Psihudakis | Registered representative | Nov 2023 (3y) | ||
| Alexander T Sutton | Registered representative | Nov 2023 (3y) | ||
| Demetrios Paraskevopoulos | Registered representative | CFP Chartered Financial Consultant | Nov 2023 (3y) | |
| Kevin Dale Counts | Registered representative | CFP Personal Financial Specialist | Nov 2023 (3y) | |
| Lenora Cedell Griffin | Registered representative | Nov 2023 (3y) | ||
| Michael Rich | Registered representative | Nov 2023 (3y) | ||
| Neil Lauro | Registered representative | Nov 2023 (3y) | ||
| Paul H Schott | Registered representative | Nov 2023 (3y) | ||
| Scott Kyle Swander | Registered representative | Nov 2023 (3y) | ||
| Albert Barry Burns | Registered representative | Nov 2023 (3y) | ||
| Michael Jett | Registered representative | Nov 2023 (3y) | ||
| Orin Lee Haworth | Registered representative | Nov 2023 (3y) | ||
| Tracy Renee Gravatt | Registered representative | Nov 2023 (3y) | ||
| Casey James Lysaght | Registered representative | Nov 2023 (3y) | ||
| Agatha Christine Robinson | Registered representative | Nov 2023 (3y) | ||
| Ahamad Manohorathat | Registered representative | Nov 2023 (3y) | ||
| Baileigh Je'nae Ashbrook | Registered representative | Nov 2023 (3y) | ||
| Christopher Aaron Wicker | Registered representative | Nov 2023 (3y) | ||
| Cole Kenneth Jaeschke | Registered representative | Nov 2023 (3y) | ||
| Daniel Joe Nielsen | Registered representative | Nov 2023 (3y) | ||
| Dorian Alexandro Sandoval | Registered representative | Nov 2023 (3y) | ||
| Edward Phillip Doyle | Registered representative | Nov 2023 (3y) | ||
| Hannah N Bertsch | Registered representative | Nov 2023 (3y) | ||
| Joy Sachiko Kodama | Registered representative | CFP | Nov 2023 (3y) | |
| Kristian Alejandro Kerr | Registered representative | Nov 2023 (3y) | ||
| Landon Brandt Siemion | Registered representative | Nov 2023 (3y) | ||
| Stephen Martin Hansen | Registered representative | Nov 2023 (3y) | ||
| Brett Andrew Rice | Registered representative | Nov 2023 (3y) | ||
| Christopher Richard Coyer | Registered representative | Nov 2023 (3y) | ||
| Carter Jon O'reilly | Registered representative | Nov 2023 (3y) | ||
| David S Walker | Registered representative | Nov 2023 (3y) | ||
| Dustin Ryan Fisher | Registered representative | Nov 2023 (3y) | ||
| Jordan Pacheco | Registered representative | Nov 2023 (3y) | ||
| Amy Stroker | Registered representative | Nov 2023 (3y) | ||
| Brian Tim Mccurdy | Registered representative | Nov 2023 (3y) | ||
| Bennett P Broeske | Registered representative | Nov 2023 (3y) | ||
| James Byron Dokken | Registered representative | Nov 2023 (3y) | ||
| Joseph Milton Crandall | Registered representative | Nov 2023 (3y) | ||
| Kyle Leydens | Registered representative | Nov 2023 (3y) | ||
| Matthew C Ponder | Registered representative | Nov 2023 (3y) | ||
| Matthew Thomas Lazaras | Registered representative | CFP | Nov 2023 (3y) | |
| Michael Joseph Oconnell | Registered representative | Nov 2023 (3y) | ||
| Matthew Jonathan Vesco | Registered representative | Nov 2023 (3y) | ||
| Nicholas David St George | Registered representative | CFP | Nov 2023 (3y) | |
| Barry Stuart Kemp | Registered representative | CFP | Nov 2023 (3y) | |
| Jessica L Caden | Registered representative | Nov 2023 (3y) | ||
| Joseph Winn Skornicka | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Lehocky | Registered representative | Nov 2023 (3y) | ||
| John Henry Wehmer | Registered representative | CFP | Nov 2023 (3y) | |
| Kelly G Mcclain | Registered representative | Nov 2023 (3y) | ||
| Kevin D Quesada | Registered representative | Nov 2023 (3y) | ||
| Nathan Dean Moser | Registered representative | CFP | Nov 2023 (3y) | |
| Paul B Campbell | Registered representative | Nov 2023 (3y) | ||
| Varsha Nambiar | Registered representative | Nov 2023 (3y) | ||
| Wesley Clayton Roan | Registered representative | Nov 2023 (3y) | ||
| William Hunter Coghlan | Registered representative | Nov 2023 (3y) | ||
| Cindy Han Le | Registered representative | Nov 2023 (3y) | ||
| Haley Ann Patton | Registered representative | Nov 2023 (3y) | ||
| James Wyatt Schilling | Registered representative | Nov 2023 (3y) | ||
| Jack Patrick Cole | Registered representative | Nov 2023 (3y) | ||
| Jonathan R Dunn | Registered representative | CFP | Nov 2023 (3y) | |
| Kendall Ray Curry | Registered representative | Nov 2023 (3y) | ||
| Kole Thomas Petersen | Registered representative | Nov 2023 (3y) | ||
| Moises Macias | Registered representative | Nov 2023 (3y) | ||
| Trevor Alan Erickson | Registered representative | Nov 2023 (3y) | ||
| Casey Alexander Siegelman | Registered representative | Nov 2023 (3y) | ||
| Heather Ukena | Registered representative | Nov 2023 (3y) | ||
| James Eric Hunter | Registered representative | Nov 2023 (3y) | ||
| Maria Da Conceicao Santos | Registered representative | Nov 2023 (3y) | ||
| Roger Michael Francis | Registered representative | CFP | Nov 2023 (3y) | |
| Somer Nichelle Taylor | Registered representative | Nov 2023 (3y) | ||
| Terence Patrick Coholan | Registered representative | Nov 2023 (3y) | ||
| Tiffany Schrader | Registered representative | Nov 2023 (3y) | ||
| Marck Zuehlsdorff | Registered representative | Nov 2023 (3y) | ||
| Michael Rowley | Registered representative | Nov 2023 (3y) | ||
| Ross M Welch | Registered representative | Nov 2023 (3y) | ||
| Timothy Parady | Registered representative | Nov 2023 (3y) | ||
| Noah James Borwick | Registered representative | Nov 2023 (3y) | ||
| Melissa Ann Smolen | Registered representative | Nov 2023 (3y) | ||
| Todd Joseph Smolen | Registered representative | Nov 2023 (3y) | ||
| Brian Quatrale | Registered representative | Chartered Financial Consultant | Nov 2023 (3y) | |
| Bryan Anthony Diaz | Registered representative | Nov 2023 (3y) | ||
| Christopher John Coghlan | Registered representative | Nov 2023 (3y) | ||
| Edward Anthony Hunton | Registered representative | Nov 2023 (3y) | ||
| James Perry Wolfe | Registered representative | Nov 2023 (3y) | ||
| Jared W Knudsen | Registered representative | Nov 2023 (3y) | ||
| Jeffrey James Lovett | Registered representative | Nov 2023 (3y) | ||
| Kimberly Ann Bolker | Registered representative | CFP | Nov 2023 (3y) | |
| Kyle Steven Bigler | Registered representative | CFP | Nov 2023 (3y) | |
| Lauren A Ehrhardt | Registered representative | Nov 2023 (3y) | ||
| Riley Robert Giauque | Registered representative | Nov 2023 (3y) | ||
| Ryan S Johnson | Registered representative | Nov 2023 (3y) | ||
| Shubh L Sethi | Registered representative | Nov 2023 (3y) | ||
| Timothy Neil Howard | Registered representative | Nov 2023 (3y) | ||
| Clarence Barney | Registered representative | Nov 2023 (3y) | ||
| Darryl Steven Visocky | Registered representative | Nov 2023 (3y) | ||
| Grant David Visocky | Registered representative | Nov 2023 (3y) | ||
| Jeffrey John Kobak | Registered representative | Nov 2023 (3y) | ||
| John Jay Takacs | Registered representative | Nov 2023 (3y) | ||
| Jessica Rhoades | Registered representative | Nov 2023 (3y) | ||
| Jonathan Lee Warner | Registered representative | Nov 2023 (3y) | ||
| Melissa M Titus | Registered representative | Nov 2023 (3y) | ||
| Raymond Edward Vargo | Registered representative | Nov 2023 (3y) | ||
| Ryan B Slater | Registered representative | Nov 2023 (3y) | ||
| Alex James Herr | Registered representative | Nov 2023 (3y) | ||
| John Franklin Stoner | Registered representative | Nov 2023 (3y) | ||
| Joshua Mark Quilty Koval | Registered representative | Nov 2023 (3y) | ||
| Jake Hesson | Registered representative | Nov 2023 (3y) | ||
| Mark William Hills | Registered representative | Nov 2023 (3y) | ||
| Uri Doolittle | Registered representative | CFP | Nov 2023 (3y) | |
| Brent Robert Ross | Registered representative | Nov 2023 (3y) | ||
| Christopher Edward Crayton | Registered representative | CFP | Nov 2023 (3y) | |
| David Forsyth | Registered representative | Nov 2023 (3y) | ||
| Frank Anthony Cangelosi | Registered representative | Nov 2023 (3y) | ||
| John Allen Stoner | Registered representative | Nov 2023 (3y) | ||
| John Matthew Anderson | Registered representative | Nov 2023 (3y) | ||
| Kimberly A. Grandinetti | Registered representative | Nov 2023 (3y) | ||
| Michael William Crowell | Registered representative | Nov 2023 (3y) | ||
| Richard Charles Irr | Registered representative | Nov 2023 (3y) | ||
| Robert James Finnegan | Registered representative | Chartered Financial Consultant | Nov 2023 (3y) | |
| Sarah J Baucom | Registered representative | Nov 2023 (3y) | ||
| Mark Stephen Durfee | Registered representative | Dec 2023 (3y) | ||
| Robert M. Rizzo | Registered representative | Dec 2023 (3y) | ||
| Ryan John Welch | Registered representative | Dec 2023 (3y) | ||
| Brandt J Landin | Registered representative | Dec 2023 (3y) | ||
| Lionel Dwayne Brock | Registered representative | Dec 2023 (3y) | ||
| Andrew Elwood Gift | Registered representative | CFP | Dec 2023 (3y) | |
| Andrew Stuart Mumpower | Registered representative | Dec 2023 (3y) | ||
| Jennifer Hollers | Registered representative | CFP | Dec 2023 (3y) | |
| Lisa Catlett Goins | Registered representative | Dec 2023 (3y) | ||
| Nathan Shane Christman | Registered representative | Dec 2023 (3y) | ||
| Ryan Robin Schneider | Registered representative | Dec 2023 (3y) | ||
| Raydel Antonio Hernandez | Registered representative | Dec 2023 (3y) | ||
| Stephanie Lee Kidd | Registered representative | Dec 2023 (3y) | ||
| Virginia Jamka | Registered representative | Dec 2023 (3y) | ||
| William Eric Womack | Registered representative | Dec 2023 (3y) | ||
| Zachary Alan Fiandt | Registered representative | CFP | Dec 2023 (3y) | |
| Braden Max Wilson | Registered representative | Dec 2023 (3y) | ||
| Francis Xavier Obrien | Registered representative | Dec 2023 (3y) | ||
| Herbert L Rosenberg | Registered representative | Dec 2023 (3y) | ||
| Jason Gregory Miller | Registered representative | Dec 2023 (3y) | ||
| Johnathan Richard Pulleyn | Registered representative | CFP | Dec 2023 (3y) | |
| Matthew James Kennedy | Registered representative | Dec 2023 (3y) | ||
| Richard Lynn Jenness | Registered representative | Dec 2023 (3y) | ||
| Stephanie Lynn Bolles | Registered representative | CFP | Dec 2023 (3y) | |
| Sathaporn Sathaporn Nguapha | Registered representative | Dec 2023 (3y) | ||
| Timmy Bob Papadopoulos | Registered representative | Dec 2023 (3y) | ||
| Timothy Dean Cox | Registered representative | Dec 2023 (3y) | ||
| Alex Ryan Egstad | Registered representative | Dec 2023 (3y) | ||
| Alexa Brennan Brascetta | Registered representative | Dec 2023 (3y) | ||
| Amy C Doherty | Registered representative | Dec 2023 (3y) | ||
| Barry Reynolds Jenkins | Registered representative | Dec 2023 (3y) | ||
| Bryce R Jenkins | Registered representative | CFP | Dec 2023 (3y) | |
| Blair Lynn Piendak | Registered representative | Dec 2023 (3y) | ||
| Christopher Bowen Worrall | Registered representative | Chartered Financial Consultant | Dec 2023 (3y) | |
| Deann Rose Lehman | Registered representative | Dec 2023 (3y) | ||
| Heather Lee Hersey | Registered representative | Dec 2023 (3y) | ||
| John Gerarad Doherty | Registered representative | Dec 2023 (3y) | ||
| Nathan David Cloutier | Registered representative | Dec 2023 (3y) | ||
| Anthony J Bertocchini | Registered representative | Dec 2023 (3y) | ||
| Christopher Gross | Registered representative | Dec 2023 (3y) | ||
| Christopher Jon Mukoda | Registered representative | Dec 2023 (3y) | ||
| Douglas Fuentes | Registered representative | Dec 2023 (3y) | ||
| Dylan Ray Aschoff | Registered representative | Dec 2023 (3y) | ||
| George Eugene Calton | Registered representative | Dec 2023 (3y) | ||
| Mark Anthony Maroldo | Registered representative | Dec 2023 (3y) | ||
| Matthew Daniel Howard | Registered representative | Dec 2023 (3y) | ||
| Patrick Alan Howard | Registered representative | Dec 2023 (3y) | ||
| Paul Lucian Gabbianelli | Registered representative | Dec 2023 (3y) | ||
| Robert Anthony Rogers | Registered representative | CFP | Dec 2023 (3y) | |
| Yisroel C Scharfer | Registered representative | Dec 2023 (3y) | ||
| Anthony D Corona | Registered representative | CFP | Dec 2023 (3y) | |
| Brigham Parker Montez | Registered representative | Dec 2023 (3y) | ||
| Cole Robert Nicholson | Registered representative | Dec 2023 (3y) | ||
| Courtney Ann Bradshaw | Registered representative | Dec 2023 (3y) | ||
| Dino F Querze | Registered representative | Dec 2023 (3y) | ||
| Edmund John Brock | Registered representative | Dec 2023 (3y) | ||
| Matthew Carter Crook | Registered representative | Dec 2023 (3y) | ||
| Matthew Dino Querze | Registered representative | Dec 2023 (3y) | ||
| Norbert Mandalupe Garcia | Registered representative | Dec 2023 (3y) | ||
| Scott Robert Nicholson | Registered representative | Dec 2023 (3y) | ||
| Anne Marie Frost | Registered representative | CFP | Dec 2023 (3y) | |
| Beau Allen Williams | Registered representative | Dec 2023 (3y) | ||
| Brian Edward Hale | Registered representative | Dec 2023 (3y) | ||
| Brian Grigg | Registered representative | Personal Financial Specialist | Dec 2023 (3y) | |
| Daniel A Rosenthal | Registered representative | Dec 2023 (3y) | ||
| Daniel Theodore Hawtree | Registered representative | CFP | Dec 2023 (3y) | |
| Darryl Norman Mierl | Registered representative | Dec 2023 (3y) | ||
| Hunter Cole Greene | Registered representative | CFP | Dec 2023 (3y) | |
| Kevin Lee Coffey | Registered representative | Dec 2023 (3y) | ||
| Michael William Morris | Registered representative | Dec 2023 (3y) | ||
| Robert Brandon Harper | Registered representative | CFP | Dec 2023 (3y) | |
| Ryan Nau | Registered representative | Dec 2023 (3y) | ||
| Amanda Sue Pierce | Registered representative | Dec 2023 (3y) | ||
| Dylan John Cooper | Registered representative | Dec 2023 (3y) | ||
| Maddock Edward May | Registered representative | CFP | Dec 2023 (3y) | |
| Rebecca Jill Gore | Registered representative | Dec 2023 (3y) | ||
| Samuel Wilson Griggs | Registered representative | Dec 2023 (3y) | ||
| Susan Brooks Eldridge | Registered representative | Dec 2023 (3y) | ||
| Aaron Verkaik | Registered representative | Dec 2023 (3y) | ||
| Katherine Marie Higgins | Registered representative | Dec 2023 (3y) | ||
| Laurence Andrew Mchugh | Registered representative | Dec 2023 (3y) | ||
| Matthew Leonard Pescatore | Registered representative | Chartered Financial Consultant | Dec 2023 (3y) | |
| Patrick V Murray | Registered representative | Dec 2023 (3y) | ||
| Tucker Mc Call Beale | Registered representative | Dec 2023 (3y) | ||
| Alicia Ashley Lara | Registered representative | Dec 2023 (3y) | ||
| Christopher George Sutherland | Registered representative | CFP | Dec 2023 (3y) | |
| Gabriella Sarai Aguilar | Registered representative | Dec 2023 (3y) | ||
| Kyle T Carlson | Registered representative | Dec 2023 (3y) | ||
| Marcie Jo Rich | Registered representative | Dec 2023 (3y) | ||
| Ronald Arthur Christopher | Registered representative | CFP | Dec 2023 (3y) | |
| Theodore Gilbert Baer | Registered representative | CFP | Dec 2023 (3y) | |
| William Courtney Leffall | Registered representative | CFP | Dec 2023 (3y) | |
| Armando Cosmo Garofalo | Registered representative | Dec 2023 (3y) | ||
| Amanda Lynn Kingrey | Registered representative | Dec 2023 (3y) | ||
| Austin Pate | Registered representative | Dec 2023 (3y) | ||
| Gregory Philippe Guillory | Registered representative | Dec 2023 (3y) | ||
| Katelyn Erin Murray | Registered representative | CFP | Dec 2023 (3y) | |
| Robert Lee Moody | Registered representative | CFP | Dec 2023 (3y) | |
| Avery M Carpenter | Registered representative | Dec 2023 (3y) | ||
| Jesse Sterling Burchill | Registered representative | Dec 2023 (3y) | ||
| Jonathan De Haan | Registered representative | Dec 2023 (3y) | ||
| Kevin L Shahan | Registered representative | Dec 2023 (3y) | ||
| Tammy Pearson Sadek | Registered representative | Dec 2023 (3y) | ||
| Edgar Jet Gonzalez | Registered representative | Dec 2023 (3y) | ||
| Isabel M Mejia | Registered representative | Dec 2023 (3y) | ||
| Justin Samland | Registered representative | Dec 2023 (3y) | ||
| Paul John Schulte | Registered representative | Dec 2023 (3y) | ||
| Stephen A Weston | Registered representative | Dec 2023 (3y) | ||
| William John Dupont | Registered representative | Dec 2023 (3y) | ||
| Brandon De Cicco | Registered representative | Dec 2023 (3y) | ||
| Evan Tadashi Nishida | Registered representative | CFP | Dec 2023 (3y) | |
| Justin Romero | Registered representative | Dec 2023 (3y) | ||
| Kira L Harris | Registered representative | Dec 2023 (3y) | ||
| Nicholas Peter Hauser | Registered representative | Dec 2023 (3y) | ||
| Ryan John Kozarits | Registered representative | Dec 2023 (3y) | ||
| Toni A Falcone | Registered representative | Dec 2023 (3y) | ||
| Linda Jean Cooper | Registered representative | Dec 2023 (3y) | ||
| Nicholas James Shaw | Registered representative | Dec 2023 (3y) | ||
| Ryan Leum | Registered representative | Dec 2023 (3y) | ||
| Troy Alan Breitmann | Registered representative | CFP | Dec 2023 (3y) | |
| Ryan Thomas Levasseur | Registered representative | Dec 2023 (3y) | ||
| Colleen Renee Oberhaus | Registered representative | Dec 2023 (3y) | ||
| Curtis Dene Viggers | Registered representative | Dec 2023 (3y) | ||
| Sarah Marie Lysiak Rahrig | Registered representative | Dec 2023 (3y) | ||
| Daniel Simon Stauffer | Registered representative | Jan 2024 (3y) | ||
| Andrew J Nawrocki | Registered representative | Jan 2024 (3y) | ||
| Blake A Hood | Registered representative | Jan 2024 (3y) | ||
| Chris Garrigan | Registered representative | Jan 2024 (3y) | ||
| Denise Elaine Iarrobino | Registered representative | Jan 2024 (3y) | ||
| Edward Lawrence Kiernan | Registered representative | Jan 2024 (3y) | ||
| Jameson Kenneth Cavanaugh | Registered representative | Jan 2024 (3y) | ||
| Karen Lynn Padgett | Registered representative | CFP | Jan 2024 (3y) | |
| Katherine Jones | Registered representative | Jan 2024 (3y) | ||
| Marla Kay Ringling | Registered representative | CFP | Jan 2024 (3y) | |
| Margreit Rm Mc Innis | Registered representative | Jan 2024 (3y) | ||
| Randall Wayne Nutter | Registered representative | Jan 2024 (3y) | ||
| Samee Aboubakare | Registered representative | Jan 2024 (3y) | ||
| Sarah Ellen Fogle | Registered representative | Jan 2024 (3y) | ||
| Sebastian J Oukassou | Registered representative | CFP | Jan 2024 (3y) | |
| Spencer Butterbrodt | Registered representative | CFP | Jan 2024 (3y) | |
| William Patrick Dougherty | Registered representative | CFP Personal Financial Specialist | Jan 2024 (3y) | |
| Zachary Louis Damstetter | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Aaron Alan Redd | Registered representative | Jan 2024 (3y) | ||
| Andrew C Hale | Registered representative | Jan 2024 (3y) | ||
| Christopher Gary Ravlin | Registered representative | Jan 2024 (3y) | ||
| Derek Gordon Busby | Registered representative | Jan 2024 (3y) | ||
| Edward Luke Vallar | Registered representative | CFA | Jan 2024 (3y) | |
| Eric Alexander Johnson | Registered representative | CFP | Jan 2024 (3y) | |
| Gavin Arthur Licht | Registered representative | Jan 2024 (3y) | ||
| Michelle Latrice Pugh | Registered representative | Jan 2024 (3y) | ||
| Matthew Patrick Anderson | Registered representative | CFP | Jan 2024 (3y) | |
| Michael Thomas Gill | Registered representative | CFP | Jan 2024 (3y) | |
| Paolo Quiroga | Registered representative | Jan 2024 (3y) | ||
| Paul Natale Orlando | Registered representative | Jan 2024 (3y) | ||
| Robert Wayne Schelling | Registered representative | Jan 2024 (3y) | ||
| Shaun D Sullivan | Registered representative | Jan 2024 (3y) | ||
| Tony Jay Thomas | Registered representative | Jan 2024 (3y) | ||
| William Bruce Floyd | Registered representative | Jan 2024 (3y) | ||
| Adam Mark Neary | Registered representative | Jan 2024 (3y) | ||
| Bert Ancel Doerhoff | Registered representative | Jan 2024 (3y) | ||
| Brittany Ann Hedderman Giordano | Registered representative | CFP | Jan 2024 (3y) | |
| Brandon Wright | Registered representative | Jan 2024 (3y) | ||
| Christian Louis Perangelo | Registered representative | Jan 2024 (3y) | ||
| Daniel Joseph O'keefe | Registered representative | CFP CFA | Jan 2024 (3y) | |
| Gregory Alan Sheehan | Registered representative | Jan 2024 (3y) | ||
| Gregory Owen Frazier | Registered representative | Jan 2024 (3y) | ||
| Joshua Barry Murphey | Registered representative | Jan 2024 (3y) | ||
| James Randall Lepore | Registered representative | Jan 2024 (3y) | ||
| Jose Manuel Gomez | Registered representative | Jan 2024 (3y) | ||
| Paul Tobias Stracke | Registered representative | Jan 2024 (3y) | ||
| Quinn Joseph Semling | Registered representative | Jan 2024 (3y) | ||
| Richard Joseph Tartarini | Registered representative | Jan 2024 (3y) | ||
| Robert J Crowley | Registered representative | Jan 2024 (3y) | ||
| Scott P Gevertz | Registered representative | Jan 2024 (3y) | ||
| Shelby Lynn Martin | Registered representative | Jan 2024 (3y) | ||
| Thomas Joseph Oneil | Registered representative | Jan 2024 (3y) | ||
| Todd Arthur Slingerland | Registered representative | CFP | Jan 2024 (3y) | |
| Walter Wilson Roop | Registered representative | Jan 2024 (3y) | ||
| Donald Jeffrey Bentley | Registered representative | Jan 2024 (3y) | ||
| Kimberly Lu | Registered representative | Jan 2024 (3y) | ||
| Julie Anne Vavra Daley | Registered representative | Jan 2024 (3y) | ||
| Amber L Meyers | Registered representative | Jan 2024 (3y) | ||
| Joseph A Alnutt | Registered representative | Jan 2024 (3y) | ||
| Shane Michael Carter | Registered representative | Jan 2024 (3y) | ||
| Brian Leonard Berry | Registered representative | Jan 2024 (3y) | ||
| Charles K Grugel | Registered representative | Jan 2024 (3y) | ||
| Charles Marshall Mackay | Registered representative | Jan 2024 (3y) | ||
| David James Wiley | Registered representative | Jan 2024 (3y) | ||
| Dylan Krezelak | Registered representative | Jan 2024 (3y) | ||
| Jason Chris Hohenstein | Registered representative | Jan 2024 (3y) | ||
| Jonathan Simon Harel | Registered representative | CFP | Jan 2024 (3y) | |
| Kevin John Snow | Registered representative | CFP | Jan 2024 (3y) | |
| Kyle Jenkins | Registered representative | Jan 2024 (3y) | ||
| Matthew John Alexander | Registered representative | CFP | Jan 2024 (3y) | |
| Manuia Sinapati Sotoa | Registered representative | Jan 2024 (3y) | ||
| Nicholas Paul Snow | Registered representative | CFP | Jan 2024 (3y) | |
| Patrick Edward Aaron | Registered representative | Jan 2024 (3y) | ||
| Paul V Morse | Registered representative | Jan 2024 (3y) | ||
| Richard L Jackson | Registered representative | CFP | Jan 2024 (3y) | |
| Richard Luke Miller | Registered representative | CFP | Jan 2024 (3y) | |
| Stacey Jo Otterstrom | Registered representative | Jan 2024 (3y) | ||
| Tod Morrison Taylor | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| William Patrick Zoromski | Registered representative | Jan 2024 (3y) | ||
| Adam John Swanda | Registered representative | Jan 2024 (3y) | ||
| Brandon Robert Moore | Registered representative | Jan 2024 (3y) | ||
| Brian Neil Otterstrom | Registered representative | Jan 2024 (3y) | ||
| Cathleen Marie Odish | Registered representative | Jan 2024 (3y) | ||
| Daniel Michael Racicot | Registered representative | Jan 2024 (3y) | ||
| Dean Winfred Thurman | Registered representative | Jan 2024 (3y) | ||
| Hasan Y Ross El | Registered representative | Jan 2024 (3y) | ||
| Hunter James Washington | Registered representative | Jan 2024 (3y) | ||
| James Jae Won Uh | Registered representative | Jan 2024 (3y) | ||
| John Ewin Bradford | Registered representative | Jan 2024 (3y) | ||
| John Joseph Atkinson | Registered representative | Jan 2024 (3y) | ||
| John Michael Kennedy | Registered representative | Jan 2024 (3y) | ||
| Justin Dunn | Registered representative | Jan 2024 (3y) | ||
| Kelly Lynn Boyd | Registered representative | Jan 2024 (3y) | ||
| Kurtis Michael Beethem | Registered representative | Jan 2024 (3y) | ||
| Mason Gorris | Registered representative | Jan 2024 (3y) | ||
| Melissa Maureen Ward | Registered representative | Jan 2024 (3y) | ||
| Perry Higginson Bacon | Registered representative | Jan 2024 (3y) | ||
| Ryan Crue | Registered representative | Jan 2024 (3y) | ||
| Scott Cameron Rooney | Registered representative | Jan 2024 (3y) | ||
| Stephen J Rafter | Registered representative | Jan 2024 (3y) | ||
| David H Huther | Registered representative | Jan 2024 (3y) | ||
| Dennis Mark West | Registered representative | CFP | Jan 2024 (3y) | |
| Kenneth Lowell Moran | Registered representative | Jan 2024 (3y) | ||
| Michelle Pearson | Registered representative | Jan 2024 (3y) | ||
| Peter Katsarelis | Registered representative | Jan 2024 (3y) | ||
| Salvatore Stephen Vero | Registered representative | Jan 2024 (3y) | ||
| Timothy P Connors | Registered representative | Jan 2024 (3y) | ||
| Brittany Janelle Griffin | Registered representative | Jan 2024 (3y) | ||
| Douglas Harry Chapman | Registered representative | Jan 2024 (3y) | ||
| Eric Jon Kikuji Ordinario | Registered representative | Jan 2024 (3y) | ||
| Eric William Squires | Registered representative | Jan 2024 (3y) | ||
| Evan Gene Streich | Registered representative | Jan 2024 (3y) | ||
| Holly Nicole Henry | Registered representative | Jan 2024 (3y) | ||
| Jordan Thompson Dunsmore | Registered representative | Jan 2024 (3y) | ||
| Jaime Kathleen Wichlacz | Registered representative | Jan 2024 (3y) | ||
| Max Potosme | Registered representative | Jan 2024 (3y) | ||
| Michael Bonaccorso | Registered representative | Jan 2024 (3y) | ||
| William John Lukach | Registered representative | Jan 2024 (3y) | ||
| William Robert Mericle | Registered representative | Jan 2024 (3y) | ||
| Brady Joseph Koss | Registered representative | Jan 2024 (3y) | ||
| Gregory Stark Pettys | Registered representative | CFP Chartered Financial Consultant | Jan 2024 (3y) | |
| Jason Batista | Registered representative | Jan 2024 (3y) | ||
| Katharine Anne Charton | Registered representative | Jan 2024 (3y) | ||
| Marc Freeman Arnett | Registered representative | Jan 2024 (3y) | ||
| Robert Emmet Lydon | Registered representative | CFP | Jan 2024 (3y) | |
| Robert Lee Burch | Registered representative | Jan 2024 (3y) | ||
| Barbara Langford Davis | Registered representative | CFP | Jan 2024 (3y) | |
| Ishmael Tariq Abdul Al Bari | Registered representative | Jan 2024 (3y) | ||
| Jeffrey Anton Knusalla | Registered representative | Jan 2024 (3y) | ||
| Jennifer Denise Hawkins | Registered representative | CFP | Jan 2024 (3y) | |
| Joseph E Simon | Registered representative | Jan 2024 (3y) | ||
| Michael Brock Richter | Registered representative | Jan 2024 (3y) | ||
| Richard Scott White | Registered representative | Jan 2024 (3y) | ||
| Robert Lee Stewart | Registered representative | Jan 2024 (3y) | ||
| Solomon Mario Lamacchio | Registered representative | Jan 2024 (3y) | ||
| Adam Casey Wohlscheid | Registered representative | CFP Chartered Financial Consultant CFA | Jan 2024 (3y) | |
| Brett Alan Naylor | Registered representative | CFP | Jan 2024 (3y) | |
| David Anthony Troy | Registered representative | Jan 2024 (3y) | ||
| Gregory Scott Dahlberg | Registered representative | CFP | Jan 2024 (3y) | |
| James Cameron Branch Currier | Registered representative | Jan 2024 (3y) | ||
| Joseph Wayne Maier | Registered representative | Jan 2024 (3y) | ||
| Justin Anthony Revak | Registered representative | Jan 2024 (3y) | ||
| Logan Michael Maier | Registered representative | CFP Chartered Financial Consultant CFA | Jan 2024 (3y) | |
| Michael Andrew Wilcox | Registered representative | CFP Chartered Financial Consultant | Jan 2024 (3y) | |
| Vanessa Mari Gonzalez Marquez | Registered representative | Jan 2024 (3y) | ||
| Wayne Charles Maier | Registered representative | Jan 2024 (3y) | ||
| Erick B Simonds | Registered representative | Jan 2024 (3y) | ||
| Eugene Paul Sninski | Registered representative | Jan 2024 (3y) | ||
| Elizabeth Janean Warner | Registered representative | Jan 2024 (3y) | ||
| Gerald F Flanery | Registered representative | Jan 2024 (3y) | ||
| Heather R. Lunsford | Registered representative | Jan 2024 (3y) | ||
| Justin Alan Oakley | Registered representative | Jan 2024 (3y) | ||
| Lisa Helen Sninski | Registered representative | Jan 2024 (3y) | ||
| Robert Alexander Long Leland | Registered representative | Jan 2024 (3y) | ||
| Russell Quentin Stewart | Registered representative | Jan 2024 (3y) | ||
| Sharyn Dansa | Registered representative | Jan 2024 (3y) | ||
| Travis Corbin Smith | Registered representative | Jan 2024 (3y) | ||
| William M Elwell | Registered representative | Jan 2024 (3y) | ||
| Katherine Alyse Daniels | Registered representative | Jan 2024 (3y) | ||
| Matthew Shane Lusk | Registered representative | Jan 2024 (3y) | ||
| Robert Allen Moug | Registered representative | Jan 2024 (3y) | ||
| Andrew Kutanovski | Registered representative | CFP | Jan 2024 (3y) | |
| Chris Thomas Kurtis | Registered representative | Jan 2024 (3y) | ||
| Danielle Marie Morriss | Registered representative | Jan 2024 (3y) | ||
| David John Segarra | Registered representative | Jan 2024 (3y) | ||
| Danielle Nicole Brown | Registered representative | Jan 2024 (3y) | ||
| Danny Buchanan | Registered representative | Jan 2024 (3y) | ||
| Jacob Ross Biltz | Registered representative | Jan 2024 (3y) | ||
| John William Giangrande | Registered representative | Jan 2024 (3y) | ||
| Jonathan Earl Porter | Registered representative | Jan 2024 (3y) | ||
| James Floyd Lyon | Registered representative | Jan 2024 (3y) | ||
| Matthew Ronald Cracchiolo | Registered representative | Jan 2024 (3y) | ||
| Stephen Matthew De Jong | Registered representative | Jan 2024 (3y) | ||
| Tome Salkovski | Registered representative | Jan 2024 (3y) | ||
| Jonathan Evan Dumas | Registered representative | CFP | Jan 2024 (3y) | |
| Jonathan Michael Maloney | Registered representative | Jan 2024 (3y) | ||
| Nicole Rae Davis | Registered representative | Jan 2024 (3y) | ||
| Sean Sullivan | Registered representative | Jan 2024 (3y) | ||
| Antoine Meehan | Registered representative | Jan 2024 (3y) | ||
| John Richard Mielke | Registered representative | Jan 2024 (3y) | ||
| Lisa Faith Vaillancourt | Registered representative | Jan 2024 (3y) | ||
| Mark David Riebesehl | Registered representative | Jan 2024 (3y) | ||
| Martin Mercurio | Registered representative | Jan 2024 (3y) | ||
| Patrick Joseph Lantzy | Registered representative | CFP | Jan 2024 (3y) | |
| Rachel Bredette Weathers | Registered representative | Jan 2024 (3y) | ||
| Scott William Klahn | Registered representative | Jan 2024 (3y) | ||
| Zohetni Gonzalez | Registered representative | Jan 2024 (3y) | ||
| Kathryn Carleen Pagh | Registered representative | Jan 2024 (3y) | ||
| Steven Gerard Wortmann | Registered representative | Jan 2024 (3y) | ||
| William A Meyer | Registered representative | Jan 2024 (3y) | ||
| Abraham Serrano | Registered representative | Jan 2024 (3y) | ||
| Brad Scott Weingart | Registered representative | Jan 2024 (3y) | ||
| Jacob Woodson Ritter | Registered representative | Jan 2024 (3y) | ||
| Lawrence Joseph Hesse | Registered representative | Jan 2024 (3y) | ||
| Logan Wade De Rosier | Registered representative | Jan 2024 (3y) | ||
| Michelle D. Portney | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Peter Elliott Letch | Registered representative | Jan 2024 (3y) | ||
| Caleb Jordan Moore | Registered representative | Jan 2024 (3y) | ||
| Edward L Bang | Registered representative | Jan 2024 (3y) | ||
| Eric Thomas Howsley | Registered representative | CFP | Jan 2024 (3y) | |
| James Stephen Franceus | Registered representative | CFP | Jan 2024 (3y) | |
| Kevin Michael Nervegna | Registered representative | Jan 2024 (3y) | ||
| Melanie Sheldon Carvalho | Registered representative | Jan 2024 (3y) | ||
| Michael Francis Angier | Registered representative | Jan 2024 (3y) | ||
| Peter Eric Gialames | Registered representative | Jan 2024 (3y) | ||
| Peter James Gialames | Registered representative | Jan 2024 (3y) | ||
| Amy Rose Holewa | Registered representative | CFP | Jan 2024 (3y) | |
| Alicia Antala | Registered representative | Jan 2024 (3y) | ||
| Benjamin Aaron Edwards | Registered representative | Jan 2024 (3y) | ||
| Christopher R Bice | Registered representative | Jan 2024 (3y) | ||
| Dan Andrew Pias | Registered representative | Jan 2024 (3y) | ||
| Jeffrey Lee Schuler | Registered representative | CFP | Jan 2024 (3y) | |
| Jennifer Jean Nelson | Registered representative | Jan 2024 (3y) | ||
| Kyle James Walker | Registered representative | Jan 2024 (3y) | ||
| Marie Lynette Henrichs | Registered representative | CFP | Jan 2024 (3y) | |
| Mary Irene Self | Registered representative | CFP | Jan 2024 (3y) | |
| Michael Alan Matheson | Registered representative | CFP | Jan 2024 (3y) | |
| Mark Matulewicz | Registered representative | Jan 2024 (3y) | ||
| Paul Raymond Lyon | Registered representative | CFP | Jan 2024 (3y) | |
| Peyton Andrew Schuler | Registered representative | Jan 2024 (3y) | ||
| Raymond Edward Saari | Registered representative | CFP | Jan 2024 (3y) | |
| Scott Alan Robichaud | Registered representative | Jan 2024 (3y) | ||
| Scott Edward Parrish | Registered representative | Jan 2024 (3y) | ||
| Susan Marie Anderson | Registered representative | Jan 2024 (3y) | ||
| Timothy Clark Lowry | Registered representative | Jan 2024 (3y) | ||
| Diana Lynn Avery | Registered representative | CFP | Jan 2024 (3y) | |
| Jason Todd Osborne | Registered representative | Jan 2024 (3y) | ||
| Katherine Desiree Bennen | Registered representative | Jan 2024 (3y) | ||
| Mark Dean Swanson | Registered representative | Jan 2024 (3y) | ||
| Mitchell Roy Griep | Registered representative | CFP | Jan 2024 (3y) | |
| Mary Samet | Registered representative | Jan 2024 (3y) | ||
| Melissa Jolene Hampton | Registered representative | Jan 2024 (3y) | ||
| Andrew Patrick Augustine | Registered representative | Feb 2024 (3y) | ||
| Benard Kyule Weibel | Registered representative | Feb 2024 (3y) | ||
| Brandon Thomas Valdo | Registered representative | Feb 2024 (3y) | ||
| Cynthia Joy Rogers | Registered representative | Feb 2024 (3y) | ||
| Danielle Marie Thompson | Registered representative | Feb 2024 (3y) | ||
| Derek James Sebastian | Registered representative | Feb 2024 (3y) | ||
| Geoffrey King Nance | Registered representative | Feb 2024 (3y) | ||
| Harold Dennis Rotary | Registered representative | Feb 2024 (3y) | ||
| Jaquam Morris | Registered representative | Feb 2024 (3y) | ||
| Jason Richard Newcomb | Registered representative | CFP | Feb 2024 (3y) | |
| Jeffrey Bruce Knight | Registered representative | Feb 2024 (3y) | ||
| Julie Ann Bennett | Registered representative | Feb 2024 (3y) | ||
| Julie Tarak Anderson | Registered representative | Feb 2024 (3y) | ||
| Justin Mark Levanetz | Registered representative | Feb 2024 (3y) | ||
| James R Ray | Registered representative | CFP | Feb 2024 (3y) | |
| Jesse James Ettlin | Registered representative | Feb 2024 (3y) | ||
| Kenny Jack Kidd | Registered representative | Feb 2024 (3y) | ||
| Marrisa Michelle Taylor | Registered representative | Feb 2024 (3y) | ||
| Michael Patrick Mitchell | Registered representative | Feb 2024 (3y) | ||
| Nathan D Schmiege | Registered representative | Feb 2024 (3y) | ||
| Nathaniel Ross Barkley | Registered representative | Feb 2024 (3y) | ||
| Patricia Nancy Sala | Registered representative | Feb 2024 (3y) | ||
| Stephanie Marie Brown | Registered representative | Feb 2024 (3y) | ||
| Stephen Edward Repak | Registered representative | CFP | Feb 2024 (3y) | |
| Travis Jay Lacelle | Registered representative | Feb 2024 (3y) | ||
| Trisia Emily Gotham | Registered representative | Feb 2024 (3y) | ||
| Asim Mandhai | Registered representative | Feb 2024 (2y) | ||
| Barry Allan Friedson | Registered representative | CFP | Feb 2024 (2y) | |
| Daniel L Bedard | Registered representative | Feb 2024 (2y) | ||
| Earl Aksel Pedersen | Registered representative | Feb 2024 (2y) | ||
| Evan Soter Wardner | Registered representative | CFP | Feb 2024 (2y) | |
| Jason Ward Maclin | Registered representative | Feb 2024 (2y) | ||
| John H Shank | Registered representative | Feb 2024 (2y) | ||
| Ronald John Garutti | Registered representative | CFP | Feb 2024 (2y) | |
| Stephen Jacob Hlavinka | Registered representative | Feb 2024 (2y) | ||
| Zahya Lee Beall | Registered representative | Feb 2024 (2y) | ||
| Bonnie Jean Aleck | Registered representative | Feb 2024 (2y) | ||
| Bryon Howard Graff | Registered representative | Feb 2024 (2y) | ||
| Christopher Joseph Calagna | Registered representative | Feb 2024 (2y) | ||
| Cortlin De Maine | Registered representative | Feb 2024 (2y) | ||
| Eli Jon Samuelson | Registered representative | Feb 2024 (2y) | ||
| Gwendolyn A Canonico | Registered representative | CFP | Feb 2024 (2y) | |
| Justin J Weil | Registered representative | Feb 2024 (2y) | ||
| Milic Zecevic | Registered representative | CFP | Feb 2024 (2y) | |
| Nicholas James Kohut | Registered representative | Feb 2024 (2y) | ||
| Ronald K Witter | Registered representative | Feb 2024 (2y) | ||
| Robert Christopher Bowen | Registered representative | CFP | Feb 2024 (2y) | |
| Sheila Marie Baker | Registered representative | Feb 2024 (2y) | ||
| William Blair Waller | Registered representative | CFP | Feb 2024 (2y) | |
| William Stanton Branham | Registered representative | Feb 2024 (2y) | ||
| Anthony David Friend | Registered representative | Feb 2024 (2y) | ||
| Boyd L. Sorem | Registered representative | Feb 2024 (2y) | ||
| Christopher Martin Bowen | Registered representative | Feb 2024 (2y) | ||
| Donald Joseph Magdon | Registered representative | CFP | Feb 2024 (2y) | |
| James B Smith | Registered representative | Feb 2024 (2y) | ||
| Michael Joseph Jennings | Registered representative | Feb 2024 (2y) | ||
| Matthew Douglas Young | Registered representative | Feb 2024 (2y) | ||
| Megan Nicole Crofoot | Registered representative | Feb 2024 (2y) | ||
| Melinda B Margolis | Registered representative | CFP | Feb 2024 (2y) | |
| Michael Scott Benoit | Registered representative | Feb 2024 (2y) | ||
| Rebecca Garner | Registered representative | Feb 2024 (2y) | ||
| Shawna Lee Waldman | Registered representative | Feb 2024 (2y) | ||
| Dennis J Harp | Registered representative | Feb 2024 (2y) | ||
| Marcos A Lopez Perez | Registered representative | CFP Chartered Financial Consultant | Feb 2024 (2y) | |
| Roy Arcadio Manriquez | Registered representative | Feb 2024 (2y) | ||
| Robert Keller | Registered representative | Feb 2024 (2y) | ||
| Timothy Blair Morris | Registered representative | Feb 2024 (2y) | ||
| Vicki Rachelle Kirkpatrick | Registered representative | Feb 2024 (2y) | ||
| Anthony Kirk Burgess | Registered representative | Feb 2024 (2y) | ||
| Gregory Joseph Wisniew | Registered representative | CFP | Feb 2024 (2y) | |
| Mark Edwin Zafereo | Registered representative | Feb 2024 (2y) | ||
| Samuel Johnathan Bennett | Registered representative | CFP | Feb 2024 (2y) | |
| Courtney Suire Guidry | Registered representative | Feb 2024 (2y) | ||
| James Michael Smith | Registered representative | Feb 2024 (2y) | ||
| Molly Anita Newborn | Registered representative | Feb 2024 (2y) | ||
| Seth Tyler Marshall | Registered representative | Feb 2024 (2y) | ||
| Shane M Suders | Registered representative | Feb 2024 (2y) | ||
| David Lee Miller | Registered representative | Feb 2024 (2y) | ||
| David Williamson | Registered representative | Feb 2024 (2y) | ||
| Elijah Garner | Registered representative | Feb 2024 (2y) | ||
| George E. Lee | Registered representative | CFA | Feb 2024 (2y) | |
| Jake Arbon | Registered representative | Feb 2024 (2y) | ||
| Michael John Gloster | Registered representative | Feb 2024 (2y) | ||
| Ryan Joseph Brandt | Registered representative | Feb 2024 (2y) | ||
| Andrew Deck | Registered representative | Feb 2024 (2y) | ||
| Asako Okuma | Registered representative | Feb 2024 (2y) | ||
| Donald Lee Ledford | Registered representative | Feb 2024 (2y) | ||
| David Aaron Mc Gatlin | Registered representative | Feb 2024 (2y) | ||
| Joseph A Shearrer | Registered representative | Feb 2024 (2y) | ||
| Michael D Ivey | Registered representative | Feb 2024 (2y) | ||
| Adam John Jurewicz | Registered representative | Feb 2024 (2y) | ||
| Bryce Jeffrey Porter | Registered representative | CFP | Feb 2024 (2y) | |
| Drew Allen Mikel | Registered representative | Feb 2024 (2y) | ||
| Lance Wayne Roe | Registered representative | Feb 2024 (2y) | ||
| Michael Kevin Donohue | Registered representative | CFP | Feb 2024 (2y) | |
| Robert William Higgins | Registered representative | Feb 2024 (2y) | ||
| Spencer Paul Pnacek | Registered representative | Feb 2024 (2y) | ||
| Andrew Victor Villafranca | Registered representative | CFP | Feb 2024 (2y) | |
| James H Fitz Simmons | Registered representative | Feb 2024 (2y) | ||
| Lane Michael Nichols | Registered representative | Feb 2024 (2y) | ||
| Ryan Rakesh Popat | Registered representative | Feb 2024 (2y) | ||
| Kathleen Marie Schmidt | Registered representative | Feb 2024 (2y) | ||
| Nicholas A Irving | Registered representative | Feb 2024 (2y) | ||
| Brett Thomas Wieser | Registered representative | Feb 2024 (2y) | ||
| Carson Joseph Hemmann | Registered representative | Feb 2024 (2y) | ||
| Charles John Pinchotti | Registered representative | CFP Chartered Financial Consultant | Feb 2024 (2y) | |
| Cole E C Backenstose | Registered representative | Feb 2024 (2y) | ||
| Dean Scott | Registered representative | Feb 2024 (2y) | ||
| Karri Ann Hill | Registered representative | Feb 2024 (2y) | ||
| Matthew Louis Edwards | Registered representative | Feb 2024 (2y) | ||
| Nickolas Blake Wilson | Registered representative | Feb 2024 (2y) | ||
| Sumit Sharma | Registered representative | CFP | Feb 2024 (2y) | |
| Brett Andrew Thompson | Registered representative | Feb 2024 (2y) | ||
| Dennis Michael Oliva | Registered representative | Feb 2024 (2y) | ||
| James Patrick Debuque | Registered representative | Feb 2024 (2y) | ||
| Milissa Jean Grimsbo | Registered representative | Feb 2024 (2y) | ||
| Scott Lopaka Kam Kin Frunzi | Registered representative | Feb 2024 (2y) | ||
| Timothy M Baltz | Registered representative | Feb 2024 (2y) | ||
| Tyler A Getz | Registered representative | Feb 2024 (2y) | ||
| Wendy A Fratrik | Registered representative | Feb 2024 (2y) | ||
| Austin Charles Fitzgerald | Registered representative | Feb 2024 (2y) | ||
| Dimitri Ioannis Hountalas | Registered representative | Feb 2024 (2y) | ||
| James Marshall Eisnor | Registered representative | Feb 2024 (2y) | ||
| Joseph Edward Salamone | Registered representative | Feb 2024 (2y) | ||
| Jacob David Danner | Registered representative | Feb 2024 (2y) | ||
| Kevin Dale Smith | Registered representative | Feb 2024 (2y) | ||
| Phoenix Lee Smith | Registered representative | Feb 2024 (2y) | ||
| Robert John O'korn | Registered representative | Feb 2024 (2y) | ||
| Slay Courtney Wagoner | Registered representative | Feb 2024 (2y) | ||
| Andrew Allen Hefner | Registered representative | Feb 2024 (2y) | ||
| Henry Dale Thompson | Registered representative | Feb 2024 (2y) | ||
| Joseph Toomey | Registered representative | Feb 2024 (2y) | ||
| Jorge Alejandro Soto | Registered representative | Feb 2024 (2y) | ||
| Philip David Nation | Registered representative | CFP Chartered Financial Consultant | Feb 2024 (2y) | |
| Russell Scott Hale | Registered representative | CFP | Feb 2024 (2y) | |
| Tyler Newman | Registered representative | Feb 2024 (2y) | ||
| Daniel Scott Scharlach | Registered representative | Feb 2024 (2y) | ||
| David George Schilling | Registered representative | Chartered Financial Consultant | Feb 2024 (2y) | |
| Harrison Leblanc | Registered representative | Feb 2024 (2y) | ||
| Jaime Walker | Registered representative | Feb 2024 (2y) | ||
| Jesse Floyd Ward | Registered representative | Feb 2024 (2y) | ||
| Maria Renata Ashley | Registered representative | Feb 2024 (2y) | ||
| Madison Carr Kinsey | Registered representative | Feb 2024 (2y) | ||
| Rene Frank Ornelas | Registered representative | Feb 2024 (2y) | ||
| Richard Peter Mercier | Registered representative | Chartered Financial Consultant | Feb 2024 (2y) | |
| Robert John Schilling | Registered representative | Feb 2024 (2y) | ||
| Wilber Aguirre | Registered representative | Feb 2024 (2y) | ||
| Alyse Marie Keultjes | Registered representative | CFP | Feb 2024 (2y) | |
| Brian Edward Birchmeier | Registered representative | Feb 2024 (2y) | ||
| Christian Rodak | Registered representative | Feb 2024 (2y) | ||
| Eric David Oatman | Registered representative | Feb 2024 (2y) | ||
| Gwyneth Eileen Godbout | Registered representative | Feb 2024 (2y) | ||
| Joseph John Haas | Registered representative | Feb 2024 (2y) | ||
| W. Tyler Mercier | Registered representative | Feb 2024 (2y) | ||
| Aaron J Tidd | Registered representative | Feb 2024 (2y) | ||
| Alisha Cannon | Registered representative | Feb 2024 (2y) | ||
| Colleen Kelly Abate | Registered representative | CFP | Feb 2024 (2y) | |
| Gregory G Mullaney | Registered representative | CFP | Feb 2024 (2y) | |
| Michael Rochonchou | Registered representative | Chartered Financial Consultant | Feb 2024 (2y) | |
| Michael Rochonchou | Registered representative | Feb 2024 (2y) | ||
| Peter Pagano | Registered representative | Feb 2024 (2y) | ||
| Robert Russell Walls | Registered representative | Feb 2024 (2y) | ||
| Stephen Ridge | Registered representative | Feb 2024 (2y) | ||
| Steven J Cataldo | Registered representative | Feb 2024 (2y) | ||
| Caitlin Boshnack | Registered representative | Feb 2024 (2y) | ||
| Harold H. Hartmann | Registered representative | CFP | Feb 2024 (2y) | |
| Heidi Marie Hammond | Registered representative | Feb 2024 (2y) | ||
| Karen Rae Hammond | Registered representative | Chartered Financial Consultant | Feb 2024 (2y) | |
| Rilee Lyle Johnson | Registered representative | CFP | Feb 2024 (2y) | |
| Brandon Jay Reef Laxton | Registered representative | CFP | Mar 2024 (2y) | |
| David Gwin Brooke | Registered representative | Mar 2024 (2y) | ||
| Guy D Jensen | Registered representative | Mar 2024 (2y) | ||
| Joseph Dwyer | Registered representative | CFP | Mar 2024 (2y) | |
| Jared Michael Sadowski | Registered representative | Mar 2024 (2y) | ||
| Todd Thomas Rechenbach | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Aaron Paul Puff | Registered representative | Mar 2024 (2y) | ||
| Allen Shojiro Komori | Registered representative | Mar 2024 (2y) | ||
| Andrew Odish | Registered representative | CFP | Mar 2024 (2y) | |
| Austin Jacob Dunithan | Registered representative | Mar 2024 (2y) | ||
| Austin Fisher | Registered representative | Mar 2024 (2y) | ||
| Brian Philip Konty | Registered representative | Mar 2024 (2y) | ||
| Conor M Fitzpatrick | Registered representative | Mar 2024 (2y) | ||
| Darin Allen Peterson | Registered representative | Mar 2024 (2y) | ||
| Douglas Martin Dee | Registered representative | Mar 2024 (2y) | ||
| Edwin Alan Toth | Registered representative | CFP | Mar 2024 (2y) | |
| Jeremiah John Kauffman | Registered representative | Mar 2024 (2y) | ||
| Jerry Richi | Registered representative | Mar 2024 (2y) | ||
| Kellen Koichi Kaneshiro | Registered representative | Mar 2024 (2y) | ||
| Kenneth Francis Galanis | Registered representative | Mar 2024 (2y) | ||
| Matthew J Kavanagh | Registered representative | Mar 2024 (2y) | ||
| Richard Francis Disammartino | Registered representative | Mar 2024 (2y) | ||
| Ryan Michael Sink | Registered representative | Mar 2024 (2y) | ||
| Thomas Steven Wegner | Registered representative | CFP | Mar 2024 (2y) | |
| William Leroy Westling | Registered representative | Mar 2024 (2y) | ||
| Alexander James Fridley | Registered representative | Mar 2024 (2y) | ||
| David Tescher | Registered representative | Mar 2024 (2y) | ||
| Jeremiah Leonard Bauman | Registered representative | Mar 2024 (2y) | ||
| Patrick Gill | Registered representative | Mar 2024 (2y) | ||
| Preston M Neal | Registered representative | Mar 2024 (2y) | ||
| Russell Vaughn Baird | Registered representative | Mar 2024 (2y) | ||
| Ryan Joseph Sepede | Registered representative | Mar 2024 (2y) | ||
| Bernard Baran | Registered representative | Mar 2024 (2y) | ||
| Dennis John Keyser | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Howey | Registered representative | Mar 2024 (2y) | ||
| Walter Corville Chown | Registered representative | CFP | Mar 2024 (2y) | |
| Andrew Noble Massieon | Registered representative | Mar 2024 (2y) | ||
| Angela Michelle Ford | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Aaron Russell Hill | Registered representative | Mar 2024 (2y) | ||
| Brian Michael Pflaum | Registered representative | Mar 2024 (2y) | ||
| Benjamin Daniel Strother | Registered representative | Mar 2024 (2y) | ||
| Grant Jay Lane | Registered representative | Mar 2024 (2y) | ||
| Heather Michelle Forte | Registered representative | Mar 2024 (2y) | ||
| Jeriod Lloyd Turner | Registered representative | Mar 2024 (2y) | ||
| John A Rundle | Registered representative | Mar 2024 (2y) | ||
| John Cahill | Registered representative | CFP | Mar 2024 (2y) | |
| Justin Laverne Gibson | Registered representative | Mar 2024 (2y) | ||
| Kevin Nicholas Ille | Registered representative | Mar 2024 (2y) | ||
| Patrick G Benson | Registered representative | Mar 2024 (2y) | ||
| Robert Renner Lane | Registered representative | Mar 2024 (2y) | ||
| Ross Alan Bauer | Registered representative | Mar 2024 (2y) | ||
| Russell Eugene Lane | Registered representative | Mar 2024 (2y) | ||
| Steven Q. Adamson | Registered representative | Mar 2024 (2y) | ||
| Tyler Jay Lane | Registered representative | Mar 2024 (2y) | ||
| Thomas Joe Alstrom | Registered representative | Mar 2024 (2y) | ||
| Timothy Aaron Miller | Registered representative | Mar 2024 (2y) | ||
| Amanda Marie Duran | Registered representative | CFP | Mar 2024 (2y) | |
| Andres Josue Maldonado Carvallo | Registered representative | Mar 2024 (2y) | ||
| Christopher Anthony Devincentis | Registered representative | Mar 2024 (2y) | ||
| Christina Grace Coles | Registered representative | Mar 2024 (2y) | ||
| David Anthony Huseby | Registered representative | Mar 2024 (2y) | ||
| Edward Joseph Kinslow | Registered representative | Mar 2024 (2y) | ||
| Jarmila Stehle | Registered representative | Mar 2024 (2y) | ||
| Jessica C Sellars | Registered representative | Mar 2024 (2y) | ||
| Kathleen Cimonetti | Registered representative | Mar 2024 (2y) | ||
| Rebecca Czysen | Registered representative | Mar 2024 (2y) | ||
| Crystal Lee Bowles | Registered representative | CFP | Mar 2024 (2y) | |
| Collin D Maides | Registered representative | Mar 2024 (2y) | ||
| Heather Wineman | Registered representative | Mar 2024 (2y) | ||
| Hunter G Weinert | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Douglas Damia | Registered representative | Mar 2024 (2y) | ||
| Jack Thomas Paulson | Registered representative | Mar 2024 (2y) | ||
| Luis David Sotelo | Registered representative | Mar 2024 (2y) | ||
| Matthew Keith Albritton | Registered representative | Mar 2024 (2y) | ||
| Nolan David Venable | Registered representative | Mar 2024 (2y) | ||
| Richard H Eckell | Registered representative | Mar 2024 (2y) | ||
| Ryan Bradley Williams | Registered representative | CFP | Mar 2024 (2y) | |
| Samuel E Wensink | Registered representative | CFP CFA | Mar 2024 (2y) | |
| Steven Barbosa | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Dale Strong Coover | Registered representative | Mar 2024 (2y) | ||
| Ian B Wetherell | Registered representative | Mar 2024 (2y) | ||
| Jacob Riloff | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Janet Dianne Leleux | Registered representative | Mar 2024 (2y) | ||
| Nataliya Varbanova Espey | Registered representative | Mar 2024 (2y) | ||
| Richard Paul Eisner | Registered representative | Mar 2024 (2y) | ||
| Timothy R Wright | Registered representative | CFP | Mar 2024 (2y) | |
| Zachary Daniel Lucas | Registered representative | Mar 2024 (2y) | ||
| Joseph Rivello | Registered representative | Mar 2024 (2y) | ||
| Michael Mullins | Registered representative | Mar 2024 (2y) | ||
| Michael Scott Caprai | Registered representative | Mar 2024 (2y) | ||
| Nancy Fabiola Toro Delcid De Figueroa | Registered representative | Mar 2024 (2y) | ||
| Patrick Andrew Klacka | Registered representative | CFP | Mar 2024 (2y) | |
| Aidan C Bowerman | Registered representative | Mar 2024 (2y) | ||
| Brian D Luther | Registered representative | Mar 2024 (2y) | ||
| Craig Taylor Wilcox | Registered representative | Mar 2024 (2y) | ||
| Eric Wrisley | Registered representative | Mar 2024 (2y) | ||
| Jordan Michael Sathoff | Registered representative | CFP | Mar 2024 (2y) | |
| Joseph Miles Johnson | Registered representative | Mar 2024 (2y) | ||
| Leslie Patricia Montes De Oca | Registered representative | Mar 2024 (2y) | ||
| Ryan Paul Merchant | Registered representative | Mar 2024 (2y) | ||
| Sara Anne Hibbs | Registered representative | Mar 2024 (2y) | ||
| Sharina C Smith | Registered representative | Mar 2024 (2y) | ||
| Agustin Hernandez | Registered representative | Mar 2024 (2y) | ||
| Brandon Scott Mcanally | Registered representative | Mar 2024 (2y) | ||
| Huy Dinh Pham | Registered representative | Mar 2024 (2y) | ||
| John Mark Mcanally | Registered representative | Mar 2024 (2y) | ||
| Joshua Mark Mcanally | Registered representative | Mar 2024 (2y) | ||
| Ryan Phillip Damlo | Registered representative | Mar 2024 (2y) | ||
| Andre Jesus St.Louis | Registered representative | Mar 2024 (2y) | ||
| Brenda Marie Hotaling | Registered representative | Mar 2024 (2y) | ||
| Brian James Tollefson | Registered representative | Mar 2024 (2y) | ||
| Caleb John Montag | Registered representative | CFP | Mar 2024 (2y) | |
| Cameron Guy Cubberley | Registered representative | Mar 2024 (2y) | ||
| Justin Buddy Arce | Registered representative | Mar 2024 (2y) | ||
| Jacob Nathaniel Puckett | Registered representative | Mar 2024 (2y) | ||
| Kyle Ray Stuckey | Registered representative | Mar 2024 (2y) | ||
| Todd Sterling Wright | Registered representative | Mar 2024 (2y) | ||
| Aaron G Henry | Registered representative | Mar 2024 (2y) | ||
| Catherine Marie Simmons | Registered representative | Mar 2024 (2y) | ||
| Daniel Wesley Renz | Registered representative | Mar 2024 (2y) | ||
| Keith Donald De Lamarter | Registered representative | CFP | Mar 2024 (2y) | |
| Maria Anna Eriksen | Registered representative | CFP | Mar 2024 (2y) | |
| Steven D Scherer | Registered representative | Mar 2024 (2y) | ||
| Virg Allan Thomas | Registered representative | Mar 2024 (2y) | ||
| Glenn Roger Sweeten | Registered representative | CFP | Mar 2024 (2y) | |
| John Michael Clifford | Registered representative | Mar 2024 (2y) | ||
| Jack Allen Syryczuk | Registered representative | Mar 2024 (2y) | ||
| Krystle M Young | Registered representative | Mar 2024 (2y) | ||
| Larry Myles Coplan | Registered representative | Mar 2024 (2y) | ||
| Ralph Lawrence Cenname | Registered representative | Mar 2024 (2y) | ||
| Thomas Welchons Krol | Registered representative | Mar 2024 (2y) | ||
| Cynthia Day Laroche | Registered representative | Mar 2024 (2y) | ||
| Caitlyn Lessard | Registered representative | Mar 2024 (2y) | ||
| Dexter J Grafton | Registered representative | Mar 2024 (2y) | ||
| Emma Leigh Tanabe | Registered representative | Mar 2024 (2y) | ||
| Jack A Magrum | Registered representative | Mar 2024 (2y) | ||
| Percy Canteenwalla | Registered representative | Mar 2024 (2y) | ||
| Reeve Allen Holmquist | Registered representative | Mar 2024 (2y) | ||
| Sarah Elisabeth Grafton | Registered representative | Mar 2024 (2y) | ||
| Tanya Michelle Carroll | Registered representative | Mar 2024 (2y) | ||
| Thomas William Perini | Registered representative | Mar 2024 (2y) | ||
| William Daniel Grafton | Registered representative | Mar 2024 (2y) | ||
| Alejandro Armando De Leon | Registered representative | Mar 2024 (2y) | ||
| Bradley L Travis | Registered representative | CFP | Mar 2024 (2y) | |
| Daric Brandon Lucero | Registered representative | Mar 2024 (2y) | ||
| David Alvin Brown | Registered representative | Mar 2024 (2y) | ||
| David Edward Crouse | Registered representative | Mar 2024 (2y) | ||
| Diana Esmeralda Paris | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Neil Feinberg | Registered representative | Mar 2024 (2y) | ||
| James Owens | Registered representative | Mar 2024 (2y) | ||
| Kevin John Gianfortune | Registered representative | Mar 2024 (2y) | ||
| Kevin Scott Mcclelland | Registered representative | Mar 2024 (2y) | ||
| Michael David Stewart | Registered representative | Mar 2024 (2y) | ||
| Robert John Gorman | Registered representative | Mar 2024 (2y) | ||
| Stephen Hocker | Registered representative | Mar 2024 (2y) | ||
| Stephen Vincent Melchiorre | Registered representative | Mar 2024 (2y) | ||
| Travis Lee Kikuchi | Registered representative | Mar 2024 (2y) | ||
| Vega Singlan Huen | Registered representative | Mar 2024 (2y) | ||
| Walter Armand Eife | Registered representative | Mar 2024 (2y) | ||
| William Daniel Grafton | Registered representative | Mar 2024 (2y) | ||
| Armando Juan Deleon | Registered representative | Mar 2024 (2y) | ||
| Anthony Alan Oss | Registered representative | Mar 2024 (2y) | ||
| Allison Grace Forman | Registered representative | Mar 2024 (2y) | ||
| Bryan Matthew Keating | Registered representative | Mar 2024 (2y) | ||
| Chad Allen Denney | Registered representative | Mar 2024 (2y) | ||
| Dean Crawford Phillips | Registered representative | Mar 2024 (2y) | ||
| Dwaine Harold Baasch | Registered representative | Mar 2024 (2y) | ||
| Joel David Rothe | Registered representative | CFP | Mar 2024 (2y) | |
| Joshua Wayne Randolph | Registered representative | CFP Chartered Financial Consultant | Mar 2024 (2y) | |
| Keith E Cusack | Registered representative | Mar 2024 (2y) | ||
| Kenneth Cangilla | Registered representative | Mar 2024 (2y) | ||
| Kirby Francis Rhodes Iii | Registered representative | CFP | Mar 2024 (2y) | |
| Kevin Dee Sparacino | Registered representative | Mar 2024 (2y) | ||
| Michael Joseph Young | Registered representative | Mar 2024 (2y) | ||
| Michael Scott Parrish | Registered representative | Mar 2024 (2y) | ||
| Tracy Alan Rothe | Registered representative | CFP | Mar 2024 (2y) | |
| Ashley Marie Zulauf | Registered representative | Mar 2024 (2y) | ||
| Hanifa Nankinga | Registered representative | Mar 2024 (2y) | ||
| Harish Kumar | Registered representative | Mar 2024 (2y) | ||
| Holly Rae Grippe | Registered representative | Mar 2024 (2y) | ||
| Jonathan Steven Chubak | Registered representative | Mar 2024 (2y) | ||
| Kassin Mosbrucker | Registered representative | Mar 2024 (2y) | ||
| Michael Charles Wallblom | Registered representative | Mar 2024 (2y) | ||
| Matthew Neil | Registered representative | Mar 2024 (2y) | ||
| Richard Dwight Thompson | Registered representative | CFP | Mar 2024 (2y) | |
| Tracy Lamar Lentz | Registered representative | Mar 2024 (2y) | ||
| Charles Whitman Cato | Registered representative | Mar 2024 (2y) | ||
| Christopher Noah Geoghegan | Registered representative | Mar 2024 (2y) | ||
| Claire Cato Hanson | Registered representative | Mar 2024 (2y) | ||
| David Gordon Monkelien | Registered representative | CFP | Mar 2024 (2y) | |
| Gary Eugene Croxall | Registered representative | CFP | Mar 2024 (2y) | |
| James Anthony Enriquez | Registered representative | CFP | Mar 2024 (2y) | |
| James Gabriel Alovera Credo | Registered representative | Mar 2024 (2y) | ||
| Jared Ross Peyster | Registered representative | Mar 2024 (2y) | ||
| Jenna Hokanson | Registered representative | CFP | Mar 2024 (2y) | |
| Joseph David Monkelien | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Mark Todd Ibis | Registered representative | Mar 2024 (2y) | ||
| Matthew Cody Brooks | Registered representative | Mar 2024 (2y) | ||
| Matthew E Lemire | Registered representative | Mar 2024 (2y) | ||
| Ryan Christopher Page | Registered representative | CFP | Mar 2024 (2y) | |
| Sarah Caroline Montgomery | Registered representative | Mar 2024 (2y) | ||
| Tomohiko Minami | Registered representative | CFP CFA | Mar 2024 (2y) | |
| Alexis Aaron Villarreal | Registered representative | Mar 2024 (2y) | ||
| Barb Vavruska Fish | Registered representative | Mar 2024 (2y) | ||
| Brian Timothy Lenell | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| David Allan Krech | Registered representative | Mar 2024 (2y) | ||
| James Manning Hannigan | Registered representative | Mar 2024 (2y) | ||
| James John Price | Registered representative | Mar 2024 (2y) | ||
| Leonardo F Chang | Registered representative | CFP | Mar 2024 (2y) | |
| Ryan Thomas Wukitsch | Registered representative | Mar 2024 (2y) | ||
| Robert James Franklin | Registered representative | CFP | Mar 2024 (2y) | |
| Stephen John Dufrene | Registered representative | Mar 2024 (2y) | ||
| Stephen Lee Papineau | Registered representative | CFP | Mar 2024 (2y) | |
| Thomas Hudson | Registered representative | Mar 2024 (2y) | ||
| Deep Patel | Registered representative | Mar 2024 (2y) | ||
| Jose Ramon Alvarez | Registered representative | Mar 2024 (2y) | ||
| Sean Alexander Harding | Registered representative | Mar 2024 (2y) | ||
| Timothy D. Haugh | Registered representative | Mar 2024 (2y) | ||
| Benjamin Pasee Ahyou | Registered representative | Apr 2024 (2y) | ||
| Brandon Curtis Linker | Registered representative | Apr 2024 (2y) | ||
| Brian Ashley Martin | Registered representative | Apr 2024 (2y) | ||
| Christopher Joel Carroll | Registered representative | Apr 2024 (2y) | ||
| Claudia Vazquez Geis | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Gash | Registered representative | Apr 2024 (2y) | ||
| Jerimiah David Gildea | Registered representative | Apr 2024 (2y) | ||
| Joseph H Gompers | Registered representative | Apr 2024 (2y) | ||
| Jane Ellen Donnelly | Registered representative | Apr 2024 (2y) | ||
| Jena Ann Kvislen | Registered representative | Apr 2024 (2y) | ||
| Juan Camilo Davila | Registered representative | Apr 2024 (2y) | ||
| Lori Beth Mcalpin | Registered representative | Apr 2024 (2y) | ||
| Michael Randolph Fereday | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Matthew James Ford | Registered representative | Apr 2024 (2y) | ||
| Miguel Arcenio Maria | Registered representative | Apr 2024 (2y) | ||
| Phillip Scott Eggers | Registered representative | Apr 2024 (2y) | ||
| Peter Arpad Trummer | Registered representative | Apr 2024 (2y) | ||
| Scott R Warner | Registered representative | Apr 2024 (2y) | ||
| Thomas Ewig | Registered representative | Apr 2024 (2y) | ||
| Albert Linker | Registered representative | Apr 2024 (2y) | ||
| Amy Elizabeth Wedll | Registered representative | Apr 2024 (2y) | ||
| Brian Michael Parasida | Registered representative | Apr 2024 (2y) | ||
| Callen Wayne Bryan | Registered representative | Apr 2024 (2y) | ||
| Christopher John Moyer | Registered representative | Apr 2024 (2y) | ||
| Eric Scott Johnson | Registered representative | Apr 2024 (2y) | ||
| George Ray Breeden | Registered representative | Apr 2024 (2y) | ||
| Justin Carfora | Registered representative | Apr 2024 (2y) | ||
| Jon Anthony Canupp | Registered representative | Apr 2024 (2y) | ||
| Kevin Joseph Orsinger | Registered representative | Apr 2024 (2y) | ||
| Lewis Edward Vasey | Registered representative | CFP | Apr 2024 (2y) | |
| Randy Frederick | Registered representative | Apr 2024 (2y) | ||
| Val Janschutz | Registered representative | Apr 2024 (2y) | ||
| Chance Gragert | Registered representative | Apr 2024 (2y) | ||
| Erik Peterson | Registered representative | Apr 2024 (2y) | ||
| Frank Preston Powell | Registered representative | Apr 2024 (2y) | ||
| Jason Eyer | Registered representative | Apr 2024 (2y) | ||
| Kenneth Alan Wall | Registered representative | Apr 2024 (2y) | ||
| Laurie Stevens Powell | Registered representative | Apr 2024 (2y) | ||
| Melissa Powell Street | Registered representative | CFP | Apr 2024 (2y) | |
| Vernon Kim | Registered representative | Apr 2024 (2y) | ||
| Garrett Taylor Johnson | Registered representative | Apr 2024 (2y) | ||
| Robert Christopher Beaulieu | Registered representative | Apr 2024 (2y) | ||
| Carmin Jolanda Allen | Registered representative | Apr 2024 (2y) | ||
| Drew Achter | Registered representative | CFP | Apr 2024 (2y) | |
| Dana Hanson | Registered representative | Apr 2024 (2y) | ||
| Keith Mevorah | Registered representative | Apr 2024 (2y) | ||
| Katherine Mc Kown Buyck | Registered representative | Apr 2024 (2y) | ||
| Timothy Eric Smith | Registered representative | Apr 2024 (2y) | ||
| William Gilmore Simms Oliphant | Registered representative | Apr 2024 (2y) | ||
| Candace Marie Polk | Registered representative | Apr 2024 (2y) | ||
| David R Gray | Registered representative | Apr 2024 (2y) | ||
| Edward Ignazio Cugno | Registered representative | Apr 2024 (2y) | ||
| Ethan Fischel | Registered representative | Apr 2024 (2y) | ||
| Ethan Lehman | Registered representative | Apr 2024 (2y) | ||
| James Lynn Combs | Registered representative | Apr 2024 (2y) | ||
| Mark Scott Potter | Registered representative | Apr 2024 (2y) | ||
| Sarah Jo Stanley | Registered representative | Apr 2024 (2y) | ||
| Tuong Ta Vo | Registered representative | Apr 2024 (2y) | ||
| Anita L Ritter | Registered representative | Apr 2024 (2y) | ||
| Carole Jean Pfeifer | Registered representative | Apr 2024 (2y) | ||
| Kevin Joseph Kelleher | Registered representative | Apr 2024 (2y) | ||
| Nathan Schmidt | Registered representative | Apr 2024 (2y) | ||
| Teresa Hope Redman | Registered representative | CFP | Apr 2024 (2y) | |
| Allikan Cree Dianne Martens | Registered representative | Apr 2024 (2y) | ||
| Benjamin Allen Young | Registered representative | Apr 2024 (2y) | ||
| Benjamin J Pearman | Registered representative | Apr 2024 (2y) | ||
| Erica Chavez | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Salvatore Cristadoro | Registered representative | Apr 2024 (2y) | ||
| Joel Donald Hanson | Registered representative | Apr 2024 (2y) | ||
| Scott Ryan Mell | Registered representative | Apr 2024 (2y) | ||
| Thomas Peter Hillebrecht | Registered representative | Apr 2024 (2y) | ||
| Damon Darrell Walker | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Stephen Plesser | Registered representative | Apr 2024 (2y) | ||
| Tad Peter Johnson | Registered representative | Apr 2024 (2y) | ||
| Tanner Lantrip Atkins | Registered representative | Apr 2024 (2y) | ||
| Trevor Mattson | Registered representative | Apr 2024 (2y) | ||
| Troy Vaughan | Registered representative | Apr 2024 (2y) | ||
| Jack Frederick Sweeney | Registered representative | Apr 2024 (2y) | ||
| Andrew Koetter | Registered representative | Apr 2024 (2y) | ||
| Alicia Kapus | Registered representative | Apr 2024 (2y) | ||
| Genesis Y Bynes | Registered representative | Apr 2024 (2y) | ||
| Jon William Anderson | Registered representative | Apr 2024 (2y) | ||
| Kyle Allen Day | Registered representative | Apr 2024 (2y) | ||
| Michael John Wochnick | Registered representative | Apr 2024 (2y) | ||
| Rodney Baker | Registered representative | Apr 2024 (2y) | ||
| Amy Jo Shelby | Registered representative | Apr 2024 (2y) | ||
| Michael Cappelletti | Registered representative | Apr 2024 (2y) | ||
| Preston Arthur Miller | Registered representative | Apr 2024 (2y) | ||
| Quinn Charles Davis | Registered representative | Apr 2024 (2y) | ||
| Steffani Anne Johnstone | Registered representative | Apr 2024 (2y) | ||
| Tahsin Nawaz Faruki | Registered representative | Apr 2024 (2y) | ||
| Thomas David Weber | Registered representative | CFP | Apr 2024 (2y) | |
| Caleb W Stertzer | Registered representative | Apr 2024 (2y) | ||
| Caleb Stephen Stapp | Registered representative | Apr 2024 (2y) | ||
| Clayton Fredrick Ortloff | Registered representative | Apr 2024 (2y) | ||
| Dustin Mendenhall | Registered representative | Apr 2024 (2y) | ||
| Emily Ida Rivenes | Registered representative | CFP | Apr 2024 (2y) | |
| Franklin Llewellyn Naylor | Registered representative | Apr 2024 (2y) | ||
| Geoffrey Colin Turner | Registered representative | Apr 2024 (2y) | ||
| Irini Ioanna Housiadas | Registered representative | CFP | Apr 2024 (2y) | |
| James Bradley Garner | Registered representative | CFP | Apr 2024 (2y) | |
| Jason Orcena Tiongson | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Dean Barlow | Registered representative | Apr 2024 (2y) | ||
| Krishna Venkatesh Agnihotri | Registered representative | Apr 2024 (2y) | ||
| Luke Cletus Iverson | Registered representative | Apr 2024 (2y) | ||
| Matthew T Young | Registered representative | CFP | Apr 2024 (2y) | |
| Shrddha Singhi | Registered representative | Apr 2024 (2y) | ||
| Trevor David Glenn | Registered representative | Apr 2024 (2y) | ||
| Christopher Larrin Lecroy | Registered representative | Apr 2024 (2y) | ||
| Evan Robert Knight | Registered representative | Apr 2024 (2y) | ||
| Erin Azambuja | Registered representative | Apr 2024 (2y) | ||
| Ethan C Landis | Registered representative | Apr 2024 (2y) | ||
| John George Chanda | Registered representative | Apr 2024 (2y) | ||
| Stuart Andrew Augustine | Registered representative | Apr 2024 (2y) | ||
| Tejaswi Suresh Patel | Registered representative | Apr 2024 (2y) | ||
| Tyler Arthur Trettin | Registered representative | Apr 2024 (2y) | ||
| Angela Jean Pierce | Registered representative | CFP | Apr 2024 (2y) | |
| Brooke Juliana Vaccaro | Registered representative | Apr 2024 (2y) | ||
| Curtis Samuel Krietzberg | Registered representative | CFA | Apr 2024 (2y) | |
| David Michael Krietzberg | Registered representative | Apr 2024 (2y) | ||
| Dominic Savio Manzi Higiro | Registered representative | Apr 2024 (2y) | ||
| Francis R Hackett | Registered representative | Apr 2024 (2y) | ||
| Justin Andrew Souma | Registered representative | CFP | Apr 2024 (2y) | |
| Michal B Caro | Registered representative | CFP | Apr 2024 (2y) | |
| Philip Lance Wellman | Registered representative | Apr 2024 (2y) | ||
| Todd Alan Stanard | Registered representative | Apr 2024 (2y) | ||
| Maggie Xie Lauer | Registered representative | CFP | Apr 2024 (2y) | |
| Brian Scott Tawney | Registered representative | Apr 2024 (2y) | ||
| Benardo Richardson | Registered representative | Apr 2024 (2y) | ||
| Christopher Eugene Hall | Registered representative | Apr 2024 (2y) | ||
| Christopher Marshall | Registered representative | Apr 2024 (2y) | ||
| Dennis Thomas Facius | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Bruce Horowitz | Registered representative | CFP | Apr 2024 (2y) | |
| Keith James Bernardy | Registered representative | Apr 2024 (2y) | ||
| Laura Crews Holt | Registered representative | Apr 2024 (2y) | ||
| Michael Philip Ferris | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Mitchell Robert Mccann | Registered representative | Apr 2024 (2y) | ||
| Maxwell Thomas Neese | Registered representative | CFP | Apr 2024 (2y) | |
| Melissa Ann Spencer | Registered representative | Apr 2024 (2y) | ||
| Natalie Paige Dulaney | Registered representative | Apr 2024 (2y) | ||
| Seamus Joseph Whalen | Registered representative | Apr 2024 (2y) | ||
| Timothy James Heisterkamp | Registered representative | CFP | Apr 2024 (2y) | |
| William Ronald Coleman | Registered representative | Apr 2024 (2y) | ||
| Wesley Mc Cann | Registered representative | Apr 2024 (2y) | ||
| Adam Edward Deringer | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Carr Fountain | Registered representative | Apr 2024 (2y) | ||
| Stephen W. C. Moran | Registered representative | Apr 2024 (2y) | ||
| William Thomas Black | Registered representative | Apr 2024 (2y) | ||
| Zachary Wesche | Registered representative | Apr 2024 (2y) | ||
| Daniel John La Crosse | Registered representative | Apr 2024 (2y) | ||
| Frederick William Cutter | Registered representative | Apr 2024 (2y) | ||
| James Gifford Blaylock | Registered representative | Apr 2024 (2y) | ||
| Mark R Ackerman | Registered representative | Apr 2024 (2y) | ||
| Michael Ryan Behnke | Registered representative | Apr 2024 (2y) | ||
| Nicholas Reid Maley | Registered representative | Apr 2024 (2y) | ||
| Risdon Ernest Woodard | Registered representative | CFP Chartered Financial Consultant | Apr 2024 (2y) | |
| Robert Anthony Morrison | Registered representative | Apr 2024 (2y) | ||
| Beth Anne Stapp | Registered representative | Apr 2024 (2y) | ||
| Brett Warren Rowe | Registered representative | CFP | Apr 2024 (2y) | |
| David P Martin | Registered representative | Apr 2024 (2y) | ||
| Gaven Lee Pinkley | Registered representative | Apr 2024 (2y) | ||
| Mark Gaylord Compston | Registered representative | CFP | Apr 2024 (2y) | |
| Mark Timothy Daly | Registered representative | Apr 2024 (2y) | ||
| Nicholas Darwin Rodkin | Registered representative | Apr 2024 (2y) | ||
| Nathan Garrett Harmon | Registered representative | Apr 2024 (2y) | ||
| Ryan Christopher Rayburn | Registered representative | CFP | Apr 2024 (2y) | |
| Timothy Vincent Mulhern | Registered representative | Apr 2024 (2y) | ||
| Willilam Mclaughlin | Registered representative | Apr 2024 (2y) | ||
| Ann Marie Tyrrell | Registered representative | CFP | Apr 2024 (2y) | |
| Courtney Nicole Mcelvain | Registered representative | Apr 2024 (2y) | ||
| Janae Marie Roman | Registered representative | Apr 2024 (2y) | ||
| Jennifer J Brown | Registered representative | Apr 2024 (2y) | ||
| Mark Casey Compston | Registered representative | Apr 2024 (2y) | ||
| Ralph Kirk Teppe | Registered representative | Apr 2024 (2y) | ||
| Renee Back | Registered representative | Apr 2024 (2y) | ||
| Sergey Nesvat | Registered representative | Apr 2024 (2y) | ||
| Brittany Marie Mann | Registered representative | Apr 2024 (2y) | ||
| Chelsey Patricia Oliver | Registered representative | Apr 2024 (2y) | ||
| Daniel Sterling | Registered representative | Apr 2024 (2y) | ||
| Darrin Andrew Santos | Registered representative | CFP | Apr 2024 (2y) | |
| David Kendall Shepard | Registered representative | Apr 2024 (2y) | ||
| Garrett Oczachowski | Registered representative | CFP | Apr 2024 (2y) | |
| Jonathan Edward Evans | Registered representative | Apr 2024 (2y) | ||
| Michelle Ann Hobart | Registered representative | Apr 2024 (2y) | ||
| Mary Mc Caslin Tinsley | Registered representative | Apr 2024 (2y) | ||
| Paul Avila Neves | Registered representative | CFP Chartered Financial Consultant | Apr 2024 (2y) | |
| Peter Gilding | Registered representative | Apr 2024 (2y) | ||
| Tara Lynn Blair | Registered representative | CFP | Apr 2024 (2y) | |
| Thanh Manh Nguyen | Registered representative | CFP | Apr 2024 (2y) | |
| Troy Harlan Paulsen | Registered representative | Apr 2024 (2y) | ||
| Andranik Hayotsyan | Registered representative | Apr 2024 (2y) | ||
| Carter M Kane | Registered representative | Apr 2024 (2y) | ||
| Herbert Crawford Gates | Registered representative | CFP Chartered Financial Consultant | Apr 2024 (2y) | |
| Michael Norman Labedz | Registered representative | Apr 2024 (2y) | ||
| Nathan Cole Fletcher | Registered representative | Apr 2024 (2y) | ||
| Stefan Tobin Borso | Registered representative | Apr 2024 (2y) | ||
| Anthony Bruce Lishka | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Anthony Stephen Erenyi | Registered representative | CFP | May 2024 (2y) | |
| Austin Andrew Moherman | Registered representative | May 2024 (2y) | ||
| Allen Frank Montemagno | Registered representative | May 2024 (2y) | ||
| Barry Edward Levan | Registered representative | May 2024 (2y) | ||
| Bradley Lydell Mates | Registered representative | May 2024 (2y) | ||
| Carol Marr Vreeland | Registered representative | CFP | May 2024 (2y) | |
| Christopher Michael Lepine | Registered representative | May 2024 (2y) | ||
| Darryl Robert Carter | Registered representative | May 2024 (2y) | ||
| Daryl Winfield Riley | Registered representative | May 2024 (2y) | ||
| David Louis Dulude | Registered representative | May 2024 (2y) | ||
| Derek Scott Zachariah | Registered representative | May 2024 (2y) | ||
| Daniel Kikosicki | Registered representative | May 2024 (2y) | ||
| Delvis Kaliqi | Registered representative | May 2024 (2y) | ||
| Eric L Ross | Registered representative | May 2024 (2y) | ||
| Evan Hideo Hayashi | Registered representative | May 2024 (2y) | ||
| Gary Allen Glockzin | Registered representative | CFP | May 2024 (2y) | |
| Gregory Frank Schmidlin | Registered representative | May 2024 (2y) | ||
| James English | Registered representative | May 2024 (2y) | ||
| James Gordon Woytcke | Registered representative | May 2024 (2y) | ||
| Janet Dewey Peake | Registered representative | May 2024 (2y) | ||
| Jason Steven Freilich | Registered representative | May 2024 (2y) | ||
| Jesse Erald Lopez | Registered representative | May 2024 (2y) | ||
| John Stephen Hirschauer | Registered representative | May 2024 (2y) | ||
| John Worden Dennis | Registered representative | May 2024 (2y) | ||
| Jorge Eduardo Cantu | Registered representative | May 2024 (2y) | ||
| Joseph Dennis Schneider | Registered representative | May 2024 (2y) | ||
| Kenneth Robert Hagel | Registered representative | May 2024 (2y) | ||
| Lisa Anne Lighthipe Hinz | Registered representative | May 2024 (2y) | ||
| Logan J Reed | Registered representative | CFP | May 2024 (2y) | |
| Lyse Anne Marie Lepine | Registered representative | May 2024 (2y) | ||
| Matthew John Sheffield | Registered representative | May 2024 (2y) | ||
| Melinda A Bini | Registered representative | May 2024 (2y) | ||
| Michael Burt Niles | Registered representative | May 2024 (2y) | ||
| Michael Robert Ward | Registered representative | CFP | May 2024 (2y) | |
| Michael William Birkle | Registered representative | CFP | May 2024 (2y) | |
| Michelle Lee Wagner | Registered representative | CFP | May 2024 (2y) | |
| Michelle Wolfe Proctor | Registered representative | CFP | May 2024 (2y) | |
| Miyo Yamamoto Leong | Registered representative | May 2024 (2y) | ||
| Matthew Conroy Fleming | Registered representative | CFP | May 2024 (2y) | |
| Michael Christopher Allegra | Registered representative | May 2024 (2y) | ||
| Nancy Mousa Michael | Registered representative | May 2024 (2y) | ||
| Noah P Janda | Registered representative | May 2024 (2y) | ||
| Patricia Ann Schuler | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Philip Ross Stern | Registered representative | CFP | May 2024 (2y) | |
| Ralph George Vidusic | Registered representative | May 2024 (2y) | ||
| Randal Lyle Lishka | Registered representative | CFP | May 2024 (2y) | |
| Richard Elton Thompson | Registered representative | CFP | May 2024 (2y) | |
| Richard Robert Lepine | Registered representative | May 2024 (2y) | ||
| Ronald Joseph Pompei | Registered representative | CFP | May 2024 (2y) | |
| Ronald Martin Ivanick | Registered representative | May 2024 (2y) | ||
| Ryan Adam Guss | Registered representative | May 2024 (2y) | ||
| Ryan James Woytcke | Registered representative | May 2024 (2y) | ||
| Ryan L De Paola | Registered representative | May 2024 (2y) | ||
| Stephen Yun | Registered representative | May 2024 (2y) | ||
| Wendy Ellen Fleischmann | Registered representative | May 2024 (2y) | ||
| Warren Kim | Registered representative | May 2024 (2y) | ||
| Brandon John Hebert | Registered representative | May 2024 (2y) | ||
| Bret Daniel Lutz | Registered representative | May 2024 (2y) | ||
| Charles Thurston Whitney | Registered representative | May 2024 (2y) | ||
| Christopher J Kitaeff | Registered representative | May 2024 (2y) | ||
| Christina M Irey | Registered representative | May 2024 (2y) | ||
| David Sebastian Nilsen | Registered representative | May 2024 (2y) | ||
| Dennis Eugene Lott | Registered representative | May 2024 (2y) | ||
| Eric Anstedt | Registered representative | May 2024 (2y) | ||
| John Marc Hebert | Registered representative | CFP | May 2024 (2y) | |
| John Sennett Holston | Registered representative | May 2024 (2y) | ||
| Lance Parsons Dumas | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Michael Werner Stock | Registered representative | May 2024 (2y) | ||
| Mindy Mejia | Registered representative | May 2024 (2y) | ||
| Nick Harris Meyers | Registered representative | CFP | May 2024 (2y) | |
| Roger Dean Frank | Registered representative | May 2024 (2y) | ||
| Silvestro Raymond Fabrizio | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Travis Aaron Morrow | Registered representative | May 2024 (2y) | ||
| Clayton Morgan Dudley | Registered representative | May 2024 (2y) | ||
| Christian Loban | Registered representative | May 2024 (2y) | ||
| Collin Andrew O'neil | Registered representative | May 2024 (2y) | ||
| Erica Elizabeth Gargol | Registered representative | CFP | May 2024 (2y) | |
| Farren Corrin Forcella | Registered representative | CFP Chartered Financial Consultant | May 2024 (2y) | |
| Grace Seymour | Registered representative | May 2024 (2y) | ||
| Joanna Sue Stookey Walker | Registered representative | May 2024 (2y) | ||
| Justin David Kerns | Registered representative | May 2024 (2y) | ||
| Jeffery Patrick Hebert | Registered representative | May 2024 (2y) | ||
| Russell Charles Madsen | Registered representative | May 2024 (2y) | ||
| Samuel Beals | Registered representative | May 2024 (2y) | ||
| Alexander Amir Torshizi | Registered representative | May 2024 (2y) | ||
| Anne Merrifield Garland | Registered representative | May 2024 (2y) | ||
| Bernard Regis Theis | Registered representative | May 2024 (2y) | ||
| David Wayne Hilbig | Registered representative | CFP | May 2024 (2y) | |
| Derek Alan Boucher | Registered representative | May 2024 (2y) | ||
| Elaine Barkley Miller | Registered representative | May 2024 (2y) | ||
| Elizabeth Palomar | Registered representative | May 2024 (2y) | ||
| George Mark Hamby | Registered representative | May 2024 (2y) | ||
| John Ellis Lenahan | Registered representative | CFP | May 2024 (2y) | |
| Jaice Victoria Cahill | Registered representative | May 2024 (2y) | ||
| Lawrence Lee Karpf | Registered representative | May 2024 (2y) | ||
| Nicholas Mathew Lapuma | Registered representative | May 2024 (2y) | ||
| Patrick David Cohen | Registered representative | May 2024 (2y) | ||
| Robert Howard Keller | Registered representative | May 2024 (2y) | ||
| Sean Brian Smith | Registered representative | May 2024 (2y) | ||
| Thomas R Kirby | Registered representative | May 2024 (2y) | ||
| William Michael Hittesdorf | Registered representative | May 2024 (2y) | ||
| William Littlejohn Mc Kenzie | Registered representative | May 2024 (2y) | ||
| Allison Rose Osgood | Registered representative | May 2024 (2y) | ||
| Brian Andrew Smith | Registered representative | May 2024 (2y) | ||
| David James Wood | Registered representative | May 2024 (2y) | ||
| Dylan T Hanson | Registered representative | May 2024 (2y) | ||
| Joseph St. Pedro | Registered representative | May 2024 (2y) | ||
| Jonah Steven Davis | Registered representative | May 2024 (2y) | ||
| Kiara Mercedes Aldana | Registered representative | May 2024 (2y) | ||
| Patricia Ellen Donelan | Registered representative | May 2024 (2y) | ||
| Richard Walter Storms | Registered representative | May 2024 (2y) | ||
| Steven Ralph Davis | Registered representative | May 2024 (2y) | ||
| Jennifer Marie Lopez | Registered representative | May 2024 (2y) | ||
| Mark Richard Loft | Registered representative | May 2024 (2y) | ||
| Tracy Lewis Randle | Registered representative | May 2024 (2y) | ||
| April L Heiser Liedike | Registered representative | May 2024 (2y) | ||
| Caryn Annik Sophie Augst | Registered representative | CFP | May 2024 (2y) | |
| Donna Mae Nagel | Registered representative | May 2024 (2y) | ||
| David M Ferris | Registered representative | May 2024 (2y) | ||
| Joanne Marie Natale | Registered representative | CFP | May 2024 (2y) | |
| Jennifer Dawn Detweiler | Registered representative | May 2024 (2y) | ||
| Joseph Michael Hastie | Registered representative | May 2024 (2y) | ||
| Leonidas Clyde Vaughan | Registered representative | CFP | May 2024 (2y) | |
| Lucas John Mijares | Registered representative | CFP | May 2024 (2y) | |
| Mia M Nakagawa | Registered representative | May 2024 (2y) | ||
| Michael Anthony Capozzi | Registered representative | May 2024 (2y) | ||
| Micah Kekoa Wang | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Robert Scott Wright | Registered representative | May 2024 (2y) | ||
| Richard Eric Owen | Registered representative | May 2024 (2y) | ||
| Rolando Alviso | Registered representative | May 2024 (2y) | ||
| Austin Villodas | Registered representative | May 2024 (2y) | ||
| Brandon M Rainbolt | Registered representative | May 2024 (2y) | ||
| Ciera Codi Andersen | Registered representative | May 2024 (2y) | ||
| Daniel J Seitz | Registered representative | May 2024 (2y) | ||
| James John Bonaccorsi | Registered representative | May 2024 (2y) | ||
| Jerry Bruce Anderson | Registered representative | May 2024 (2y) | ||
| Jerry Charles Dressel | Registered representative | May 2024 (2y) | ||
| John David Anderson | Registered representative | May 2024 (2y) | ||
| Ryan Christopher Vanweezel | Registered representative | May 2024 (2y) | ||
| Suzanne Nelson | Registered representative | CFP | May 2024 (2y) | |
| Alicia Brooke Lantz | Registered representative | CFP | May 2024 (2y) | |
| Erik Dustin Shotwell | Registered representative | May 2024 (2y) | ||
| Jodi Lee Vawdrey | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Jonathan Zemaitis | Registered representative | May 2024 (2y) | ||
| Kimberly Sutton | Registered representative | May 2024 (2y) | ||
| Lisa J Menke | Registered representative | May 2024 (2y) | ||
| Logan John Falk | Registered representative | May 2024 (2y) | ||
| Shannon Christy Foreman | Registered representative | May 2024 (2y) | ||
| Allie Margaret Winchester | Registered representative | May 2024 (2y) | ||
| Belinda L Rogers | Registered representative | May 2024 (2y) | ||
| Erica Rosario Fulton | Registered representative | May 2024 (2y) | ||
| Lacie M Walker | Registered representative | May 2024 (2y) | ||
| Brantley Freeman | Registered representative | May 2024 (2y) | ||
| Erik Nicholas Brickel | Registered representative | May 2024 (2y) | ||
| Erin Matson Murdock | Registered representative | May 2024 (2y) | ||
| Jael Tamar Stebbins | Registered representative | May 2024 (2y) | ||
| Jason Gregory Freeman | Registered representative | May 2024 (2y) | ||
| Karen Freeman | Registered representative | May 2024 (2y) | ||
| Michael Aldo Gandolfini | Registered representative | May 2024 (2y) | ||
| Paula Jane Hart | Registered representative | May 2024 (2y) | ||
| Richard Albert Wilson | Registered representative | May 2024 (2y) | ||
| Sabrina Marie Fregara | Registered representative | May 2024 (2y) | ||
| Adam Christopher Knaust | Registered representative | May 2024 (2y) | ||
| Andrew R Strasburg | Registered representative | May 2024 (2y) | ||
| Alain Roland Verhille | Registered representative | CFP | May 2024 (2y) | |
| Cheryl Lovett Zudell | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Corey Lee Gallagher | Registered representative | May 2024 (2y) | ||
| Cameron Tyler Roney | Registered representative | May 2024 (2y) | ||
| Christopher David Lee | Registered representative | CFP Chartered Financial Consultant | May 2024 (2y) | |
| David L. Ferland | Registered representative | May 2024 (2y) | ||
| David Lawrence Coulter | Registered representative | May 2024 (2y) | ||
| Dawn Michelle Gordon | Registered representative | May 2024 (2y) | ||
| Dominic Michael Caputo | Registered representative | CFP | May 2024 (2y) | |
| Dustin L Stacy | Registered representative | May 2024 (2y) | ||
| Edward Owen Miller | Registered representative | May 2024 (2y) | ||
| Erikka Michelle Moore | Registered representative | May 2024 (2y) | ||
| Evan Ball | Registered representative | May 2024 (2y) | ||
| Jake Alexander Von Halle | Registered representative | May 2024 (2y) | ||
| James Sherer Wood | Registered representative | May 2024 (2y) | ||
| Janet Faye Ramsey | Registered representative | CFP Chartered Financial Consultant | May 2024 (2y) | |
| John David Pivirotto | Registered representative | May 2024 (2y) | ||
| John David Richards | Registered representative | CFP Chartered Financial Consultant | May 2024 (2y) | |
| John Gregory Ellison Smith | Registered representative | May 2024 (2y) | ||
| Jonathan B Hatch | Registered representative | May 2024 (2y) | ||
| Jeffrey Paul Mattonelli | Registered representative | CFP | May 2024 (2y) | |
| Jessica Lynne Mc Crory | Registered representative | May 2024 (2y) | ||
| Kathryn Denise Isernhagen | Registered representative | May 2024 (2y) | ||
| Kenneth William Van Leeuwen | Registered representative | May 2024 (2y) | ||
| Kyle William Grayson | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Kerry D Skinner | Registered representative | May 2024 (2y) | ||
| Laura Jean Teter | Registered representative | May 2024 (2y) | ||
| Leykun Brouk | Registered representative | May 2024 (2y) | ||
| Lynette G. Mclaughlin | Registered representative | May 2024 (2y) | ||
| Mark William Mclaughlin | Registered representative | May 2024 (2y) | ||
| Martha Jan Walker | Registered representative | May 2024 (2y) | ||
| Martin Joseph Cunningham | Registered representative | CFA | May 2024 (2y) | |
| Matthew Angelo Ebbecke | Registered representative | May 2024 (2y) | ||
| Michael Anthony Mooney | Registered representative | May 2024 (2y) | ||
| Michael Hayden Mullane | Registered representative | May 2024 (2y) | ||
| Michael Insley Andrews | Registered representative | May 2024 (2y) | ||
| Nathan Paul Woods | Registered representative | CFP | May 2024 (2y) | |
| Nicholas Reid Kopff | Registered representative | May 2024 (2y) | ||
| Peter Elliot Von Halle | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Peter Patrick Striano | Registered representative | May 2024 (2y) | ||
| R Chris Roney | Registered representative | May 2024 (2y) | ||
| Richard Joseph Clifford | Registered representative | CFP | May 2024 (2y) | |
| Robert Armando Ruffolo | Registered representative | May 2024 (2y) | ||
| Robert Diamond | Registered representative | May 2024 (2y) | ||
| Ronald David Brant | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Scott Berney | Registered representative | May 2024 (2y) | ||
| Stephanie Lee Ann Demetrelis | Registered representative | May 2024 (2y) | ||
| Stephen Takashi Sugai | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Steven Yoshihiro Kira | Registered representative | May 2024 (2y) | ||
| Staci Ann Mapes | Registered representative | May 2024 (2y) | ||
| Theresa Leigh Detrick | Registered representative | May 2024 (2y) | ||
| Thomas B Sim | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Thomas James Dittmeier | Registered representative | May 2024 (2y) | ||
| Tony Scott Keena | Registered representative | May 2024 (2y) | ||
| Travis Lyn Harris | Registered representative | May 2024 (2y) | ||
| Troy Robert Moulton | Registered representative | May 2024 (2y) | ||
| Virag G Shah | Registered representative | CFA | May 2024 (2y) | |
| William Francis Giaquinto | Registered representative | May 2024 (2y) | ||
| Yvette Ellison Broder | Registered representative | May 2024 (2y) | ||
| Carolyn Joyce Shott | Registered representative | May 2024 (2y) | ||
| Christina L Cleveland | Registered representative | May 2024 (2y) | ||
| Cyndie Barone | Registered representative | CFP | May 2024 (2y) | |
| Daniel Aloysius Mackey | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Derek David Wilson | Registered representative | May 2024 (2y) | ||
| Emanuel Rick Grad | Registered representative | May 2024 (2y) | ||
| Erin Kay Whitehurst | Registered representative | May 2024 (2y) | ||
| George Lawrence Panagos | Registered representative | May 2024 (2y) | ||
| Harrison Fraser Bowman | Registered representative | May 2024 (2y) | ||
| Irene Chemayek | Registered representative | May 2024 (2y) | ||
| James Michael Raft | Registered representative | May 2024 (2y) | ||
| Kodi Robert Hermann | Registered representative | May 2024 (2y) | ||
| Kristin Lynne Erickson | Registered representative | May 2024 (2y) | ||
| Larsen Hamilton Flinn | Registered representative | May 2024 (2y) | ||
| Michael Dale Draper | Registered representative | May 2024 (2y) | ||
| Randy Gene Pickering | Registered representative | May 2024 (2y) | ||
| Richard Jean Bourgouin | Registered representative | May 2024 (2y) | ||
| Sheryl Lee Raetz | Registered representative | May 2024 (2y) | ||
| Jackson Walker | Registered representative | May 2024 (2y) | ||
| Thomas De Caprio | Registered representative | May 2024 (2y) | ||
| Aaron Samir Kamat | Registered representative | May 2024 (2y) | ||
| Aileen Gail Krohn | Registered representative | May 2024 (2y) | ||
| Austin Reed Accettura | Registered representative | May 2024 (2y) | ||
| Bruce Michael Doner | Registered representative | May 2024 (2y) | ||
| Charlotte Bloedel Quillian | Registered representative | May 2024 (2y) | ||
| Colleen Macaulay | Registered representative | May 2024 (2y) | ||
| Crystal Annette Locklear | Registered representative | May 2024 (2y) | ||
| Daniel Brian Faasse | Registered representative | May 2024 (2y) | ||
| Dennis James Mcnearney | Registered representative | May 2024 (2y) | ||
| David D Stewart | Registered representative | May 2024 (2y) | ||
| Edward F Terranova | Registered representative | May 2024 (2y) | ||
| Hayden Leigh Watts | Registered representative | May 2024 (2y) | ||
| Kimberly A Cox | Registered representative | May 2024 (2y) | ||
| Lance E Cabra | Registered representative | May 2024 (2y) | ||
| Michael Angus Macaulay | Registered representative | May 2024 (2y) | ||
| Robert Blaser | Registered representative | May 2024 (2y) | ||
| Shelly Marie Enger | Registered representative | May 2024 (2y) | ||
| Sarah Jane Kuhn | Registered representative | May 2024 (2y) | ||
| Tracy Douglas Forsythe | Registered representative | May 2024 (2y) | ||
| Tamantha Hardy | Registered representative | May 2024 (2y) | ||
| Amy Nicole Bettles | Registered representative | May 2024 (2y) | ||
| Charles Walter Price | Registered representative | May 2024 (2y) | ||
| Eric Anthony Majewski | Registered representative | CFP | May 2024 (2y) | |
| James Francis Daisey | Registered representative | May 2024 (2y) | ||
| Marc Bradley Tescher | Registered representative | May 2024 (2y) | ||
| Nan Cohen | Registered representative | CFP | May 2024 (2y) | |
| Nathan Michael Wyatt | Registered representative | CFP | May 2024 (2y) | |
| Robert Vincent Iandoli | Registered representative | May 2024 (2y) | ||
| Robert C Elliott | Registered representative | May 2024 (2y) | ||
| Ryan Geoffrey Levine | Registered representative | May 2024 (2y) | ||
| Sarah A Bolous | Registered representative | May 2024 (2y) | ||
| Dawn Renee Hoover | Registered representative | May 2024 (2y) | ||
| Ian Scott Davis | Registered representative | May 2024 (2y) | ||
| Michelle Denisco | Registered representative | CFP | May 2024 (2y) | |
| Todd Richard Graham | Registered representative | May 2024 (2y) | ||
| Jacob Anthony Poulos | Registered representative | May 2024 (2y) | ||
| Robin Sanchez | Registered representative | May 2024 (2y) | ||
| Samuel W Milner | Registered representative | May 2024 (2y) | ||
| William James Rahjes | Registered representative | May 2024 (2y) | ||
| Daniel Macri | Registered representative | CFP | May 2024 (2y) | |
| Danielle Denise Qualls | Registered representative | May 2024 (2y) | ||
| Gregory Stewart Park | Registered representative | May 2024 (2y) | ||
| Joseph Marinus Paulie | Registered representative | May 2024 (2y) | ||
| Joy Noelle Le Tendre | Registered representative | May 2024 (2y) | ||
| Matthew J Mccoy | Registered representative | CFP | May 2024 (2y) | |
| Seth Lewis Zudell | Registered representative | May 2024 (2y) | ||
| Timothy Paul Lata | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Beverly Ann Ainsley | Registered representative | May 2024 (2y) | ||
| David Casarella | Registered representative | May 2024 (2y) | ||
| Laina Hall | Registered representative | May 2024 (2y) | ||
| Noah Endicott | Registered representative | May 2024 (2y) | ||
| Ryan Thomas Griffin | Registered representative | May 2024 (2y) | ||
| Tracy Ball Mazzoni | Registered representative | May 2024 (2y) | ||
| Bradley Steven Vick | Registered representative | CFP | May 2024 (2y) | |
| Chiosa Abuofu Kennedy Esume | Registered representative | May 2024 (2y) | ||
| Nicholas Anthony Hawk | Registered representative | May 2024 (2y) | ||
| Sean Lawrence Bordier | Registered representative | May 2024 (2y) | ||
| Todd Alan Cousino | Registered representative | May 2024 (2y) | ||
| Christopher D. Olson | Registered representative | May 2024 (2y) | ||
| Kimberly Anne Monnahan | Registered representative | May 2024 (2y) | ||
| Mark Alan Freed | Registered representative | May 2024 (2y) | ||
| Mark Stanley Hornung | Registered representative | May 2024 (2y) | ||
| Sharon Marie Medina | Registered representative | May 2024 (2y) | ||
| Terri Kathleen Rowe | Registered representative | May 2024 (2y) | ||
| Thomas John Cooney | Registered representative | May 2024 (2y) | ||
| Torrey Leslie Greene | Registered representative | May 2024 (2y) | ||
| Vicki Lynn Pearce | Registered representative | May 2024 (2y) | ||
| Akshay Gupta | Registered representative | Jun 2024 (2y) | ||
| Alexander W Rice | Registered representative | Jun 2024 (2y) | ||
| Alvaro R Jauregui | Registered representative | Jun 2024 (2y) | ||
| Brian David Peters | Registered representative | Jun 2024 (2y) | ||
| Callie Marie Thiesen | Registered representative | Jun 2024 (2y) | ||
| Colin Reid Dyel | Registered representative | Jun 2024 (2y) | ||
| Deborah Ann Handley Cordova | Registered representative | Jun 2024 (2y) | ||
| Jonathan W. Joelner | Registered representative | Jun 2024 (2y) | ||
| James Robert Tabb | Registered representative | Jun 2024 (2y) | ||
| Marietta Obyrne Hall | Registered representative | CFP | Jun 2024 (2y) | |
| Ryan Guth | Registered representative | CFP | Jun 2024 (2y) | |
| Stephen Edward Shevlin | Registered representative | Jun 2024 (2y) | ||
| Thomas C Scott | Registered representative | CFP | Jun 2024 (2y) | |
| Todd Anthony Depinto | Registered representative | Jun 2024 (2y) | ||
| W. Kevin Kessler | Registered representative | Jun 2024 (2y) | ||
| Brian Patrick Mcknight | Registered representative | Jun 2024 (2y) | ||
| Evan Bernardy | Registered representative | Jun 2024 (2y) | ||
| Gary Donald Beane | Registered representative | Jun 2024 (2y) | ||
| Haley Marie Hitchman | Registered representative | Jun 2024 (2y) | ||
| Joe Tom King | Registered representative | Jun 2024 (2y) | ||
| John Raring | Registered representative | Jun 2024 (2y) | ||
| Matthew James Russell | Registered representative | Jun 2024 (2y) | ||
| Noah Hill King | Registered representative | CFP | Jun 2024 (2y) | |
| Perry Steven Long | Registered representative | CFP | Jun 2024 (2y) | |
| Timothy Woodall | Registered representative | Jun 2024 (2y) | ||
| Yvonne Monique Cabral | Registered representative | Jun 2024 (2y) | ||
| Aaron Thomas Hagen | Registered representative | Jun 2024 (2y) | ||
| Alaina Marie Kolpin | Registered representative | CFP | Jun 2024 (2y) | |
| Brian Patrick Russell | Registered representative | Jun 2024 (2y) | ||
| Charles Joseph Russell | Registered representative | Jun 2024 (2y) | ||
| Daniel Leon Martin | Registered representative | Jun 2024 (2y) | ||
| Devon Kenneth Alber | Registered representative | CFP | Jun 2024 (2y) | |
| Diane S Salazar | Registered representative | Jun 2024 (2y) | ||
| Joshua Alex Goben | Registered representative | Jun 2024 (2y) | ||
| Joshua Jacob Jordan | Registered representative | Jun 2024 (2y) | ||
| Sarah Frances Pott | Registered representative | Jun 2024 (2y) | ||
| Thomas L. Russell | Registered representative | CFP | Jun 2024 (2y) | |
| Tiffany Anna Harmer | Registered representative | Jun 2024 (2y) | ||
| Christopher Hale Stoner | Registered representative | CFP | Jun 2024 (2y) | |
| Christopher Mark Albert Dadrat | Registered representative | CFP | Jun 2024 (2y) | |
| Edward Secker | Registered representative | Jun 2024 (2y) | ||
| Eliana Alexa Carrier | Registered representative | Jun 2024 (2y) | ||
| Melanie Wynne Anderson | Registered representative | CFP Chartered Financial Consultant | Jun 2024 (2y) | |
| Michael John Woll | Registered representative | Jun 2024 (2y) | ||
| Haley Sue Lee | Registered representative | CFP | Jun 2024 (2y) | |
| Jaime Paul Junker | Registered representative | Jun 2024 (2y) | ||
| John Mark Eccles | Registered representative | Jun 2024 (2y) | ||
| Justin Robinson | Registered representative | Jun 2024 (2y) | ||
| Leonard F Lye | Registered representative | Jun 2024 (2y) | ||
| Taylor Jerome Ripka | Registered representative | CFP | Jun 2024 (2y) | |
| Theron Rawls Dupree | Registered representative | Jun 2024 (2y) | ||
| William Scott Hengerer | Registered representative | Jun 2024 (2y) | ||
| Tyler M Adams | Registered representative | Jun 2024 (2y) | ||
| David Chadwick Voorhees | Registered representative | Jun 2024 (2y) | ||
| Elizabeth Silenzi | Registered representative | Jun 2024 (2y) | ||
| Melissa Renay Hutson | Registered representative | Jun 2024 (2y) | ||
| Michael Horvath | Registered representative | Jun 2024 (2y) | ||
| Noah Carter Boraas | Registered representative | CFP | Jun 2024 (2y) | |
| Ronald Alvin Icabone | Registered representative | Jun 2024 (2y) | ||
| Tyler Rue | Registered representative | Jun 2024 (2y) | ||
| Thomas Robert La Pointe | Registered representative | Jun 2024 (2y) | ||
| Daniel Alexis Marin | Registered representative | Jun 2024 (2y) | ||
| David Routh | Registered representative | CFP | Jun 2024 (2y) | |
| James William Coleman | Registered representative | Jun 2024 (2y) | ||
| Jonathan Dinar | Registered representative | Jun 2024 (2y) | ||
| Judith Ann Steele | Registered representative | Jun 2024 (2y) | ||
| Michael J Morley | Registered representative | Personal Financial Specialist | Jun 2024 (2y) | |
| Sean Michael Mullervy | Registered representative | CFP | Jun 2024 (2y) | |
| William Nicholas Routh | Registered representative | CFP | Jun 2024 (2y) | |
| Aaron Justin Gore | Registered representative | Jun 2024 (2y) | ||
| Alison Gross Gaffney | Registered representative | Jun 2024 (2y) | ||
| Benjamin Vincent Onofrio | Registered representative | Jun 2024 (2y) | ||
| Brian Vincent Onofrio | Registered representative | Jun 2024 (2y) | ||
| Charles David Koncz | Registered representative | Jun 2024 (2y) | ||
| Doreen Marie Candeias | Registered representative | Jun 2024 (2y) | ||
| Frank Joseph Navario | Registered representative | Jun 2024 (2y) | ||
| Jay William Pinto | Registered representative | CFP | Jun 2024 (2y) | |
| Jason Meksch | Registered representative | CFP | Jun 2024 (2y) | |
| Jonathan Sycamore | Registered representative | CFP | Jun 2024 (2y) | |
| Karl James Zirolli | Registered representative | CFP | Jun 2024 (2y) | |
| Lawrence Calvert Mcausland | Registered representative | Jun 2024 (2y) | ||
| Marcel Stephen Theriot | Registered representative | Jun 2024 (2y) | ||
| Michael Joseph Fusco | Registered representative | Jun 2024 (2y) | ||
| Mark Warren Lamb | Registered representative | Jun 2024 (2y) | ||
| Mary Rebecca Davey | Registered representative | Jun 2024 (2y) | ||
| Matthew Postell | Registered representative | Jun 2024 (2y) | ||
| Peter William Millar | Registered representative | Jun 2024 (2y) | ||
| David Walter Heiligenthaler | Registered representative | CFP | Jun 2024 (2y) | |
| James Kyle Hendrick | Registered representative | Jun 2024 (2y) | ||
| Jason Tom Rossi | Registered representative | Jun 2024 (2y) | ||
| John Robert Anastasia | Registered representative | Jun 2024 (2y) | ||
| Melissa Sue Bass | Registered representative | Jun 2024 (2y) | ||
| Robert G Robertson | Registered representative | Jun 2024 (2y) | ||
| Tracy Lynn Raynor | Registered representative | Jun 2024 (2y) | ||
| William Blair Reilly | Registered representative | Jun 2024 (2y) | ||
| Yutaka Anegawa | Registered representative | Jun 2024 (2y) | ||
| Angela Rose Smith | Registered representative | Jun 2024 (2y) | ||
| Brian John Hacker | Registered representative | Jun 2024 (2y) | ||
| Cameron Mark Burch | Registered representative | Jun 2024 (2y) | ||
| Jermaine Levon Williams | Registered representative | Jun 2024 (2y) | ||
| Joel David Ockey | Registered representative | Jun 2024 (2y) | ||
| Matthew David Wiser | Registered representative | Jun 2024 (2y) | ||
| Matthew Henry Riesenweber | Registered representative | CFP | Jun 2024 (2y) | |
| Michael Oliver Doty | Registered representative | Jun 2024 (2y) | ||
| Tyler Roy Scott | Registered representative | CFP | Jun 2024 (2y) | |
| Christopher Tyler Fletcher | Registered representative | Jun 2024 (2y) | ||
| Gerald Joseph Mccready | Registered representative | Jun 2024 (2y) | ||
| Jared Parks Lynch | Registered representative | Jun 2024 (2y) | ||
| Karen Eileen Friedman | Registered representative | CFP | Jun 2024 (2y) | |
| Kay Marie Auwerter | Registered representative | Jun 2024 (2y) | ||
| Ryan Richard Heagen | Registered representative | Jun 2024 (2y) | ||
| Vince Zorskas | Registered representative | Jun 2024 (2y) | ||
| Amanda Jean Zack | Registered representative | Jun 2024 (2y) | ||
| Andrew Blize | Registered representative | Jun 2024 (2y) | ||
| Geoffrey Brown | Registered representative | Jun 2024 (2y) | ||
| Joseph David Cataldo | Registered representative | Jun 2024 (2y) | ||
| Natalie Mahler | Registered representative | Jun 2024 (2y) | ||
| James Darrell Zack | Registered representative | Jun 2024 (2y) | ||
| Tarren Hall | Registered representative | Jun 2024 (2y) | ||
| Alexander Jon Williams | Registered representative | CFP | Jun 2024 (2y) | |
| Amanda Nicole Yurkowski | Registered representative | Jun 2024 (2y) | ||
| Christopher Joseph Mulligan | Registered representative | Jun 2024 (2y) | ||
| James Christopher Sims | Registered representative | Jun 2024 (2y) | ||
| Lisa M Hryckowian | Registered representative | Jun 2024 (2y) | ||
| Micah Quinn Johnson | Registered representative | Jun 2024 (2y) | ||
| Peter John Yurkowski | Registered representative | Jun 2024 (2y) | ||
| Roseanne Stavely | Registered representative | Jun 2024 (2y) | ||
| Austin Grant Potter | Registered representative | CFP | Jun 2024 (2y) | |
| Bryson Ryan Bowers | Registered representative | Jun 2024 (2y) | ||
| Daniel James Boeckman | Registered representative | Jun 2024 (2y) | ||
| Desiree Wodicker | Registered representative | Jun 2024 (2y) | ||
| Hugh Blake Thomas | Registered representative | Jun 2024 (2y) | ||
| Jeffrey Darrin Murray | Registered representative | Jun 2024 (2y) | ||
| Jeffrey Shane Sietstra | Registered representative | Jun 2024 (2y) | ||
| Jacob Laurence Reilly | Registered representative | Jun 2024 (2y) | ||
| Kelly Renee Thompson | Registered representative | Jun 2024 (2y) | ||
| Logan David Wright | Registered representative | Jun 2024 (2y) | ||
| Matthew Alexander Seelig | Registered representative | Jun 2024 (2y) | ||
| Monique Jaglowski | Registered representative | Jun 2024 (2y) | ||
| Michael Boyle | Registered representative | Jun 2024 (2y) | ||
| Phoebe Huynh | Registered representative | Jun 2024 (2y) | ||
| Usha Monique Cervantes | Registered representative | Chartered Financial Consultant | Jun 2024 (2y) | |
| Charles Lanyond Seibold | Registered representative | Chartered Financial Consultant | Jun 2024 (2y) | |
| Eric Black | Registered representative | Jun 2024 (2y) | ||
| Gerard Rizza | Registered representative | CFP | Jun 2024 (2y) | |
| Jack Davis Dunnigan | Registered representative | Jun 2024 (2y) | ||
| James Claude Kresge | Registered representative | Jun 2024 (2y) | ||
| Jeremy Shane Willson | Registered representative | Jun 2024 (2y) | ||
| John Richard Berry | Registered representative | Jun 2024 (2y) | ||
| Joseph Paul Williams | Registered representative | Jun 2024 (2y) | ||
| Kelly Lynn Bauman | Registered representative | Jun 2024 (2y) | ||
| Kerry Wilson | Registered representative | Jun 2024 (2y) | ||
| Laura Beth Watson | Registered representative | CFP | Jun 2024 (2y) | |
| Mark R. Exler | Registered representative | Personal Financial Specialist | Jun 2024 (2y) | |
| Matthew Keith Lauritzen | Registered representative | Jun 2024 (2y) | ||
| Matthew Robert Menke | Registered representative | Chartered Financial Consultant | Jun 2024 (2y) | |
| Miguel Ramon Espinoza | Registered representative | Jun 2024 (2y) | ||
| Nicholas Edward Huss | Registered representative | Jun 2024 (2y) | ||
| Raymond George Seifritz | Registered representative | Chartered Financial Consultant | Jun 2024 (2y) | |
| Thomas Paul Jones | Registered representative | Jun 2024 (2y) | ||
| Yi Xuan Cheng | Registered representative | Jun 2024 (2y) | ||
| Alissa L Axford | Registered representative | Jun 2024 (2y) | ||
| Amanda Michelle Holmes | Registered representative | Jun 2024 (2y) | ||
| Andrea Lynn Silva | Registered representative | Jun 2024 (2y) | ||
| Bradley Kyle Smith | Registered representative | Jun 2024 (2y) | ||
| Jon Robert Jarvill | Registered representative | Jun 2024 (2y) | ||
| Jonathan Robert Donnaway | Registered representative | CFP | Jun 2024 (2y) | |
| Randy Allen Schmidt | Registered representative | CFP | Jun 2024 (2y) | |
| Reginald Lockett | Registered representative | Jun 2024 (2y) | ||
| Shawn William Dunnigan | Registered representative | Jun 2024 (2y) | ||
| William Cordell Huddleston | Registered representative | Jun 2024 (2y) | ||
| Angela Wall Hall | Registered representative | Jun 2024 (2y) | ||
| Emily Rose Allee | Registered representative | Jun 2024 (2y) | ||
| Gregory David Mc Keever | Registered representative | Jun 2024 (2y) | ||
| Jenny Elizabeth Larson | Registered representative | Jun 2024 (2y) | ||
| Mitchell Paul Mercer | Registered representative | Jun 2024 (2y) | ||
| William M Mercer | Registered representative | Jun 2024 (2y) | ||
| Alyssa Lubey | Registered representative | Jun 2024 (2y) | ||
| Clare Elizabeth Sheridan | Registered representative | Jun 2024 (2y) | ||
| David Francis Bedard | Registered representative | Jun 2024 (2y) | ||
| Jeffrey L Ratner | Registered representative | Jun 2024 (2y) | ||
| Linda Jean Lee | Registered representative | Jun 2024 (2y) | ||
| Marianne Watson | Registered representative | Jun 2024 (2y) | ||
| Sammy Rex Tuggle | Registered representative | CFP | Jun 2024 (2y) | |
| Alec Steven Wycoff | Registered representative | CFP | Jun 2024 (2y) | |
| Douglas Allen Darling | Registered representative | Jun 2024 (2y) | ||
| Dawson Alverson | Registered representative | Jun 2024 (2y) | ||
| Joshua J Castillo | Registered representative | Jun 2024 (2y) | ||
| Justin M Mulholland | Registered representative | Jun 2024 (2y) | ||
| John Robert Searer | Registered representative | Jun 2024 (2y) | ||
| Marlin G. Musser | Registered representative | Jun 2024 (2y) | ||
| Ryan Aman Chand | Registered representative | Jun 2024 (2y) | ||
| Sean D Mcvey | Registered representative | Jun 2024 (2y) | ||
| Sarah Allison Darling | Registered representative | Jun 2024 (2y) | ||
| Thomas Henry Brazier | Registered representative | Jun 2024 (2y) | ||
| Eric Keone Slack | Registered representative | Jun 2024 (2y) | ||
| Adam Garrett Crandall | Registered representative | Jul 2024 (2y) | ||
| Allison Anne Armitage | Registered representative | Jul 2024 (2y) | ||
| Artin Zakarian | Registered representative | CFP | Jul 2024 (2y) | |
| Boyd Mertz Bergen | Registered representative | Jul 2024 (2y) | ||
| Bruce Allen Perhach | Registered representative | Jul 2024 (2y) | ||
| Danielle Kathrine Vigneault | Registered representative | Jul 2024 (2y) | ||
| David Chase Kincannon | Registered representative | CFP Chartered Financial Consultant | Jul 2024 (2y) | |
| Erik Robert Klinger | Registered representative | Jul 2024 (2y) | ||
| Franklin Lee Raines | Registered representative | Jul 2024 (2y) | ||
| Gerald Emil Stefanelli | Registered representative | Jul 2024 (2y) | ||
| James Anthony Flannery | Registered representative | Jul 2024 (2y) | ||
| James Thomas Carter | Registered representative | Jul 2024 (2y) | ||
| Joseph James Perri | Registered representative | Jul 2024 (2y) | ||
| Jada E Hamar | Registered representative | Jul 2024 (2y) | ||
| James Ramirez | Registered representative | Jul 2024 (2y) | ||
| John Anthony Bertolini | Registered representative | Jul 2024 (2y) | ||
| Katrina Anne Hirdes | Registered representative | Jul 2024 (2y) | ||
| Louis John Monaco | Registered representative | CFP | Jul 2024 (2y) | |
| Robert Roisum | Registered representative | Jul 2024 (2y) | ||
| Thomas Andrew Musumeci | Registered representative | Jul 2024 (2y) | ||
| Thomas Eugene Musumeci | Registered representative | Jul 2024 (2y) | ||
| Trent William Turner | Registered representative | Jul 2024 (2y) | ||
| Anne Silvestro Madden | Registered representative | Jul 2024 (2y) | ||
| Hayley Maryhelen Hewlett | Registered representative | Jul 2024 (2y) | ||
| Jefferey M. Cappelle | Registered representative | Jul 2024 (2y) | ||
| Kristy Anne Motta | Registered representative | CFP | Jul 2024 (2y) | |
| Matthew Welgat | Registered representative | Jul 2024 (2y) | ||
| Matthew Dillon | Registered representative | Jul 2024 (2y) | ||
| Michael Lawrence Bellody | Registered representative | Jul 2024 (2y) | ||
| Olivia Countiss | Registered representative | Jul 2024 (2y) | ||
| Patrick Joseph Whelan | Registered representative | Jul 2024 (2y) | ||
| Scot Nicholas Turvey | Registered representative | CFP | Jul 2024 (2y) | |
| Stephen Mckee | Registered representative | Jul 2024 (2y) | ||
| Theresa A Young | Registered representative | Personal Financial Specialist | Jul 2024 (2y) | |
| Thomas Alan Caprio | Registered representative | CFP | Jul 2024 (2y) | |
| Karla Jill Brown | Registered representative | Jul 2024 (2y) | ||
| Keaton John Nighbert | Registered representative | Jul 2024 (2y) | ||
| Liana Bekelian | Registered representative | Jul 2024 (2y) | ||
| Matthew Allyn Taylor | Registered representative | Jul 2024 (2y) | ||
| Shannon L Munton | Registered representative | Jul 2024 (2y) | ||
| Karen Michelle Wearden | Registered representative | CFP Chartered Financial Consultant | Jul 2024 (2y) | |
| Paul Robert Turcott | Registered representative | CFP | Jul 2024 (2y) | |
| Scott Andrew Steiner | Registered representative | Jul 2024 (2y) | ||
| Antonio Gonzalez | Registered representative | Jul 2024 (2y) | ||
| David Charles Turcott | Registered representative | Jul 2024 (2y) | ||
| Donald Lee Doolittle | Registered representative | Jul 2024 (2y) | ||
| John Patrick Gonzalez | Registered representative | Jul 2024 (2y) | ||
| Matthew Edwin Wickline | Registered representative | Jul 2024 (2y) | ||
| Robert Meiring Knapke | Registered representative | Jul 2024 (2y) | ||
| Scott Alan Turcott | Registered representative | Jul 2024 (2y) | ||
| Toby Crites | Registered representative | Jul 2024 (2y) | ||
| Warren Randolph Martin | Registered representative | Jul 2024 (2y) | ||
| Anthony Robert Bellody | Registered representative | Jul 2024 (2y) | ||
| Christina M Gaston | Registered representative | CFP | Jul 2024 (2y) | |
| Eric Bojarczuk | Registered representative | Jul 2024 (2y) | ||
| Francis Patrick Donnelly | Registered representative | CFP | Jul 2024 (2y) | |
| James Harold Ross | Registered representative | Jul 2024 (2y) | ||
| Javier Leon | Registered representative | Jul 2024 (2y) | ||
| Peter John Fitzgerald | Registered representative | Jul 2024 (2y) | ||
| Seth Showalter | Registered representative | Jul 2024 (2y) | ||
| Tanner Steven Kobal | Registered representative | Jul 2024 (2y) | ||
| Adam Lee Hardesty | Registered representative | Jul 2024 (2y) | ||
| Ankush De | Registered representative | Jul 2024 (2y) | ||
| David Faith | Registered representative | Jul 2024 (2y) | ||
| George Robert Englert | Registered representative | Jul 2024 (2y) | ||
| Jason Andrew Newel | Registered representative | Jul 2024 (2y) | ||
| Jason Lee Cooprider | Registered representative | Jul 2024 (2y) | ||
| Kevin Englert | Registered representative | Jul 2024 (2y) | ||
| Kyle Wayne Hensley | Registered representative | Jul 2024 (2y) | ||
| Kevin P Mallory | Registered representative | Jul 2024 (2y) | ||
| Matthew Lynn Boyles | Registered representative | Jul 2024 (2y) | ||
| Michael Richard Stryczny | Registered representative | Jul 2024 (2y) | ||
| Nishan Dinesh Paranawitane | Registered representative | Jul 2024 (2y) | ||
| Steven Phillip Harder | Registered representative | CFP | Jul 2024 (2y) | |
| Andrew James Smith | Registered representative | Jul 2024 (2y) | ||
| Charlton D Simons | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| James Kendall Halloran | Registered representative | Jul 2024 (2y) | ||
| John Lodge Farmer | Registered representative | Jul 2024 (2y) | ||
| Kari Marie Raglione Tissot | Registered representative | CFP | Jul 2024 (2y) | |
| Mark A Lane | Registered representative | Jul 2024 (2y) | ||
| Salvatore Michael Di Costanzo | Registered representative | Jul 2024 (2y) | ||
| Sheri Nicole Leveille | Registered representative | CFP | Jul 2024 (2y) | |
| Tyler Ray Lewis | Registered representative | Jul 2024 (2y) | ||
| Aaron Bojorquez | Registered representative | Jul 2024 (2y) | ||
| Andrew Johnston | Registered representative | Jul 2024 (2y) | ||
| Glenn Dale Hoyer | Registered representative | Jul 2024 (2y) | ||
| Harry Richard Neidermyer | Registered representative | Jul 2024 (2y) | ||
| Mark Allen Simmons | Registered representative | Jul 2024 (2y) | ||
| Michael Ethan Martinez | Registered representative | Jul 2024 (2y) | ||
| Noah Bradley Littin | Registered representative | Jul 2024 (2y) | ||
| Parker Fowler Adam | Registered representative | Jul 2024 (2y) | ||
| Rylee Shae Driggs | Registered representative | Jul 2024 (2y) | ||
| Scott Robert England | Registered representative | Jul 2024 (2y) | ||
| Adam Henry Dwyer | Registered representative | Jul 2024 (2y) | ||
| Benjamin Brady Dewhurst | Registered representative | Jul 2024 (2y) | ||
| Garrett Daniel | Registered representative | Jul 2024 (2y) | ||
| James R Love | Registered representative | Jul 2024 (2y) | ||
| Penelope Kim | Registered representative | Jul 2024 (2y) | ||
| Deann Miles Rinehart | Registered representative | Jul 2024 (2y) | ||
| Emily Dalton Hickman | Registered representative | Jul 2024 (2y) | ||
| Hannah Jane Verdi | Registered representative | Jul 2024 (2y) | ||
| Waylon Bruce Jackson | Registered representative | Jul 2024 (2y) | ||
| Jeffery J. Quinn | Registered representative | Jul 2024 (2y) | ||
| Joshua Thornhill | Registered representative | Jul 2024 (2y) | ||
| Luke N Eide | Registered representative | Jul 2024 (2y) | ||
| Marino Parrish Stath | Registered representative | Jul 2024 (2y) | ||
| Stacy Anne Graham | Registered representative | Jul 2024 (2y) | ||
| Samantha L Kobs | Registered representative | Jul 2024 (2y) | ||
| William Edward Davis | Registered representative | Jul 2024 (2y) | ||
| Emily Michelle Tarletsky | Registered representative | Jul 2024 (2y) | ||
| Fiona Marion Trehubets Van Stout | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| Jacob R Lincoln | Registered representative | Jul 2024 (2y) | ||
| Jason Darren Campbell | Registered representative | CFP Chartered Financial Consultant | Jul 2024 (2y) | |
| Max Marvin Demby | Registered representative | Jul 2024 (2y) | ||
| Christopher D Williams | Registered representative | Jul 2024 (2y) | ||
| Eric Olivier Mathurin | Registered representative | Jul 2024 (2y) | ||
| Heather Ann Axford | Registered representative | Jul 2024 (2y) | ||
| Melissa Sue Jacobs | Registered representative | Jul 2024 (2y) | ||
| Max Messett | Registered representative | Jul 2024 (2y) | ||
| Jasmine Davis | Registered representative | Jul 2024 (2y) | ||
| Michael Anthony Gilbert | Registered representative | Jul 2024 (2y) | ||
| Benjamin Kristien Chapman | Registered representative | Jul 2024 (2y) | ||
| Brittanie Ellen Ockerhausen | Registered representative | Jul 2024 (2y) | ||
| Benjamin Charles Baertschy | Registered representative | Jul 2024 (2y) | ||
| Charles Robert Long | Registered representative | Jul 2024 (2y) | ||
| Darcy King | Registered representative | Jul 2024 (2y) | ||
| Mark E Young | Registered representative | Chartered Financial Consultant Personal Financial Specialist | Jul 2024 (2y) | |
| Michael Christopher Crean | Registered representative | Jul 2024 (2y) | ||
| Michael Jason Beiter | Registered representative | Jul 2024 (2y) | ||
| Michael John Sheehan | Registered representative | CFP | Jul 2024 (2y) | |
| Tristan Fujita | Registered representative | Jul 2024 (2y) | ||
| Ira Gary Chernick | Registered representative | Jul 2024 (2y) | ||
| John Felts Connelly | Registered representative | Jul 2024 (2y) | ||
| John Henry Meyer | Registered representative | CFP | Jul 2024 (2y) | |
| Justin Ausher | Registered representative | CFP | Jul 2024 (2y) | |
| Kathryn Marie Baness | Registered representative | Jul 2024 (2y) | ||
| Casey W Sackman | Registered representative | Jul 2024 (2y) | ||
| Christopher Lee Johnson | Registered representative | Jul 2024 (2y) | ||
| Christopher Luke Weiss | Registered representative | Jul 2024 (2y) | ||
| Christian Javier Bautista | Registered representative | Jul 2024 (2y) | ||
| David Scureman | Registered representative | CFP | Jul 2024 (2y) | |
| Derrick Smith Andrews | Registered representative | CFP | Jul 2024 (2y) | |
| Douglas James Lockwood | Registered representative | CFP | Jul 2024 (2y) | |
| Jonathan David Shippee | Registered representative | Jul 2024 (2y) | ||
| Kara Anne Lewis | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| Roger Alan Hyde | Registered representative | Jul 2024 (2y) | ||
| Victoria Collins | Registered representative | Jul 2024 (2y) | ||
| Zachary William Pias | Registered representative | Jul 2024 (2y) | ||
| Carrie Marie Hughes | Registered representative | Jul 2024 (2y) | ||
| Joseph Lee Toye | Registered representative | Jul 2024 (2y) | ||
| Kenneth Bruce Roberts | Registered representative | CFP | Jul 2024 (2y) | |
| Matthew Ryan Mcewen | Registered representative | Jul 2024 (2y) | ||
| Noah Hutkin | Registered representative | Jul 2024 (2y) | ||
| Robert Tendler | Registered representative | CFP | Jul 2024 (2y) | |
| Ryan Olsen | Registered representative | Jul 2024 (2y) | ||
| Samuel J Smith | Registered representative | Jul 2024 (2y) | ||
| Stephen Griffin Wang | Registered representative | Jul 2024 (2y) | ||
| Steven T Ries | Registered representative | CFP | Jul 2024 (2y) | |
| Antonio Persampieri | Registered representative | Jul 2024 (2y) | ||
| Bradley Cooke | Registered representative | CFP | Jul 2024 (2y) | |
| Bradly James Rogers | Registered representative | Jul 2024 (2y) | ||
| Hons Man Yu | Registered representative | CFP | Jul 2024 (2y) | |
| Luke Derose | Registered representative | Jul 2024 (2y) | ||
| Lawrence Alix Foster | Registered representative | Jul 2024 (2y) | ||
| Michael Richard Belanger | Registered representative | Jul 2024 (2y) | ||
| Nicara Aislynn Enright Alves | Registered representative | Jul 2024 (2y) | ||
| Patrick Summit | Registered representative | Jul 2024 (2y) | ||
| Paul Christopher Firth | Registered representative | Jul 2024 (2y) | ||
| Richard Belanger | Registered representative | Jul 2024 (2y) | ||
| Robyn A Yahner | Registered representative | Jul 2024 (2y) | ||
| Alastair James Henry Horne | Registered representative | Jul 2024 (2y) | ||
| Baptiste William Brunner | Registered representative | Jul 2024 (2y) | ||
| Francisco Javier Rivera | Registered representative | Jul 2024 (2y) | ||
| James William Frye | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| Justin Wayne Bryson | Registered representative | Jul 2024 (2y) | ||
| Nicholas Francis White | Registered representative | Jul 2024 (2y) | ||
| Patrick Becker Witte | Registered representative | Jul 2024 (2y) | ||
| Robert Tudda | Registered representative | Jul 2024 (2y) | ||
| Venus Justice | Registered representative | Jul 2024 (2y) | ||
| Brett William Wilson | Registered representative | Jul 2024 (2y) | ||
| Devin M Rasmussen | Registered representative | Jul 2024 (2y) | ||
| Kimberly Ann Jaso | Registered representative | Jul 2024 (2y) | ||
| Lucas Montes | Registered representative | CFP | Jul 2024 (2y) | |
| Michael Angelo Lee | Registered representative | Jul 2024 (2y) | ||
| Philip Timothy Wieloch | Registered representative | Jul 2024 (2y) | ||
| Renee Marie Lewis | Registered representative | Jul 2024 (2y) | ||
| Robert Alan Lenz | Registered representative | Jul 2024 (2y) | ||
| Steven Joseph Dias | Registered representative | Jul 2024 (2y) | ||
| Terry Donald Schnare | Registered representative | Jul 2024 (2y) | ||
| Vincent Girard Perfetto | Registered representative | Jul 2024 (2y) | ||
| Zoe Grace Nelson | Registered representative | Jul 2024 (2y) | ||
| Carl Joshua Teply | Registered representative | CFP | Jul 2024 (2y) | |
| David A Simpson | Registered representative | Jul 2024 (2y) | ||
| David Sain | Registered representative | Jul 2024 (2y) | ||
| Jessica Van Ourkerk | Registered representative | Jul 2024 (2y) | ||
| Mark Allen Jagow | Registered representative | Jul 2024 (2y) | ||
| Michelle Lynn St.Clair | Registered representative | Jul 2024 (2y) | ||
| Micah J Alsobrook | Registered representative | Jul 2024 (2y) | ||
| Nathan Charles Schmidt | Registered representative | CFP | Jul 2024 (2y) | |
| Todd Michael Gerdes Zertuche | Registered representative | Jul 2024 (2y) | ||
| Tanner Jonathan Wachal | Registered representative | CFP | Jul 2024 (2y) | |
| Amie Rae Wanner | Registered representative | Aug 2024 (2y) | ||
| Andrew C Kahan | Registered representative | Aug 2024 (2y) | ||
| Hugh Steven Morris | Registered representative | Aug 2024 (2y) | ||
| Jason Conrad Huntley | Registered representative | CFP | Aug 2024 (2y) | |
| Joseph O Reimels | Registered representative | Aug 2024 (2y) | ||
| Justin Stuursma | Registered representative | Aug 2024 (2y) | ||
| Kelly Glen Compton | Registered representative | Aug 2024 (2y) | ||
| Kegan Schroeter | Registered representative | Aug 2024 (2y) | ||
| Thomson Clark Chew | Registered representative | Aug 2024 (2y) | ||
| Tyler Morgan Shumaker | Registered representative | Aug 2024 (2y) | ||
| Wynn Christian Fortner | Registered representative | Aug 2024 (2y) | ||
| Christopher Abernethy | Registered representative | Aug 2024 (2y) | ||
| David Andre Doorneweerd | Registered representative | CFP | Aug 2024 (2y) | |
| Jonathan Fredericks | Registered representative | Aug 2024 (2y) | ||
| Mark Duane Loop | Registered representative | CFP | Aug 2024 (2y) | |
| Matthew Meyer Ordway | Registered representative | Aug 2024 (2y) | ||
| Paul Carmen Miller | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Patrick A Mckinney | Registered representative | Aug 2024 (2y) | ||
| Simler Creig Batcheler | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Simone Henry | Registered representative | Aug 2024 (2y) | ||
| Patrick Anthony De Pinto | Registered representative | Aug 2024 (2y) | ||
| Andy Ross Schink | Registered representative | Aug 2024 (2y) | ||
| Ashley Marie Paloutzian | Registered representative | Aug 2024 (2y) | ||
| Brandon Harrison Mcilroy | Registered representative | Aug 2024 (2y) | ||
| Brittany M Daniel | Registered representative | Aug 2024 (2y) | ||
| Bryan Charles Byrd | Registered representative | Aug 2024 (2y) | ||
| Cameron Mark Bartlett | Registered representative | Aug 2024 (2y) | ||
| Cindy Sue Gleason | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Craig Mitchel Cohn | Registered representative | Aug 2024 (2y) | ||
| Daniel Joseph Ward | Registered representative | Aug 2024 (2y) | ||
| Daniel Wayne Costa | Registered representative | CFP | Aug 2024 (2y) | |
| David Edward Smedley | Registered representative | Aug 2024 (2y) | ||
| David Joseph Ward | Registered representative | Aug 2024 (2y) | ||
| David Lee Gawne | Registered representative | Aug 2024 (2y) | ||
| Douglas Gordon Meuth | Registered representative | Aug 2024 (2y) | ||
| Frank Carl Story | Registered representative | Aug 2024 (2y) | ||
| Frank Vincent Guzzone | Registered representative | Aug 2024 (2y) | ||
| J Craig Mc Ilroy | Registered representative | CFP | Aug 2024 (2y) | |
| Jacqueline Noelle Davie | Registered representative | Aug 2024 (2y) | ||
| James Anthony Sawczyszyn | Registered representative | Aug 2024 (2y) | ||
| Jason William Jett | Registered representative | Aug 2024 (2y) | ||
| Jeffrey Thomas Bagley | Registered representative | CFP | Aug 2024 (2y) | |
| Karen Jennifer Ness | Registered representative | Aug 2024 (2y) | ||
| Kelli M Cerra | Registered representative | Aug 2024 (2y) | ||
| Kimberly A Ritter | Registered representative | Aug 2024 (2y) | ||
| Mark Joseph Rychel | Registered representative | CFP | Aug 2024 (2y) | |
| Michael Edward Mayer | Registered representative | Aug 2024 (2y) | ||
| Michael Louis Tacchella | Registered representative | Aug 2024 (2y) | ||
| Michael Vincent Whalen | Registered representative | CFP | Aug 2024 (2y) | |
| Michaela R Brickley | Registered representative | Aug 2024 (2y) | ||
| Madison Lee Melle | Registered representative | Aug 2024 (2y) | ||
| Nicklaus Sabb | Registered representative | Aug 2024 (2y) | ||
| Philip Warren Elliott | Registered representative | Aug 2024 (2y) | ||
| Richard Nicholas Mangieri | Registered representative | Aug 2024 (2y) | ||
| Robert Gomez Diaz Arrastia | Registered representative | Aug 2024 (2y) | ||
| Sarah Mary Houle Johns | Registered representative | Aug 2024 (2y) | ||
| Tyler Philip Mason | Registered representative | Aug 2024 (2y) | ||
| Valerie Elizabeth Escobar | Registered representative | CFP | Aug 2024 (2y) | |
| Vladimir Anatoliy Nikitenko | Registered representative | CFP | Aug 2024 (2y) | |
| Andrew R Miller | Registered representative | Aug 2024 (2y) | ||
| Eric Robert Carlson | Registered representative | Aug 2024 (2y) | ||
| Graydan F Smith | Registered representative | Aug 2024 (2y) | ||
| Jared Edward Newman | Registered representative | Aug 2024 (2y) | ||
| Jeanne Marie Juricka | Registered representative | Aug 2024 (2y) | ||
| Kerrie Lynn Jensen | Registered representative | Aug 2024 (2y) | ||
| Leo Richard Scalercio | Registered representative | Aug 2024 (2y) | ||
| Linda Kay Price | Registered representative | Aug 2024 (2y) | ||
| Michael Thomas Elsberry | Registered representative | CFP | Aug 2024 (2y) | |
| Michele Cash | Registered representative | Aug 2024 (2y) | ||
| Nicholas Anthony Ibello | Registered representative | CFP | Aug 2024 (2y) | |
| Sandra Gayle Cohn | Registered representative | Aug 2024 (2y) | ||
| John Cannon Hydrick | Registered representative | CFP | Aug 2024 (2y) | |
| Kenneth Cassius Butterfield | Registered representative | Aug 2024 (2y) | ||
| Amanda Bateman | Registered representative | CFP | Aug 2024 (2y) | |
| Christina Mcconnell | Registered representative | Aug 2024 (2y) | ||
| Christopher Joseph Breault | Registered representative | Aug 2024 (2y) | ||
| Harold Scott Braswell | Registered representative | Aug 2024 (2y) | ||
| Jason Lee Walker | Registered representative | Aug 2024 (2y) | ||
| Jerathen Levon Tillman | Registered representative | CFP | Aug 2024 (2y) | |
| John Dwain Gedwill | Registered representative | Aug 2024 (2y) | ||
| James Patrick Kent | Registered representative | Aug 2024 (2y) | ||
| Joseph A Bommarito | Registered representative | Aug 2024 (2y) | ||
| Laura Long | Registered representative | Aug 2024 (2y) | ||
| Matthew Davis | Registered representative | Aug 2024 (2y) | ||
| Rostislav Nikolayevich Tkachenko | Registered representative | Aug 2024 (2y) | ||
| Vincent Jacobs | Registered representative | Aug 2024 (2y) | ||
| Matthew Ryan Kelley | Registered representative | CFA | Aug 2024 (2y) | |
| Nouachi Vang | Registered representative | CFP | Aug 2024 (2y) | |
| William Louis Di Menna | Registered representative | CFP | Aug 2024 (2y) | |
| Laura Lynn Wedow | Registered representative | Aug 2024 (2y) | ||
| Aaron James Garabedian | Registered representative | Aug 2024 (2y) | ||
| Bryan John Nelson | Registered representative | CFP | Aug 2024 (2y) | |
| Joshua Anthony Otto | Registered representative | Aug 2024 (2y) | ||
| Luke Haddorff | Registered representative | Aug 2024 (2y) | ||
| Spencer Lee South | Registered representative | Aug 2024 (2y) | ||
| Allison June Weaver | Registered representative | Aug 2024 (2y) | ||
| Jacob Jin Suk Kocher | Registered representative | Aug 2024 (2y) | ||
| Jennifer Lee Radford | Registered representative | Aug 2024 (2y) | ||
| Jimmy Taylor | Registered representative | Aug 2024 (2y) | ||
| Lauren Whitney Lunday | Registered representative | Aug 2024 (2y) | ||
| Meagan M. Dejesus | Registered representative | Aug 2024 (2y) | ||
| Tyler Martin Adams | Registered representative | Aug 2024 (2y) | ||
| Aaron Richard Kelly | Registered representative | CFP | Aug 2024 (2y) | |
| Alan Ralph Glassey | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Brent J Kvech | Registered representative | Aug 2024 (2y) | ||
| Carole Louise Leitgeb | Registered representative | Aug 2024 (2y) | ||
| Craig Harvey Tibbitts | Registered representative | Aug 2024 (2y) | ||
| Edward A Bird | Registered representative | CFP | Aug 2024 (2y) | |
| Frederick Deneen Sanchez | Registered representative | CFP | Aug 2024 (2y) | |
| Harry William Horn | Registered representative | Aug 2024 (2y) | ||
| James Charles Metzbower | Registered representative | Aug 2024 (2y) | ||
| John Edwin Horn | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| John Joseph Coll | Registered representative | Aug 2024 (2y) | ||
| Louis Pastore | Registered representative | Aug 2024 (2y) | ||
| Michael Thomas Leonard | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Matthew David Emerson | Registered representative | CFP | Aug 2024 (2y) | |
| Patrick Mccabe | Registered representative | Aug 2024 (2y) | ||
| Richard David Scott | Registered representative | Aug 2024 (2y) | ||
| Richard Ellis Craft | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Robert Logan Waters | Registered representative | Aug 2024 (2y) | ||
| Robert W Symonds | Registered representative | CFP | Aug 2024 (2y) | |
| Scott Wayne Clattenburg | Registered representative | Aug 2024 (2y) | ||
| Silvia Caterina Stazio | Registered representative | CFP | Aug 2024 (2y) | |
| Stephen Baldwin Morris | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Steven Michael James | Registered representative | Aug 2024 (2y) | ||
| Tyler Reid Mccraw | Registered representative | CFP | Aug 2024 (2y) | |
| Wesley Grey Stout | Registered representative | Aug 2024 (2y) | ||
| Brian Douglas Trainer | Registered representative | Aug 2024 (2y) | ||
| Brendan J Mc Donnell | Registered representative | Aug 2024 (2y) | ||
| Fabrizio Andre Isola Schenone | Registered representative | Aug 2024 (2y) | ||
| John Louis Mccraw | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Joshua Ian Houle | Registered representative | CFP | Aug 2024 (2y) | |
| James Silvio Pierlioni | Registered representative | CFP | Aug 2024 (2y) | |
| Nicholas Fiorito | Registered representative | Aug 2024 (2y) | ||
| Ronald Wilde Paule | Registered representative | Aug 2024 (2y) | ||
| Stanley Frank Rodbell | Registered representative | Aug 2024 (2y) | ||
| Thomas Joseph Barger | Registered representative | Aug 2024 (2y) | ||
| Dennis Munsayac Ortiz Luis | Registered representative | Aug 2024 (2y) | ||
| Dina F Fargalla | Registered representative | Aug 2024 (2y) | ||
| David R Yankaskas | Registered representative | Aug 2024 (2y) | ||
| Michael Christopher Mcfeeley | Registered representative | CFP | Aug 2024 (2y) | |
| Richard Anthony Faraone | Registered representative | Aug 2024 (2y) | ||
| Marshall Taylor | Registered representative | Aug 2024 (2y) | ||
| Aaron Michael Hoffman | Registered representative | Aug 2024 (2y) | ||
| Anthony John Jasen | Registered representative | Aug 2024 (2y) | ||
| Anthony Lee Tinsley | Registered representative | Aug 2024 (2y) | ||
| Benjamin Joseph Strope | Registered representative | Aug 2024 (2y) | ||
| Brandon Michael Sullivan | Registered representative | Aug 2024 (2y) | ||
| Brian Ross Sullivan | Registered representative | CFP | Aug 2024 (2y) | |
| Bryan Jay Henderson | Registered representative | Aug 2024 (2y) | ||
| Casey Alexander Middleton | Registered representative | Aug 2024 (2y) | ||
| Christopher John Testa | Registered representative | Aug 2024 (2y) | ||
| David Robert Mccain | Registered representative | CFP | Aug 2024 (2y) | |
| Dennis Martin Mitchell | Registered representative | Aug 2024 (2y) | ||
| Edward P Caballero | Registered representative | CFP | Aug 2024 (2y) | |
| Francis Michael Lann | Registered representative | Aug 2024 (2y) | ||
| George Edward Stanley | Registered representative | Aug 2024 (2y) | ||
| Hillaree Bosch | Registered representative | CFP | Aug 2024 (2y) | |
| Hunter T Gross | Registered representative | Aug 2024 (2y) | ||
| Kenneth Michael Hughes | Registered representative | Aug 2024 (2y) | ||
| Lisa Marie Hite | Registered representative | Aug 2024 (2y) | ||
| Luke Childs | Registered representative | Aug 2024 (2y) | ||
| Martha Louise Catt | Registered representative | Aug 2024 (2y) | ||
| Melissa Morgan Hopper | Registered representative | Aug 2024 (2y) | ||
| Michael Eric Tomren | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Michael L Perdue | Registered representative | Aug 2024 (2y) | ||
| Monte Keith Martin | Registered representative | Aug 2024 (2y) | ||
| Michael Fransen | Registered representative | Aug 2024 (2y) | ||
| Patrick Willis Ward | Registered representative | Aug 2024 (2y) | ||
| Robert Gene Berger | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Ronald Jay Naegle | Registered representative | Aug 2024 (2y) | ||
| Tone Dai H Tran | Registered representative | Aug 2024 (2y) | ||
| Travis Ray Baldridge | Registered representative | Aug 2024 (2y) | ||
| William Kevin Wilson | Registered representative | Aug 2024 (2y) | ||
| Wes Allen Owens | Registered representative | Aug 2024 (2y) | ||
| Gregory Wade Guemmer | Registered representative | CFP | Aug 2024 (2y) | |
| Greg A Margevicius | Registered representative | Aug 2024 (2y) | ||
| John Elijah Bell | Registered representative | Aug 2024 (2y) | ||
| Kenneth Bret Richardson | Registered representative | Aug 2024 (2y) | ||
| Matthew H Wolferman | Registered representative | Aug 2024 (2y) | ||
| Quinn Michael Wieber | Registered representative | Aug 2024 (2y) | ||
| Timothy Charles States | Registered representative | Aug 2024 (2y) | ||
| Veronika Zakalinska Carter | Registered representative | Aug 2024 (2y) | ||
| Daniel Edward Podawiltz | Registered representative | Aug 2024 (2y) | ||
| Gregory Mark Gulling | Registered representative | Aug 2024 (2y) | ||
| Joseph Ronan | Registered representative | Aug 2024 (2y) | ||
| Mason Phillip Terrell | Registered representative | Aug 2024 (2y) | ||
| Sandra Dee Hegeman | Registered representative | Aug 2024 (2y) | ||
| Adam Matthew Greene | Registered representative | Aug 2024 (2y) | ||
| Lesley Marie Culley | Registered representative | Aug 2024 (2y) | ||
| Matthew Edward Corman | Registered representative | CFP | Aug 2024 (2y) | |
| Sarah Elizabeth Hinman | Registered representative | CFP Personal Financial Specialist | Aug 2024 (2y) | |
| Amanda Lynn Garrison | Registered representative | Aug 2024 (2y) | ||
| Eric Phillip Bradford | Registered representative | Aug 2024 (2y) | ||
| London Cade Chamberlain | Registered representative | Aug 2024 (2y) | ||
| Rita L Bagnato | Registered representative | Aug 2024 (2y) | ||
| Bryan Recca | Registered representative | CFP | Aug 2024 (2y) | |
| Connie Ellen Dinicola | Registered representative | Aug 2024 (2y) | ||
| Grant Spencer Wallensky | Registered representative | Aug 2024 (2y) | ||
| Samuel Lanctot Hamlett | Registered representative | Aug 2024 (2y) | ||
| Thomas Francis Blunda | Registered representative | Aug 2024 (2y) | ||
| Wilburn Joel Hudson | Registered representative | CFP | Aug 2024 (2y) | |
| Brian M Laraway | Registered representative | Aug 2024 (2y) | ||
| Cory A Thompson | Registered representative | Aug 2024 (2y) | ||
| David Allen Maxwell | Registered representative | Aug 2024 (2y) | ||
| Jacob Andrew Casleton | Registered representative | Aug 2024 (2y) | ||
| Kelcie Larue Schiraldi | Registered representative | CFP Personal Financial Specialist | Aug 2024 (2y) | |
| Melissa Amber Clark | Registered representative | Aug 2024 (2y) | ||
| Nicholas Joseph Romeo | Registered representative | Aug 2024 (2y) | ||
| Stephen Douglas Cooper | Registered representative | Aug 2024 (2y) | ||
| Todd Michael Bury | Registered representative | Aug 2024 (2y) | ||
| Alexander Baker | Registered representative | Aug 2024 (2y) | ||
| Bradley Michael Tinnin | Registered representative | CFP | Aug 2024 (2y) | |
| Christopher Braden Wallace | Registered representative | Aug 2024 (2y) | ||
| David Ll Oyd George | Registered representative | Aug 2024 (2y) | ||
| Elizabeth Page Darby | Registered representative | Aug 2024 (2y) | ||
| John Gerald Duane | Registered representative | Aug 2024 (2y) | ||
| Jasmine Simone Frazier | Registered representative | Aug 2024 (2y) | ||
| Laura Nilius | Registered representative | CFP | Aug 2024 (2y) | |
| Sarah Bury | Registered representative | Aug 2024 (2y) | ||
| Tamika Nashae Byrd | Registered representative | Aug 2024 (2y) | ||
| Amy Lee Mc Kenzie | Registered representative | Aug 2024 (2y) | ||
| Brian Blair | Registered representative | Aug 2024 (2y) | ||
| Deborah Sue Lovejoy | Registered representative | Aug 2024 (2y) | ||
| Jana Dawn Gingerich | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Nicholas H Anger | Registered representative | Aug 2024 (2y) | ||
| Pamela Ann Kamen | Registered representative | Aug 2024 (2y) | ||
| Russell L Martin | Registered representative | Aug 2024 (2y) | ||
| Young Moon | Registered representative | Aug 2024 (2y) | ||
| Ashton N Gant | Registered representative | Aug 2024 (2y) | ||
| Dustin Jay Dean | Registered representative | CFP | Aug 2024 (2y) | |
| Eric Daniel Martinez | Registered representative | CFP | Aug 2024 (2y) | |
| Ethan John Thompson | Registered representative | Aug 2024 (2y) | ||
| Frederick Hunter Leisner | Registered representative | Aug 2024 (2y) | ||
| John D Myers | Registered representative | Aug 2024 (2y) | ||
| James Nicklaus Dockins | Registered representative | Aug 2024 (2y) | ||
| Katelyn Elyse Baker | Registered representative | Aug 2024 (2y) | ||
| Madelyn Ducharme | Registered representative | Aug 2024 (2y) | ||
| Rami Sassoon | Registered representative | Aug 2024 (2y) | ||
| Ashton D Medina | Registered representative | CFP CFA | Sep 2024 (2y) | |
| Charles Ralph White | Registered representative | Sep 2024 (2y) | ||
| Curren Khadey | Registered representative | Sep 2024 (2y) | ||
| Eric James Villalobos | Registered representative | Sep 2024 (2y) | ||
| Ethan Brouwer | Registered representative | Sep 2024 (2y) | ||
| Frank Piacente | Registered representative | Sep 2024 (2y) | ||
| Gregory Giantsos | Registered representative | Sep 2024 (2y) | ||
| Jerod Morse Cronkite | Registered representative | CFP | Sep 2024 (2y) | |
| Kenneth Allan Franklin | Registered representative | CFP | Sep 2024 (2y) | |
| Matt Austin Coleman | Registered representative | Sep 2024 (2y) | ||
| Paul Andrew Callander | Registered representative | Sep 2024 (2y) | ||
| Ryan Kenneth Snover | Registered representative | Sep 2024 (2y) | ||
| Sarah Michelle Woehrman | Registered representative | CFP | Sep 2024 (2y) | |
| Stephen Michael Raglow De Franco | Registered representative | Sep 2024 (2y) | ||
| Shahriar Faraji | Registered representative | Sep 2024 (2y) | ||
| Thomas John Mcdermott | Registered representative | CFP | Sep 2024 (2y) | |
| Anthony Franco Dimiele | Registered representative | Sep 2024 (2y) | ||
| Andrew Parvey | Registered representative | Sep 2024 (2y) | ||
| Corey Randall Bierl | Registered representative | Sep 2024 (2y) | ||
| Cynthia Laine Reninger | Registered representative | CFP | Sep 2024 (2y) | |
| Camille Koppenberg | Registered representative | Sep 2024 (2y) | ||
| Georgiana Darie | Registered representative | Sep 2024 (2y) | ||
| Jason Brett Cole | Registered representative | CFP | Sep 2024 (2y) | |
| Jonathon Mathew Royval | Registered representative | Sep 2024 (2y) | ||
| Justin Weinstein | Registered representative | Sep 2024 (2y) | ||
| Matthew John Schoenfeld | Registered representative | Sep 2024 (2y) | ||
| Marc Adam Danchak | Registered representative | Sep 2024 (2y) | ||
| Mark Thomas Stanic | Registered representative | Sep 2024 (2y) | ||
| Matt Wilke | Registered representative | Sep 2024 (2y) | ||
| Nicholas Ryan Orlowski | Registered representative | Sep 2024 (2y) | ||
| Stacy Lee Foote | Registered representative | Sep 2024 (2y) | ||
| Warren Wilfred Seeley | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Alec Herbert | Registered representative | Sep 2024 (2y) | ||
| Antonio J Bugli | Registered representative | Sep 2024 (2y) | ||
| Bob Azarieh | Registered representative | Sep 2024 (2y) | ||
| David Murray Mcinnis | Registered representative | CFP | Sep 2024 (2y) | |
| Grier Chandler Edwards | Registered representative | Sep 2024 (2y) | ||
| Josette Martinique Smith | Registered representative | Sep 2024 (2y) | ||
| Michael Ray Grubb | Registered representative | Sep 2024 (2y) | ||
| Vladislav Andreyevich Avdeyuk | Registered representative | Sep 2024 (2y) | ||
| Vance Walker Embry | Registered representative | Sep 2024 (2y) | ||
| Chad Andrew Perkins | Registered representative | Sep 2024 (2y) | ||
| Christopher Charles Hass | Registered representative | Sep 2024 (2y) | ||
| Cooper Martin Leggett | Registered representative | Sep 2024 (2y) | ||
| Garrett Winfield Imeson | Registered representative | CFP | Sep 2024 (2y) | |
| Jeffrey Lin Caufield | Registered representative | Sep 2024 (2y) | ||
| James Edward Buchheit | Registered representative | Sep 2024 (2y) | ||
| Marvin Stewart Heiman | Registered representative | Sep 2024 (2y) | ||
| Michael Shawn Tivnan | Registered representative | Sep 2024 (2y) | ||
| Neil Collin Rabb | Registered representative | Sep 2024 (2y) | ||
| Nicholas Ricci | Registered representative | Sep 2024 (2y) | ||
| Nancy Lynn Comparetto | Registered representative | Sep 2024 (2y) | ||
| Brett Justin Howard | Registered representative | Sep 2024 (2y) | ||
| Brooks Dodson Crissey | Registered representative | CFP | Sep 2024 (2y) | |
| Henry Marshall Des Jardins | Registered representative | Sep 2024 (2y) | ||
| Johnny Lee Cavazos | Registered representative | Sep 2024 (2y) | ||
| Marco Antonio Rivera | Registered representative | Sep 2024 (2y) | ||
| Ryan Joel Mason | Registered representative | Sep 2024 (2y) | ||
| Alan John Chapman | Registered representative | Sep 2024 (2y) | ||
| Donald Eugene Chambers | Registered representative | Sep 2024 (2y) | ||
| Gregory Brenton Wilson | Registered representative | Sep 2024 (2y) | ||
| Steven Valentin Alvarez | Registered representative | Sep 2024 (2y) | ||
| William Heartsill Young | Registered representative | Sep 2024 (2y) | ||
| Aaron Dale Oskey | Registered representative | Sep 2024 (2y) | ||
| Brandy Shera Merriam | Registered representative | Sep 2024 (2y) | ||
| Kultar Singh Bindra | Registered representative | CFP | Sep 2024 (2y) | |
| Owen Culver | Registered representative | Sep 2024 (2y) | ||
| Mia Aileen Manasan | Registered representative | Sep 2024 (2y) | ||
| Michael Peter Rubino | Registered representative | Sep 2024 (2y) | ||
| Charles T Hamilton | Registered representative | Sep 2024 (2y) | ||
| David Bruce Ryzman | Registered representative | CFP | Sep 2024 (2y) | |
| Helen Virginia Eldridge Reeve | Registered representative | Sep 2024 (2y) | ||
| Jeffrey M Minucci | Registered representative | CFP | Sep 2024 (2y) | |
| Jennie M Walsh | Registered representative | Sep 2024 (2y) | ||
| Kenneth Alan Clyde | Registered representative | Sep 2024 (2y) | ||
| Michelle Schini Haneline | Registered representative | Sep 2024 (2y) | ||
| Mitchell Papenfus | Registered representative | Sep 2024 (2y) | ||
| Nathan John Herricks | Registered representative | Sep 2024 (2y) | ||
| Robert Charles Ely | Registered representative | Sep 2024 (2y) | ||
| Ryan A Bonnett | Registered representative | Sep 2024 (2y) | ||
| Thomas David Losby | Registered representative | Sep 2024 (2y) | ||
| Aaron J Pawlak | Registered representative | Sep 2024 (2y) | ||
| Aaron Daniel Womack | Registered representative | Sep 2024 (2y) | ||
| Brian Kelleher | Registered representative | Sep 2024 (2y) | ||
| Brent Edward Mannebach | Registered representative | CFP | Sep 2024 (2y) | |
| Dorne J Hall | Registered representative | Sep 2024 (2y) | ||
| David Wayne Mc Elroy | Registered representative | Sep 2024 (2y) | ||
| Ethan Lewis Lowman | Registered representative | Sep 2024 (2y) | ||
| Gregory Michael Bauers | Registered representative | Sep 2024 (2y) | ||
| Griffin Lee Flinn | Registered representative | Sep 2024 (2y) | ||
| Jacob Perez | Registered representative | Sep 2024 (2y) | ||
| James Francis Angiuli | Registered representative | CFP | Sep 2024 (2y) | |
| James Lewy | Registered representative | CFP | Sep 2024 (2y) | |
| Jennifer J Clyde | Registered representative | Sep 2024 (2y) | ||
| John Michael Bauers | Registered representative | CFP | Sep 2024 (2y) | |
| Joshua Robert Lock | Registered representative | Sep 2024 (2y) | ||
| Leonard John Whitlock | Registered representative | Sep 2024 (2y) | ||
| Mark Kevin Stivers | Registered representative | Sep 2024 (2y) | ||
| Michael S Macfarlane | Registered representative | Sep 2024 (2y) | ||
| Nick Joseph Beres | Registered representative | CFP | Sep 2024 (2y) | |
| Sean Patrick Flaherty | Registered representative | Sep 2024 (2y) | ||
| Shannon Michael Taggart | Registered representative | Sep 2024 (2y) | ||
| Sean Michael Mc Evoy | Registered representative | CFP Chartered Financial Consultant | Sep 2024 (2y) | |
| Steven M Bauers | Registered representative | Sep 2024 (2y) | ||
| Troy Lee Flinn | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Tyler J Vongsawad | Registered representative | CFP Chartered Financial Consultant | Sep 2024 (2y) | |
| William Daniel Kelleher | Registered representative | Sep 2024 (2y) | ||
| Bryan Patrick England | Registered representative | Sep 2024 (2y) | ||
| Bryce Reed Anderson | Registered representative | Sep 2024 (2y) | ||
| Cristian Ardelean | Registered representative | Sep 2024 (2y) | ||
| Douglas Frew | Registered representative | Sep 2024 (2y) | ||
| Fernando Martin Davila | Registered representative | Sep 2024 (2y) | ||
| Joel Aaron Gourdin | Registered representative | Sep 2024 (2y) | ||
| James Rodney Bledsoe | Registered representative | Sep 2024 (2y) | ||
| Kevin Patten Bondi | Registered representative | Sep 2024 (2y) | ||
| Lawrence Louis Jacobson | Registered representative | Sep 2024 (2y) | ||
| Stephanie A Bracken | Registered representative | CFP | Sep 2024 (2y) | |
| Valerie Denise Olsey | Registered representative | Sep 2024 (2y) | ||
| William F Beck | Registered representative | CFP | Sep 2024 (2y) | |
| April Renee Dougherty | Registered representative | Sep 2024 (2y) | ||
| Clara Cole | Registered representative | Sep 2024 (2y) | ||
| Crystal Nicole Welch | Registered representative | Sep 2024 (2y) | ||
| Elliot Nathan Wild | Registered representative | Sep 2024 (2y) | ||
| Griffin Alexander Schroeter | Registered representative | Sep 2024 (2y) | ||
| Kenneth Marc Hutkin | Registered representative | Sep 2024 (2y) | ||
| Kyle Banal | Registered representative | Sep 2024 (2y) | ||
| Margarita Santiago | Registered representative | Sep 2024 (2y) | ||
| Nareg Niazi | Registered representative | Sep 2024 (2y) | ||
| Patrick Francis Cusick | Registered representative | Sep 2024 (2y) | ||
| Ronald M Winkler | Registered representative | Sep 2024 (2y) | ||
| Ross Michael Kirwan | Registered representative | CFP | Sep 2024 (2y) | |
| Stephen Earl Hill | Registered representative | Sep 2024 (2y) | ||
| Sergio Andrade | Registered representative | Sep 2024 (2y) | ||
| Christopher Miles Carter | Registered representative | Sep 2024 (2y) | ||
| Clark Robert Matthiessen | Registered representative | CFP | Sep 2024 (2y) | |
| Christopher David Garcia | Registered representative | Sep 2024 (2y) | ||
| Dale F Lavelle | Registered representative | Sep 2024 (2y) | ||
| Douglas Ogden Elliott | Registered representative | Sep 2024 (2y) | ||
| Douglas William Kenoyer | Registered representative | CFP | Sep 2024 (2y) | |
| Esteban Rene Zuno | Registered representative | Sep 2024 (2y) | ||
| Gerlynbee Martinez Buencamino | Registered representative | Sep 2024 (2y) | ||
| John Edward Gurski | Registered representative | Sep 2024 (2y) | ||
| John P Page | Registered representative | CFP Chartered Financial Consultant | Sep 2024 (2y) | |
| Julie Anne Lynch | Registered representative | Sep 2024 (2y) | ||
| Kevin W Onizuka | Registered representative | Sep 2024 (2y) | ||
| Katharine Lea Euler | Registered representative | Sep 2024 (2y) | ||
| Michael Joseph Defazio | Registered representative | Sep 2024 (2y) | ||
| Mario A Pometta | Registered representative | Sep 2024 (2y) | ||
| Michael Jay Septimo | Registered representative | Sep 2024 (2y) | ||
| Steven Alan Kerston | Registered representative | Sep 2024 (2y) | ||
| Sara Elizabeth Crouch | Registered representative | Sep 2024 (2y) | ||
| Thomas Dale Hubert | Registered representative | Sep 2024 (2y) | ||
| Vijay Krishnaswamy | Registered representative | CFP | Sep 2024 (2y) | |
| William Breckenridge Brigham | Registered representative | Sep 2024 (2y) | ||
| Ariella Jochai | Registered representative | Sep 2024 (2y) | ||
| Christi M Noren | Registered representative | Sep 2024 (2y) | ||
| Camden R Rhoades | Registered representative | Sep 2024 (2y) | ||
| Elena Marie Frieberg | Registered representative | Sep 2024 (2y) | ||
| Georgina Maria Rosal | Registered representative | Sep 2024 (2y) | ||
| Joe Palmer | Registered representative | Sep 2024 (2y) | ||
| William Samuel Jones | Registered representative | Sep 2024 (2y) | ||
| Carol Marie Miskovich | Registered representative | Sep 2024 (2y) | ||
| Don Giovanello | Registered representative | Sep 2024 (2y) | ||
| Darin Leon Kight | Registered representative | Sep 2024 (2y) | ||
| Eric Mack Morrison | Registered representative | Sep 2024 (2y) | ||
| Gian Landy Paolella | Registered representative | CFP | Sep 2024 (2y) | |
| James Peter Olson | Registered representative | CFP | Sep 2024 (2y) | |
| Karen Elaine Lind | Registered representative | Sep 2024 (2y) | ||
| Matthew Alan Greer | Registered representative | Sep 2024 (2y) | ||
| Nathan Michael Lee | Registered representative | Sep 2024 (2y) | ||
| William George Hammer | Registered representative | Sep 2024 (2y) | ||
| Andre Campbell | Registered representative | Sep 2024 (2y) | ||
| Christopher Michael White | Registered representative | CFP | Sep 2024 (2y) | |
| Patrick Charles Gorkow | Registered representative | Sep 2024 (2y) | ||
| Sergio Alberto Rojas | Registered representative | CFP | Sep 2024 (2y) | |
| Alison Ainhi Williams | Registered representative | Sep 2024 (2y) | ||
| Andrew Joseph Barkley | Registered representative | CFP | Sep 2024 (2y) | |
| Anibal Cruz | Registered representative | Sep 2024 (2y) | ||
| Brian Joseph Proppe | Registered representative | CFP | Sep 2024 (2y) | |
| Chad W Denike | Registered representative | Sep 2024 (2y) | ||
| Christopher Jay Edelman | Registered representative | Sep 2024 (2y) | ||
| James Ustby | Registered representative | Sep 2024 (2y) | ||
| Kathryn Felts | Registered representative | Sep 2024 (2y) | ||
| Scott Hoffman | Registered representative | Sep 2024 (2y) | ||
| Aubrey Lynn Strippy | Registered representative | Sep 2024 (2y) | ||
| Andrew Thomas Schroeder | Registered representative | Sep 2024 (2y) | ||
| Chelsea Ann Slavin | Registered representative | Sep 2024 (2y) | ||
| Corey Adam Blumenthal | Registered representative | Sep 2024 (2y) | ||
| Elizabeth Sieghardt | Registered representative | Sep 2024 (2y) | ||
| Fred Joseph Tantillo | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Jeffrey Michael Staley | Registered representative | Sep 2024 (2y) | ||
| Jennifer H. Moerbe | Registered representative | Sep 2024 (2y) | ||
| John Michael Nixon | Registered representative | Sep 2024 (2y) | ||
| Britton Lee Noble | Registered representative | Sep 2024 (2y) | ||
| Carie Marie Phelps Estrada | Registered representative | Sep 2024 (2y) | ||
| Cheri Lynette Payne | Registered representative | Sep 2024 (2y) | ||
| Christopher Raymond Blaszyk | Registered representative | Sep 2024 (2y) | ||
| Christopher Gene Hudgens | Registered representative | Sep 2024 (2y) | ||
| Drake Howard Zimmerman | Registered representative | CFP CFA | Sep 2024 (2y) | |
| Davyd Jaron Jones | Registered representative | Sep 2024 (2y) | ||
| Esmeralda Valarezo | Registered representative | Sep 2024 (2y) | ||
| James Barrett Spicer | Registered representative | CFP | Sep 2024 (2y) | |
| Jeffery Alan Hanna | Registered representative | Sep 2024 (2y) | ||
| Jeffrey James O'brien | Registered representative | Sep 2024 (2y) | ||
| Jeffrey S Waters | Registered representative | CFP | Sep 2024 (2y) | |
| John Phillip Siciliano | Registered representative | Sep 2024 (2y) | ||
| Joseph Carl Rose | Registered representative | Sep 2024 (2y) | ||
| Jacob Thomas Margozewitz | Registered representative | Sep 2024 (2y) | ||
| Jarrod Lane Hageman | Registered representative | CFP | Sep 2024 (2y) | |
| Jonathan O Edris | Registered representative | Sep 2024 (2y) | ||
| Karen Taliaferro Fenwick | Registered representative | Sep 2024 (2y) | ||
| Mary Ellen Cardenas | Registered representative | Sep 2024 (2y) | ||
| Michael David Collins | Registered representative | Sep 2024 (2y) | ||
| Nancy Louise Armstrong | Registered representative | Sep 2024 (2y) | ||
| Patricia B Hughes | Registered representative | Sep 2024 (2y) | ||
| Patrick Thomas Calhan | Registered representative | Sep 2024 (2y) | ||
| Paul David Levin | Registered representative | CFP Chartered Financial Consultant | Sep 2024 (2y) | |
| Richard Thomas Kintz | Registered representative | Sep 2024 (2y) | ||
| Robert Vincent Torris | Registered representative | Sep 2024 (2y) | ||
| Ryan Allen Roy | Registered representative | CFP | Sep 2024 (2y) | |
| Ryan Geoffrey Patterson | Registered representative | Sep 2024 (2y) | ||
| Surojeet Ghatak | Registered representative | CFA | Sep 2024 (2y) | |
| William David Brauer | Registered representative | Sep 2024 (2y) | ||
| Bryan Smith | Registered representative | CFA | Oct 2024 (2y) | |
| Buck Kartheval Jones | Registered representative | Oct 2024 (2y) | ||
| Catherine M Coombe | Registered representative | CFP | Oct 2024 (2y) | |
| Daniel Clifford Spalding | Registered representative | Oct 2024 (2y) | ||
| Ellen Noble Mallay | Registered representative | Oct 2024 (2y) | ||
| Eric Daniel Wellons | Registered representative | Oct 2024 (2y) | ||
| Jeremy Richard George | Registered representative | CFP | Oct 2024 (2y) | |
| John Aromando | Registered representative | Oct 2024 (2y) | ||
| Joseph Jordan Cunneff | Registered representative | Oct 2024 (2y) | ||
| Joshua Glen Palmer | Registered representative | CFP | Oct 2024 (2y) | |
| Jared D Kenney | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Kenneth Walter Rickens | Registered representative | CFP | Oct 2024 (2y) | |
| Logan Patrick Wolf | Registered representative | Oct 2024 (2y) | ||
| Marcus Nathan Seiter | Registered representative | CFP | Oct 2024 (2y) | |
| Mark Alan Wolf | Registered representative | Oct 2024 (2y) | ||
| Monica L Luke | Registered representative | Oct 2024 (2y) | ||
| Mason Allen Brunsmann | Registered representative | Oct 2024 (2y) | ||
| Michele Denise Hopson | Registered representative | Oct 2024 (2y) | ||
| Philip Coombe | Registered representative | CFP | Oct 2024 (2y) | |
| Paul Homer Massey | Registered representative | Oct 2024 (2y) | ||
| Scott David Garber | Registered representative | Oct 2024 (2y) | ||
| Stephen Paul Hutton | Registered representative | Oct 2024 (2y) | ||
| Timothy Dj Roche | Registered representative | Oct 2024 (2y) | ||
| William Cranston Fenwick | Registered representative | Oct 2024 (2y) | ||
| Armand J De Paul | Registered representative | Oct 2024 (2y) | ||
| Benjamin Michael Burkhart | Registered representative | CFP | Oct 2024 (2y) | |
| Derek L Keller | Registered representative | Oct 2024 (2y) | ||
| Elizabeth Joseph | Registered representative | Oct 2024 (2y) | ||
| Gary Patrick Hummel | Registered representative | CFP | Oct 2024 (2y) | |
| Gabriel Parham | Registered representative | Oct 2024 (2y) | ||
| Harrison Tanner Smith | Registered representative | Oct 2024 (2y) | ||
| Heather Ferris | Registered representative | Oct 2024 (2y) | ||
| Jeffrey Walter Holden | Registered representative | Oct 2024 (2y) | ||
| Jon Edward Drinkwater | Registered representative | CFP | Oct 2024 (2y) | |
| Joshua Alexander Means | Registered representative | Oct 2024 (2y) | ||
| Lauryn Nichole Donnelly | Registered representative | Oct 2024 (2y) | ||
| Max Rafael Zelaya | Registered representative | Oct 2024 (2y) | ||
| Michael D Caffrey | Registered representative | Oct 2024 (2y) | ||
| Michael R Otradovec | Registered representative | Oct 2024 (2y) | ||
| Richard Allan Moen | Registered representative | Oct 2024 (2y) | ||
| Scott A Sloan | Registered representative | Oct 2024 (2y) | ||
| Doris Morgan | Registered representative | Oct 2024 (2y) | ||
| James Matthew Munsey | Registered representative | Oct 2024 (2y) | ||
| Jesse David Uttendorfer | Registered representative | CFP | Oct 2024 (2y) | |
| Rebecca Stella Elizabeth Winkel | Registered representative | Oct 2024 (2y) | ||
| Shawn Nicholas Mangan | Registered representative | Oct 2024 (2y) | ||
| Verneith Diane Stout | Registered representative | Oct 2024 (2y) | ||
| Aaron Michael Kennedy | Registered representative | Oct 2024 (2y) | ||
| Daniel Marcus Kim | Registered representative | Oct 2024 (2y) | ||
| Gus Gordan Brand | Registered representative | Oct 2024 (2y) | ||
| Ivan Jack Wong | Registered representative | Oct 2024 (2y) | ||
| Mark Daniel Renshaw | Registered representative | Oct 2024 (2y) | ||
| Pan Jung Kwe | Registered representative | CFP | Oct 2024 (2y) | |
| Anthony Giovan Atrasz | Registered representative | CFP Chartered Financial Consultant | Oct 2024 (2y) | |
| Charles Groome Powell | Registered representative | Oct 2024 (2y) | ||
| Darrick Austin Hoover | Registered representative | Oct 2024 (2y) | ||
| Fanny Rivera Flores | Registered representative | Oct 2024 (2y) | ||
| Ishmael Mercy Morris | Registered representative | Oct 2024 (2y) | ||
| Jimmy Lee | Registered representative | CFP | Oct 2024 (2y) | |
| Justin Scott Mc Grath | Registered representative | Oct 2024 (2y) | ||
| Michael Zepatos | Registered representative | Oct 2024 (2y) | ||
| Tonia Starr Heidal | Registered representative | Oct 2024 (2y) | ||
| Adam Todd Elover | Registered representative | CFA | Oct 2024 (2y) | |
| Adam Mills Higgins | Registered representative | Oct 2024 (2y) | ||
| Cody Ringo | Registered representative | Oct 2024 (2y) | ||
| Eric Vincent Baertels | Registered representative | Oct 2024 (2y) | ||
| Eric Walker Wenzel | Registered representative | Oct 2024 (2y) | ||
| Gerald Michael Lovett | Registered representative | Oct 2024 (2y) | ||
| Hailee Sue Meyer | Registered representative | Oct 2024 (2y) | ||
| Jason Arthur Shannon | Registered representative | Oct 2024 (2y) | ||
| Ricky Mills Higgins | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Daniel James Claric | Registered representative | Oct 2024 (2y) | ||
| Erik Steven Pace | Registered representative | Oct 2024 (2y) | ||
| Gabriel Gagliardo | Registered representative | Oct 2024 (2y) | ||
| Jimi Bipin Shah | Registered representative | Oct 2024 (2y) | ||
| Matthew Clary Smith | Registered representative | Oct 2024 (2y) | ||
| Robert James Pecoraro | Registered representative | Oct 2024 (2y) | ||
| Audrey L Hallman | Registered representative | Oct 2024 (2y) | ||
| Brody Simmons | Registered representative | Oct 2024 (2y) | ||
| Daniel Wright Harris | Registered representative | Oct 2024 (2y) | ||
| Joel Marius Popescu | Registered representative | Oct 2024 (2y) | ||
| Nicholas Pecoraro | Registered representative | Oct 2024 (2y) | ||
| Pierce Nicholas Brown | Registered representative | Oct 2024 (2y) | ||
| Benjamin Edward Crawford | Registered representative | Oct 2024 (2y) | ||
| Benjamin Laurence Engel | Registered representative | Oct 2024 (2y) | ||
| Dejah Nikayla Gay | Registered representative | CFP | Oct 2024 (2y) | |
| Dwight Wolfe | Registered representative | Oct 2024 (2y) | ||
| Jennifer Rachel Mitchell | Registered representative | Oct 2024 (2y) | ||
| Karl Patrick Ames | Registered representative | Oct 2024 (2y) | ||
| Kay Lynn Flores | Registered representative | Oct 2024 (2y) | ||
| Allyson Christensen Wade | Registered representative | Oct 2024 (2y) | ||
| Jon Kenneth Wych | Registered representative | Oct 2024 (2y) | ||
| James J Mc Cabe | Registered representative | CFP | Oct 2024 (2y) | |
| Kevin M. Mccarthy | Registered representative | Oct 2024 (2y) | ||
| Kiran Suresh Mirpuri | Registered representative | Oct 2024 (2y) | ||
| Russell Edward Jones | Registered representative | Oct 2024 (2y) | ||
| Steven David Filo | Registered representative | Oct 2024 (2y) | ||
| Aaron Val Neuenswander | Registered representative | Oct 2024 (2y) | ||
| Amy Noelle Tanski | Registered representative | Oct 2024 (2y) | ||
| Brian Christopher Mc Grinder | Registered representative | Oct 2024 (2y) | ||
| Christopher M. Went | Registered representative | Oct 2024 (2y) | ||
| Christian Bredefeld | Registered representative | Oct 2024 (2y) | ||
| Donald P Qualters | Registered representative | Oct 2024 (2y) | ||
| Elizabeth Ann Liechty | Registered representative | Oct 2024 (2y) | ||
| Emila Ashdown | Registered representative | Oct 2024 (2y) | ||
| Francis Randall | Registered representative | Oct 2024 (2y) | ||
| John Richard Nistler | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Jon Mitchell Peteuil | Registered representative | Oct 2024 (2y) | ||
| Joseph Codd | Registered representative | CFP | Oct 2024 (2y) | |
| Lyndon Alphonso Grey | Registered representative | Oct 2024 (2y) | ||
| Michael J Vera | Registered representative | Oct 2024 (2y) | ||
| Osborne Dahlgren Christensen | Registered representative | Oct 2024 (2y) | ||
| Reuben Abraham | Registered representative | Oct 2024 (2y) | ||
| Angelo Michael Gonzales | Registered representative | Oct 2024 (2y) | ||
| Carla June Stirling | Registered representative | Oct 2024 (2y) | ||
| Cameron D Jones | Registered representative | CFP | Oct 2024 (2y) | |
| Gregory Wayne Smith | Registered representative | CFP | Oct 2024 (2y) | |
| John Matthew Parsons | Registered representative | CFP | Oct 2024 (2y) | |
| John William Parsons | Registered representative | Oct 2024 (2y) | ||
| Jonathan Joseph Gervais | Registered representative | Oct 2024 (2y) | ||
| Mackenzie Watson | Registered representative | CFP | Oct 2024 (2y) | |
| Michael Estrada | Registered representative | Oct 2024 (2y) | ||
| Stuart Becherer Smith | Registered representative | Oct 2024 (2y) | ||
| Scott Shattuck | Registered representative | Oct 2024 (2y) | ||
| Stephen Dale Hernandez | Registered representative | Oct 2024 (2y) | ||
| Alexander Orozco | Registered representative | Oct 2024 (2y) | ||
| Joshua Mark Edelson | Registered representative | Oct 2024 (2y) | ||
| Jordan L Smith | Registered representative | CFP | Oct 2024 (2y) | |
| Ronald Andrew Nagy | Registered representative | Oct 2024 (2y) | ||
| Frank Mamola | Registered representative | Oct 2024 (2y) | ||
| Joesph T Maier | Registered representative | Oct 2024 (2y) | ||
| Lynda Michele Cichosz | Registered representative | Oct 2024 (2y) | ||
| Meliora Brielle Rosin | Registered representative | Oct 2024 (2y) | ||
| Nathan Ronald Rachels | Registered representative | Oct 2024 (2y) | ||
| Peter Thomas Manning | Registered representative | Oct 2024 (2y) | ||
| Rajesh Desai | Registered representative | CFP | Oct 2024 (2y) | |
| Todd Matthew Reamann | Registered representative | Oct 2024 (2y) | ||
| Albert Frank Fiorello | Registered representative | Oct 2024 (2y) | ||
| Andrew Scott Tedesco | Registered representative | CFP | Oct 2024 (2y) | |
| Ben Verchick | Registered representative | Oct 2024 (2y) | ||
| Charlotte Anne Dougherty | Registered representative | Oct 2024 (2y) | ||
| Craig Thomas Coughlin | Registered representative | Oct 2024 (2y) | ||
| Caty Elisabeth Susnock | Registered representative | Oct 2024 (2y) | ||
| Jeffrey Neal Mcwhorter | Registered representative | Oct 2024 (2y) | ||
| John E Dougherty | Registered representative | Oct 2024 (2y) | ||
| Joseph William Thomas | Registered representative | Oct 2024 (2y) | ||
| Lee Christopher | Registered representative | Oct 2024 (2y) | ||
| Lindsey Cole | Registered representative | CFP | Oct 2024 (2y) | |
| Matthew P Goodwin | Registered representative | Oct 2024 (2y) | ||
| Michael Eddy Zechmann | Registered representative | CFP | Oct 2024 (2y) | |
| Randal Todd Petrilli | Registered representative | Oct 2024 (2y) | ||
| Sandra Ann Pruett | Registered representative | Oct 2024 (2y) | ||
| Travis Jonathon Whitaker | Registered representative | Oct 2024 (2y) | ||
| Virginia Michelle Lynn Burwitz | Registered representative | Oct 2024 (2y) | ||
| Brad Douglas Goracke | Registered representative | Oct 2024 (2y) | ||
| Iveta Popov | Registered representative | Oct 2024 (2y) | ||
| Jacob Michael Collier | Registered representative | Oct 2024 (2y) | ||
| Martin Tory Streetman | Registered representative | CFP | Oct 2024 (2y) | |
| Nina Giorgievna Olague | Registered representative | Oct 2024 (2y) | ||
| Nathan Victor Johnson | Registered representative | Oct 2024 (2y) | ||
| Robert George Vail | Registered representative | Oct 2024 (2y) | ||
| Samuel David Rosen | Registered representative | CFP Chartered Financial Consultant | Oct 2024 (2y) | |
| Sawyer Michael May | Registered representative | Oct 2024 (2y) | ||
| Sophia Saiki | Registered representative | CFP | Oct 2024 (2y) | |
| Anne C Rosean | Registered representative | Oct 2024 (2y) | ||
| Francisco Jose Blanco | Registered representative | Oct 2024 (2y) | ||
| Garrett Johnson | Registered representative | Oct 2024 (2y) | ||
| Hayden Alan Rutter | Registered representative | Oct 2024 (2y) | ||
| Jeffrey John Furniss | Registered representative | Oct 2024 (2y) | ||
| Jonathan Eric Whitehouse | Registered representative | Oct 2024 (2y) | ||
| James Joseph Broderick | Registered representative | CFP | Oct 2024 (2y) | |
| Michael Norman Bernier | Registered representative | CFP | Oct 2024 (2y) | |
| Randi L Moulder | Registered representative | Oct 2024 (2y) | ||
| Ryan James Birge | Registered representative | Oct 2024 (2y) | ||
| Brooks A Bowman | Registered representative | Oct 2024 (2y) | ||
| Dustin Elgersma | Registered representative | Oct 2024 (2y) | ||
| Justin M Whorley | Registered representative | Oct 2024 (2y) | ||
| Kirk David Maraglia | Registered representative | Oct 2024 (2y) | ||
| Laurie Muller | Registered representative | Oct 2024 (2y) | ||
| Tristan Anthony Simmons | Registered representative | Oct 2024 (2y) | ||
| William Guillermo Degaudenzi | Registered representative | Oct 2024 (2y) | ||
| David Omeri | Registered representative | Oct 2024 (2y) | ||
| Jeremiah Joseph Seagle | Registered representative | Oct 2024 (2y) | ||
| William Dial | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Zachary Brooks | Registered representative | CFP | Oct 2024 (2y) | |
| Zachary Thebeau | Registered representative | Oct 2024 (2y) | ||
| Anthony Clayton Rice | Registered representative | Oct 2024 (2y) | ||
| Charles Matthew Gilb | Registered representative | Oct 2024 (2y) | ||
| Deanna Joyce Czarnecki | Registered representative | Oct 2024 (2y) | ||
| Derek Justin Seger | Registered representative | Oct 2024 (2y) | ||
| Gregg West Dawson | Registered representative | Oct 2024 (2y) | ||
| Greg Albert Casamayor | Registered representative | Oct 2024 (2y) | ||
| Harry Roger Hughes | Registered representative | Oct 2024 (2y) | ||
| Kevin Lee Czarnecki | Registered representative | Oct 2024 (2y) | ||
| Kevin Lozier | Registered representative | Oct 2024 (2y) | ||
| Matthew Jay Caruso | Registered representative | CFP Chartered Financial Consultant | Oct 2024 (2y) | |
| Mollie Horn Strong | Registered representative | Oct 2024 (2y) | ||
| Timothy John Crytzer | Registered representative | Oct 2024 (2y) | ||
| Wayne Lester Trahms | Registered representative | Oct 2024 (2y) | ||
| Anne Michelle Del Rosario | Registered representative | Oct 2024 (2y) | ||
| Arnold Troy Reinhart | Registered representative | Oct 2024 (2y) | ||
| Christopher Robert Brickheimer | Registered representative | Oct 2024 (2y) | ||
| Gary Ernest Pugh | Registered representative | Oct 2024 (2y) | ||
| Jacob Hunter Ducharme | Registered representative | Oct 2024 (2y) | ||
| Ko Dong | Registered representative | Oct 2024 (2y) | ||
| Kyle B Eager | Registered representative | Oct 2024 (2y) | ||
| Leon Arlin Henry | Registered representative | Oct 2024 (2y) | ||
| Matthew Thomas Demaster | Registered representative | Oct 2024 (2y) | ||
| Meagan Mackinnon | Registered representative | Oct 2024 (2y) | ||
| Robert John Kruse | Registered representative | Oct 2024 (2y) | ||
| William E. Smothers | Registered representative | Oct 2024 (2y) | ||
| Aaron S Cohen | Registered representative | Oct 2024 (2y) | ||
| Andrew Jared Vollman | Registered representative | Oct 2024 (2y) | ||
| Brian Booe | Registered representative | Oct 2024 (2y) | ||
| Colter James Dziekan | Registered representative | Oct 2024 (2y) | ||
| Heather L Stansfield | Registered representative | Oct 2024 (2y) | ||
| Jennifer Savoie Venable | Registered representative | Oct 2024 (2y) | ||
| Joseph Mark Petry | Registered representative | Oct 2024 (2y) | ||
| Jerry W Lynn | Registered representative | Oct 2024 (2y) | ||
| Michael Christopher Alvarez | Registered representative | Oct 2024 (2y) | ||
| Noah Jacob Williams | Registered representative | Oct 2024 (2y) | ||
| Ryan Evans Kirby | Registered representative | CFP | Oct 2024 (2y) | |
| Andrew Koch | Registered representative | Oct 2024 (2y) | ||
| Brianna Marie Gooden | Registered representative | Oct 2024 (2y) | ||
| Dylan Richards | Registered representative | Oct 2024 (2y) | ||
| Emily Meredith | Registered representative | Oct 2024 (2y) | ||
| Frank Linn Holloway | Registered representative | CFP Chartered Financial Consultant | Oct 2024 (2y) | |
| Jeong Han Kim | Registered representative | Oct 2024 (2y) | ||
| John William Sinclair | Registered representative | Oct 2024 (2y) | ||
| Karen Mary Bostick | Registered representative | Oct 2024 (2y) | ||
| Leonel Alexander Aceituno | Registered representative | Oct 2024 (2y) | ||
| Matthew J Mc Kelvey | Registered representative | Oct 2024 (2y) | ||
| Robert Joseph Quarture Iii | Registered representative | Oct 2024 (2y) | ||
| William Stephen Miller | Registered representative | CFP | Oct 2024 (2y) | |
| Anthony Paul Campagni | Registered representative | CFP | Nov 2024 (2y) | |
| Dominic Alfonso Elmo | Registered representative | Nov 2024 (2y) | ||
| James Robert Greno | Registered representative | Nov 2024 (2y) | ||
| Katherine Clark | Registered representative | Nov 2024 (2y) | ||
| Kyle Hancharick | Registered representative | CFP | Nov 2024 (2y) | |
| Lauren V Wixson | Registered representative | Nov 2024 (2y) | ||
| Matthew Edward Gross | Registered representative | Nov 2024 (2y) | ||
| Mitchell A Romeo | Registered representative | Nov 2024 (2y) | ||
| Megan Moore Kupratty | Registered representative | Nov 2024 (2y) | ||
| Ronald Alan Jurczynski | Registered representative | Nov 2024 (2y) | ||
| Thomas Kirby Harrington | Registered representative | CFP | Nov 2024 (2y) | |
| William David Gorman | Registered representative | CFP | Nov 2024 (2y) | |
| Leonardo Da Silva Gelain | Registered representative | Nov 2024 (2y) | ||
| Alger Gary Osentoski | Registered representative | CFP | Nov 2024 (2y) | |
| Charlotte Cowan Geletka | Registered representative | CFP | Nov 2024 (2y) | |
| Christopher Allin Herring | Registered representative | Nov 2024 (2y) | ||
| Clifford Eugene Breeden | Registered representative | Nov 2024 (2y) | ||
| Cogan Keith | Registered representative | Nov 2024 (2y) | ||
| Eric James Delaney | Registered representative | CFP | Nov 2024 (2y) | |
| Erle Mark Petrie | Registered representative | CFP | Nov 2024 (2y) | |
| Gilberto R Pena | Registered representative | CFP | Nov 2024 (2y) | |
| James Paul Norris | Registered representative | Nov 2024 (2y) | ||
| Katherine Auman Matthews | Registered representative | Nov 2024 (2y) | ||
| Logan Wood | Registered representative | Nov 2024 (2y) | ||
| Matthew Frank Bappert | Registered representative | CFP | Nov 2024 (2y) | |
| Mark Anthony Magee | Registered representative | Nov 2024 (2y) | ||
| Nicholas Caccia | Registered representative | Nov 2024 (2y) | ||
| Omer Yildiz | Registered representative | CFA | Nov 2024 (2y) | |
| Preston Mark Haas | Registered representative | Nov 2024 (2y) | ||
| Robert James Anderson | Registered representative | Nov 2024 (2y) | ||
| Robert Steven Bradley Miller | Registered representative | Nov 2024 (2y) | ||
| Alexander Joseph Martins | Registered representative | Nov 2024 (2y) | ||
| Dillon Robert Murphy | Registered representative | Nov 2024 (2y) | ||
| Edward E Carlson | Registered representative | Nov 2024 (2y) | ||
| Gage Colby Loftin | Registered representative | Nov 2024 (2y) | ||
| Lewis Craig Green | Registered representative | Nov 2024 (2y) | ||
| Lucas Margenot | Registered representative | Nov 2024 (2y) | ||
| Michael Allen Case | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Zachary Wayne Welborn | Registered representative | Nov 2024 (2y) | ||
| Andrew Alan Lipkin | Registered representative | Nov 2024 (2y) | ||
| Kamie Lee Abraham | Registered representative | CFP | Nov 2024 (2y) | |
| Michael W. Marks | Registered representative | CFP | Nov 2024 (2y) | |
| Robert Gerard Kernochan | Registered representative | Nov 2024 (2y) | ||
| Scott David Nelson | Registered representative | CFP | Nov 2024 (2y) | |
| Terrence John Majerko | Registered representative | Nov 2024 (2y) | ||
| Terry Michael Pasket | Registered representative | CFA | Nov 2024 (2y) | |
| Anthony Joseph Harris | Registered representative | CFP | Nov 2024 (2y) | |
| Hovsep Ohannes Dermenjian | Registered representative | Nov 2024 (2y) | ||
| Hagan Olin Mercer | Registered representative | Nov 2024 (2y) | ||
| Patrick C. Dammert | Registered representative | Nov 2024 (2y) | ||
| Timothy J Lyons | Registered representative | Nov 2024 (2y) | ||
| Brianna L Aslanian | Registered representative | Nov 2024 (2y) | ||
| Charles Ray Mayhall | Registered representative | CFP | Nov 2024 (2y) | |
| Matthew James Grotenhuis | Registered representative | Nov 2024 (2y) | ||
| Nicole Karen Kennedy | Registered representative | Nov 2024 (2y) | ||
| Regis J Rasmussen | Registered representative | Nov 2024 (2y) | ||
| Rozaliya Grigoryeva | Registered representative | Nov 2024 (2y) | ||
| Tanner James Mendenhall | Registered representative | Nov 2024 (2y) | ||
| Weston Morley | Registered representative | Nov 2024 (2y) | ||
| Bart Leach | Registered representative | Nov 2024 (2y) | ||
| Christian Tyler Wallace | Registered representative | CFP | Nov 2024 (2y) | |
| James Walton Otts | Registered representative | Nov 2024 (2y) | ||
| Lisa Marie Derig | Registered representative | Nov 2024 (2y) | ||
| Lucas Albert Fender | Registered representative | Nov 2024 (2y) | ||
| Matthew M Geraci | Registered representative | CFP | Nov 2024 (2y) | |
| Michael Christian Billings | Registered representative | CFA | Nov 2024 (2y) | |
| Margaret Rose Murray | Registered representative | Nov 2024 (2y) | ||
| Paul Laurence Norman | Registered representative | Nov 2024 (2y) | ||
| Peyton Daniel Chambers | Registered representative | Nov 2024 (2y) | ||
| Richard Alan Galgano | Registered representative | Nov 2024 (2y) | ||
| Ryan Blanchard | Registered representative | Nov 2024 (2y) | ||
| Aaron Samuel Crocker | Registered representative | Nov 2024 (2y) | ||
| Alan Edward Concha | Registered representative | CFP | Nov 2024 (2y) | |
| David Lynn Putman | Registered representative | CFP | Nov 2024 (2y) | |
| Devin M Richard | Registered representative | Nov 2024 (2y) | ||
| Donald Joseph Connick | Registered representative | Nov 2024 (2y) | ||
| Devan Lee Fox | Registered representative | Nov 2024 (2y) | ||
| Diana Jansen | Registered representative | Nov 2024 (2y) | ||
| John Eric Kroeker | Registered representative | Nov 2024 (2y) | ||
| Kevin Andrew Weber | Registered representative | CFP | Nov 2024 (2y) | |
| Robert Bryan Hayes | Registered representative | Nov 2024 (2y) | ||
| Robert Shih Chung Min | Registered representative | Nov 2024 (2y) | ||
| Tracie Ward Lucas | Registered representative | Nov 2024 (2y) | ||
| Amanda Michelle Miller | Registered representative | Nov 2024 (2y) | ||
| Arthur Sylvester Littlefield | Registered representative | Nov 2024 (2y) | ||
| Derek Dion Dell Lee | Registered representative | Nov 2024 (2y) | ||
| Ebony Armstrong | Registered representative | Nov 2024 (2y) | ||
| Jonathan Martin Vila | Registered representative | Nov 2024 (2y) | ||
| James Reece Dye | Registered representative | Nov 2024 (2y) | ||
| Jodi Rashel Stokes | Registered representative | Nov 2024 (2y) | ||
| Matthew J Barhorst | Registered representative | Nov 2024 (2y) | ||
| Melissa Mullins Shanhouse | Registered representative | Nov 2024 (2y) | ||
| Michael Christopher O'brien | Registered representative | Nov 2024 (2y) | ||
| Daniel Owen Barsnica | Registered representative | Nov 2024 (2y) | ||
| Myles Pennington Allingham | Registered representative | CFP Chartered Financial Consultant | Nov 2024 (2y) | |
| Richard Joseph Morowczynski | Registered representative | CFP | Nov 2024 (2y) | |
| William Joseph Millico | Registered representative | Nov 2024 (2y) | ||
| Zahra Baldwin | Registered representative | Nov 2024 (2y) | ||
| Alexandra Lasky | Registered representative | Nov 2024 (2y) | ||
| Aimee Keeney | Registered representative | Nov 2024 (2y) | ||
| Constantine Theodore Leonida | Registered representative | Nov 2024 (2y) | ||
| Daniel J Duffy | Registered representative | Nov 2024 (2y) | ||
| Daniel Six | Registered representative | Nov 2024 (2y) | ||
| Frank Zou Yeag Teng | Registered representative | CFP | Nov 2024 (2y) | |
| James B Flournoy | Registered representative | Nov 2024 (2y) | ||
| Jessica R Pasco | Registered representative | Nov 2024 (2y) | ||
| John Daryl Acosta Bernardio | Registered representative | Nov 2024 (2y) | ||
| Max Solomon Leopold | Registered representative | Nov 2024 (2y) | ||
| Nicholas Weiler | Registered representative | Nov 2024 (2y) | ||
| Nevin C Perera | Registered representative | Nov 2024 (2y) | ||
| Alec Shawn Bouton | Registered representative | Nov 2024 (2y) | ||
| Bezawit Estifanous Dessyalew | Registered representative | Nov 2024 (2y) | ||
| Bradley R Richter | Registered representative | Nov 2024 (2y) | ||
| Brian James Almeida | Registered representative | Nov 2024 (2y) | ||
| Christopher Frank Rich | Registered representative | Nov 2024 (2y) | ||
| Colin Andrew Lancaster | Registered representative | Nov 2024 (2y) | ||
| Colin Gregory Fine | Registered representative | Nov 2024 (2y) | ||
| Dominic Michael Balagna | Registered representative | Nov 2024 (2y) | ||
| Julie Marie Baker | Registered representative | Nov 2024 (2y) | ||
| Matthew G Lancaster | Registered representative | Nov 2024 (2y) | ||
| Mitchell Bruce Moore | Registered representative | Nov 2024 (2y) | ||
| Monica R Wisser | Registered representative | Nov 2024 (2y) | ||
| Peter Dunican | Registered representative | Nov 2024 (2y) | ||
| William Eugene Hazel | Registered representative | Nov 2024 (2y) | ||
| David Kelly Wood | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Edward Charles Bamberg | Registered representative | CFP Chartered Financial Consultant | Nov 2024 (2y) | |
| Emily Ann Poupart | Registered representative | Nov 2024 (2y) | ||
| Jason Berglund | Registered representative | Nov 2024 (2y) | ||
| Kyle Evan Murphy | Registered representative | Nov 2024 (2y) | ||
| Rory Kenneth Betry | Registered representative | Nov 2024 (2y) | ||
| Shyam Vasantray Bhakta | Registered representative | Nov 2024 (2y) | ||
| Travis Michael Berglund | Registered representative | Nov 2024 (2y) | ||
| Bradley W. Goldsmith | Registered representative | Nov 2024 (2y) | ||
| Karel Jens Walker | Registered representative | Nov 2024 (2y) | ||
| Kyle Mitchell Kahl | Registered representative | Nov 2024 (2y) | ||
| Matthew James Friddle | Registered representative | Nov 2024 (2y) | ||
| Benjamin Eric Koley | Registered representative | Nov 2024 (2y) | ||
| Bo Hong Shih | Registered representative | Nov 2024 (2y) | ||
| Broderick T Laese | Registered representative | Nov 2024 (2y) | ||
| Ezequiel J Rodriguez | Registered representative | Nov 2024 (2y) | ||
| Forest Lennon Grady | Registered representative | Nov 2024 (2y) | ||
| Nathan Munro | Registered representative | Nov 2024 (2y) | ||
| Samuel Joseph Caswell | Registered representative | Nov 2024 (2y) | ||
| Daren Taruo Suzuki | Registered representative | Nov 2024 (2y) | ||
| Stacy Sachie Miyasato Foster | Registered representative | CFP | Nov 2024 (2y) | |
| William Miner Barber | Registered representative | Personal Financial Specialist | Nov 2024 (2y) | |
| Brandon L Conaty | Registered representative | Nov 2024 (2y) | ||
| Christopher Peyton Roberts | Registered representative | Nov 2024 (2y) | ||
| Chelse Je Anne Vande Bossche | Registered representative | Nov 2024 (2y) | ||
| Duy Tran Nguy | Registered representative | Nov 2024 (2y) | ||
| Duke Alexander Carlton | Registered representative | Nov 2024 (2y) | ||
| Jaron Don Barrington | Registered representative | Nov 2024 (2y) | ||
| Jacob John Ledermann | Registered representative | Nov 2024 (2y) | ||
| Katie Catledge Stogner | Registered representative | Nov 2024 (2y) | ||
| Matthew James Cunningham | Registered representative | Nov 2024 (2y) | ||
| Madeleine Anne Camilli | Registered representative | Nov 2024 (2y) | ||
| Matthew Dean Carlisle | Registered representative | Nov 2024 (2y) | ||
| Maxim Nechitailo | Registered representative | Nov 2024 (2y) | ||
| Patrick G. Iannetta | Registered representative | Nov 2024 (2y) | ||
| Robert Anthony Breitner | Registered representative | Nov 2024 (2y) | ||
| Christine Marie Paul | Registered representative | Nov 2024 (2y) | ||
| James Daniel Segovia | Registered representative | Nov 2024 (2y) | ||
| John Robert Michael | Registered representative | CFP | Nov 2024 (2y) | |
| Lester John De Peralta | Registered representative | Nov 2024 (2y) | ||
| Daniel Terry Hjort | Registered representative | Nov 2024 (2y) | ||
| Jacob Daniel Hostetler | Registered representative | Nov 2024 (2y) | ||
| Nicholas Angelo Ruiz | Registered representative | Nov 2024 (2y) | ||
| Paul Michael Burke | Registered representative | Nov 2024 (2y) | ||
| Paul Daniel Endow | Registered representative | Nov 2024 (2y) | ||
| Christian F Washington | Registered representative | Nov 2024 (2y) | ||
| Benjamin Joseph Dychala | Registered representative | Nov 2024 (2y) | ||
| Alexander Paul Samaras | Registered representative | Dec 2024 (2y) | ||
| Andrew T Heller | Registered representative | Dec 2024 (2y) | ||
| Arland Kelly | Registered representative | Dec 2024 (2y) | ||
| Brandon Carmine Medici | Registered representative | Dec 2024 (2y) | ||
| Braden W Archer | Registered representative | Dec 2024 (2y) | ||
| Carl D Sadloske | Registered representative | Dec 2024 (2y) | ||
| Christopher James Zuaro | Registered representative | Dec 2024 (2y) | ||
| Cloise Benjamin Hendley | Registered representative | Dec 2024 (2y) | ||
| David M Woldman | Registered representative | Dec 2024 (2y) | ||
| Evan Joseph Radin | Registered representative | CFP | Dec 2024 (2y) | |
| Heshy Zweig | Registered representative | Dec 2024 (2y) | ||
| James Gordon Hamilton | Registered representative | CFP | Dec 2024 (2y) | |
| Julie Ann Rothmeier | Registered representative | Dec 2024 (2y) | ||
| Jeffrey Charles Fox | Registered representative | CFP | Dec 2024 (2y) | |
| Marcus Roger Stookey | Registered representative | Dec 2024 (2y) | ||
| Mark Patrick Monahan | Registered representative | Dec 2024 (2y) | ||
| Matthew James Winscher | Registered representative | Dec 2024 (2y) | ||
| Michael Lawrence Kelly | Registered representative | Dec 2024 (2y) | ||
| Robert Frederick Kays | Registered representative | Dec 2024 (2y) | ||
| Robyn Lynn Delfierro | Registered representative | Dec 2024 (2y) | ||
| Steven Wegrzynowicz | Registered representative | Dec 2024 (2y) | ||
| Thomas J Heller | Registered representative | Dec 2024 (2y) | ||
| William Leo Leclair | Registered representative | Dec 2024 (2y) | ||
| Brian Michael Frost | Registered representative | Dec 2024 (2y) | ||
| Bruce Steven Horowitz | Registered representative | Dec 2024 (2y) | ||
| Elaine Qun Yu | Registered representative | Dec 2024 (2y) | ||
| John Thomas Marasco | Registered representative | Chartered Financial Consultant | Dec 2024 (2y) | |
| Katrina Kiyomi Bamford | Registered representative | Dec 2024 (2y) | ||
| Lisette Rene Ehrat | Registered representative | Dec 2024 (2y) | ||
| Matthew Lee Barlow | Registered representative | Dec 2024 (2y) | ||
| Michael Charles Vining | Registered representative | Dec 2024 (2y) | ||
| Michael Robert Vojnik | Registered representative | Dec 2024 (2y) | ||
| Paul Shannon Freyer | Registered representative | Dec 2024 (2y) | ||
| Rebekka Mae Klugh | Registered representative | Dec 2024 (2y) | ||
| Robert Allen Dienelt | Registered representative | Dec 2024 (2y) | ||
| Shea Dawn Allen | Registered representative | CFP | Dec 2024 (2y) | |
| Sandra Esther Burgess | Registered representative | Dec 2024 (2y) | ||
| Steven Howe | Registered representative | Dec 2024 (2y) | ||
| Taylor Hollis Cole | Registered representative | Dec 2024 (2y) | ||
| Vasil Emilov Halchev | Registered representative | Dec 2024 (2y) | ||
| Aaron T Tanner | Registered representative | Dec 2024 (2y) | ||
| Benjamin Thomas Smith | Registered representative | Dec 2024 (2y) | ||
| Christopher Ellis | Registered representative | CFP | Dec 2024 (2y) | |
| Daniel Anton Vieland | Registered representative | Dec 2024 (2y) | ||
| Daniel Bezanson | Registered representative | Dec 2024 (2y) | ||
| Daniel Eduardo Torreblanca | Registered representative | Dec 2024 (2y) | ||
| David Clark | Registered representative | Dec 2024 (2y) | ||
| Inderpal Singh Anand | Registered representative | Dec 2024 (2y) | ||
| Jacqueline Elizabeth Leveroni | Registered representative | Dec 2024 (2y) | ||
| Justin Matthew Clapsaddle | Registered representative | CFP | Dec 2024 (2y) | |
| Paul Katz | Registered representative | Chartered Financial Consultant | Dec 2024 (2y) | |
| Richard Allen Gibson | Registered representative | Dec 2024 (2y) | ||
| George Ernest Hart | Registered representative | Dec 2024 (2y) | ||
| Jeffrey Clifton Drury | Registered representative | CFP | Dec 2024 (2y) | |
| Jeremiah Jennings | Registered representative | Dec 2024 (2y) | ||
| Luis Alfredo Hernandez | Registered representative | Dec 2024 (2y) | ||
| Olasupo John Oniyilo | Registered representative | CFA | Dec 2024 (2y) | |
| Rebekah Jane Clough | Registered representative | CFP | Dec 2024 (2y) | |
| William Proctor Greathouse | Registered representative | Dec 2024 (2y) | ||
| Alan Mears Gilbreath | Registered representative | Dec 2024 (2y) | ||
| John Hurley | Registered representative | Dec 2024 (2y) | ||
| Mark Fleksher | Registered representative | Dec 2024 (2y) | ||
| Michael Paul Levingston | Registered representative | Dec 2024 (2y) | ||
| Adam Bridges | Registered representative | Personal Financial Specialist | Dec 2024 (2y) | |
| Adam Oliver Knott | Registered representative | Dec 2024 (2y) | ||
| Angela Marie Dunivent | Registered representative | Dec 2024 (2y) | ||
| Asha S Patel | Registered representative | Dec 2024 (2y) | ||
| Benjamin Carlsson Carr | Registered representative | Dec 2024 (2y) | ||
| Brian Michael Fullman | Registered representative | Dec 2024 (2y) | ||
| Bryan Scott Shoemaker | Registered representative | Dec 2024 (2y) | ||
| James Michael Koczara | Registered representative | Dec 2024 (2y) | ||
| Jennifer June Pirret | Registered representative | Dec 2024 (2y) | ||
| Kale T Stromme | Registered representative | Dec 2024 (2y) | ||
| Michael Allyn Carmichael | Registered representative | Dec 2024 (2y) | ||
| Michael S Genna | Registered representative | CFA | Dec 2024 (2y) | |
| Norman Taylor Seibold | Registered representative | Dec 2024 (2y) | ||
| Tyler Ryan Foreman | Registered representative | Dec 2024 (2y) | ||
| Thomas Lee Petric | Registered representative | CFA | Dec 2024 (2y) | |
| Vincent Thomas Coscette | Registered representative | Dec 2024 (2y) | ||
| Z Lee Pelayo | Registered representative | Dec 2024 (2y) | ||
| Ellis Howard Dale Gallimore | Registered representative | Dec 2024 (2y) | ||
| James Paul Wertz | Registered representative | Dec 2024 (2y) | ||
| John Schmitmeyer | Registered representative | Dec 2024 (2y) | ||
| Kevin Michael Farrell | Registered representative | Dec 2024 (2y) | ||
| William R Fence | Registered representative | Dec 2024 (2y) | ||
| Claiborne Brunot Lagrone | Registered representative | Dec 2024 (2y) | ||
| Colette Michelle Law | Registered representative | Dec 2024 (2y) | ||
| Erica Flores Palmer | Registered representative | Dec 2024 (2y) | ||
| Gregory Don Stephens | Registered representative | Dec 2024 (2y) | ||
| James Walter Sampair | Registered representative | Dec 2024 (2y) | ||
| Jeffrey Andrew Grange | Registered representative | Dec 2024 (2y) | ||
| John Andrew Mitchell | Registered representative | Dec 2024 (2y) | ||
| John Daniel Cubito | Registered representative | Dec 2024 (2y) | ||
| John Taylor Somerville | Registered representative | Dec 2024 (2y) | ||
| Kalpana Ram Krishnan | Registered representative | CFA | Dec 2024 (2y) | |
| Kaitlyn Lauren Manning | Registered representative | Dec 2024 (2y) | ||
| Lucas Peter Hadzima | Registered representative | CFP Chartered Financial Consultant | Dec 2024 (2y) | |
| Margaret Kendall Reid | Registered representative | CFA | Dec 2024 (2y) | |
| Michael S Orans | Registered representative | Dec 2024 (2y) | ||
| Randolph Theodore Lachman | Registered representative | Dec 2024 (2y) | ||
| Ryan Boyer | Registered representative | CFP | Dec 2024 (2y) | |
| Sean Patrick Roche | Registered representative | Dec 2024 (2y) | ||
| Thomas Michael Mcguire | Registered representative | Dec 2024 (2y) | ||
| Adam Ford Drewry | Registered representative | Dec 2024 (2y) | ||
| Bennett Scott Ward | Registered representative | Dec 2024 (2y) | ||
| Grant William Hazel | Registered representative | Dec 2024 (2y) | ||
| Jeffrey Robert Sharman | Registered representative | CFP | Dec 2024 (2y) | |
| Kevin W Kearney | Registered representative | Dec 2024 (2y) | ||
| Marcus Andrew Selva | Registered representative | Dec 2024 (2y) | ||
| Marc Anthony Hinson | Registered representative | Dec 2024 (2y) | ||
| Matthew Shea Purvis | Registered representative | Dec 2024 (2y) | ||
| Melissa Mao | Registered representative | CFP Chartered Financial Consultant | Dec 2024 (2y) | |
| Richard James Bucenec | Registered representative | Dec 2024 (2y) | ||
| Robert J Naselli | Registered representative | Dec 2024 (2y) | ||
| Abraham Brukirer | Registered representative | Dec 2024 (2y) | ||
| Andrew Toma Gillis | Registered representative | Dec 2024 (2y) | ||
| Christian Castelo | Registered representative | Dec 2024 (2y) | ||
| Emily Elisabeth Knight | Registered representative | Dec 2024 (2y) | ||
| Guy Larry Schoenborn | Registered representative | Dec 2024 (2y) | ||
| Joshua M Ellis | Registered representative | Dec 2024 (2y) | ||
| Rachel Nicole Congleton | Registered representative | Dec 2024 (2y) | ||
| Taina Claire Frazer | Registered representative | Dec 2024 (2y) | ||
| William Shannon Gardner | Registered representative | Dec 2024 (2y) | ||
| Arundhati Paul | Registered representative | Dec 2024 (2y) | ||
| Benjamin Crotty | Registered representative | Dec 2024 (2y) | ||
| Carter R Herbolsheimer | Registered representative | Dec 2024 (2y) | ||
| Connor James Mc Farland | Registered representative | Dec 2024 (2y) | ||
| Edgar De Luna | Registered representative | Dec 2024 (2y) | ||
| Jessica Farah Biery | Registered representative | Chartered Financial Consultant | Dec 2024 (2y) | |
| Joshua Daniel Anspaugh | Registered representative | Dec 2024 (2y) | ||
| Jacob Gary Bump | Registered representative | Dec 2024 (2y) | ||
| Jeffrey Felix | Registered representative | CFP | Dec 2024 (2y) | |
| Julia R Bellontine | Registered representative | Dec 2024 (2y) | ||
| Lusine Lucy Gabrielyan | Registered representative | Dec 2024 (2y) | ||
| Ryan James Breytspraak | Registered representative | Dec 2024 (2y) | ||
| Samantha Loren Fife | Registered representative | Dec 2024 (2y) | ||
| Clint Anthony Foster | Registered representative | Dec 2024 (2y) | ||
| Jennifer Sue Root | Registered representative | Dec 2024 (2y) | ||
| John William Hoover | Registered representative | Dec 2024 (2y) | ||
| Michelle M. Woodruff | Registered representative | Dec 2024 (2y) | ||
| Bradley David Harris | Registered representative | Dec 2024 (2y) | ||
| Joel Edward Urist | Registered representative | Dec 2024 (2y) | ||
| Dylan David Favre | Registered representative | Dec 2024 (2y) | ||
| John David Dulude | Registered representative | Dec 2024 (2y) | ||
| John Mitchell Walker | Registered representative | Dec 2024 (2y) | ||
| Jack T Halvorsen | Registered representative | Dec 2024 (2y) | ||
| Parker Rhead Nielsen | Registered representative | Dec 2024 (2y) | ||
| Scott Vincent Cheo | Registered representative | CFP | Dec 2024 (2y) | |
| Tearanie Janaye Parker | Registered representative | Dec 2024 (2y) | ||
| Alec Harrold | Registered representative | Dec 2024 (2y) | ||
| Bryce Darland | Registered representative | Dec 2024 (2y) | ||
| Chelsea Denise Bailey | Registered representative | CFP | Dec 2024 (2y) | |
| Christopher Thomas Noll | Registered representative | Dec 2024 (2y) | ||
| Connor R Krisko | Registered representative | Dec 2024 (2y) | ||
| Michael Vincent Lewis | Registered representative | Dec 2024 (2y) | ||
| Noah Mahlon Eberhart | Registered representative | Dec 2024 (2y) | ||
| Thomas M Zaccone | Registered representative | Dec 2024 (2y) | ||
| Theodosios Drivas | Registered representative | Dec 2024 (2y) | ||
| Clynton S Ebling | Registered representative | Dec 2024 (2y) | ||
| Holly Renee Harsh | Registered representative | Dec 2024 (2y) | ||
| Jacob Daniel Hubanks | Registered representative | Dec 2024 (2y) | ||
| Miles Duncan | Registered representative | Dec 2024 (2y) | ||
| Sarah Margaret Dunworth | Registered representative | Dec 2024 (2y) | ||
| Adam C Johnson | Registered representative | Dec 2024 (2y) | ||
| Adam Dibernardo | Registered representative | Dec 2024 (2y) | ||
| Craig W White | Registered representative | Dec 2024 (2y) | ||
| Abraham Fitzsimmons | Registered representative | Jan 2025 (2y) | ||
| Alexander Jordan Apodaca | Registered representative | Jan 2025 (2y) | ||
| Allison Nicole Mendoza | Registered representative | Jan 2025 (2y) | ||
| Annette Kay Handevidt | Registered representative | Jan 2025 (2y) | ||
| Aaron Michael Horner | Registered representative | Jan 2025 (2y) | ||
| Abraham Philip Trabulsy | Registered representative | Jan 2025 (2y) | ||
| Alice Michelle Naef | Registered representative | Jan 2025 (2y) | ||
| Barry Lynn Streeter | Registered representative | Jan 2025 (2y) | ||
| Blake Dean Baxter | Registered representative | Jan 2025 (2y) | ||
| Bryan Abella Tayona | Registered representative | Jan 2025 (2y) | ||
| Carmello Antonio Buscemi | Registered representative | Jan 2025 (2y) | ||
| Cecilia Beach Brown | Registered representative | CFP | Jan 2025 (2y) | |
| Christine Abigail Expression Nolan | Registered representative | Jan 2025 (2y) | ||
| Clinton Paul Dosio | Registered representative | CFP | Jan 2025 (2y) | |
| Curtis Frank Dabros | Registered representative | Jan 2025 (2y) | ||
| Crystal Anne Brent | Registered representative | CFP | Jan 2025 (2y) | |
| Dana Bull Hurley | Registered representative | CFP | Jan 2025 (2y) | |
| Daniel Lee Sheppard | Registered representative | Jan 2025 (2y) | ||
| David Leonard Zaccagnino | Registered representative | Jan 2025 (2y) | ||
| David Munho Choi | Registered representative | Jan 2025 (2y) | ||
| Dean C. Woehrman | Registered representative | Jan 2025 (2y) | ||
| Dena Reiko Izumigawa | Registered representative | CFP | Jan 2025 (2y) | |
| Desiree M Ting | Registered representative | Jan 2025 (2y) | ||
| Daniel Alan Sellers | Registered representative | Jan 2025 (2y) | ||
| Daveon Thomas | Registered representative | Jan 2025 (2y) | ||
| Di Dong | Registered representative | Jan 2025 (2y) | ||
| Don Hosea Williams | Registered representative | Jan 2025 (2y) | ||
| Edward Benjamin Harris | Registered representative | Jan 2025 (2y) | ||
| Erik Dale Malzahn | Registered representative | Jan 2025 (2y) | ||
| George Theodore Temel | Registered representative | CFP | Jan 2025 (2y) | |
| Gerald Christopher Tambe | Registered representative | Jan 2025 (2y) | ||
| Gregory Edward Smyth | Registered representative | Jan 2025 (2y) | ||
| Heather Jean Elizabeth Broderick | Registered representative | Jan 2025 (2y) | ||
| Ilija Potkonjak | Registered representative | Jan 2025 (2y) | ||
| Ismael Martinez Navarro | Registered representative | Jan 2025 (2y) | ||
| Jacob Preston | Registered representative | Jan 2025 (2y) | ||
| Jacob T Rechenbach | Registered representative | Jan 2025 (2y) | ||
| James Clifford Edelmann | Registered representative | CFA | Jan 2025 (2y) | |
| James Laverne Stone | Registered representative | CFP | Jan 2025 (2y) | |
| Jason Scott Duvall | Registered representative | Jan 2025 (2y) | ||
| Jeffrey White | Registered representative | Jan 2025 (2y) | ||
| Jeni S La Paglia | Registered representative | Jan 2025 (2y) | ||
| Jenne D Sevilla | Registered representative | CFP | Jan 2025 (2y) | |
| Jeremy John Simplot | Registered representative | Jan 2025 (2y) | ||
| Jeremy Ryan Schuyler | Registered representative | Jan 2025 (2y) | ||
| Jill G Wiest | Registered representative | Jan 2025 (2y) | ||
| John Michael Valenzuela | Registered representative | Jan 2025 (2y) | ||
| John Taylor Worden | Registered representative | Jan 2025 (2y) | ||
| John Thomas Baxa | Registered representative | CFP | Jan 2025 (2y) | |
| Johnny Lynn Taylor | Registered representative | Jan 2025 (2y) | ||
| Joshua Goyette | Registered representative | Jan 2025 (2y) | ||
| Justin Rowe Byrd | Registered representative | Jan 2025 (2y) | ||
| James Hass | Registered representative | Jan 2025 (2y) | ||
| Jared Allen Tjaden | Registered representative | Jan 2025 (2y) | ||
| John Michael Milligan | Registered representative | Jan 2025 (2y) | ||
| Julio Olague | Registered representative | Jan 2025 (2y) | ||
| Keene Thomas Winters | Registered representative | Jan 2025 (2y) | ||
| Kevin Michael Kitchin | Registered representative | CFP | Jan 2025 (2y) | |
| Kristen Jane Shrimplin | Registered representative | Jan 2025 (2y) | ||
| Kristen Marie Wilson | Registered representative | Jan 2025 (2y) | ||
| Kathi Melissa Otero | Registered representative | Jan 2025 (2y) | ||
| Katie Nicole Raasch | Registered representative | Jan 2025 (2y) | ||
| Kenneth Gene Baize | Registered representative | Jan 2025 (2y) | ||
| Kevin Chew | Registered representative | Jan 2025 (2y) | ||
| Kylie E Richards | Registered representative | CFP | Jan 2025 (2y) | |
| Lauren Connor Sagan | Registered representative | Jan 2025 (2y) | ||
| Marc Leonard Breuer | Registered representative | Jan 2025 (2y) | ||
| Marilyn Larkins Morrissey | Registered representative | CFP | Jan 2025 (2y) | |
| Martha Gregory Weaver | Registered representative | Jan 2025 (2y) | ||
| Madison Alysse Scarpelli | Registered representative | Jan 2025 (2y) | ||
| Mary Heitzman | Registered representative | CFP | Jan 2025 (2y) | |
| Maximillian Dries Philipp | Registered representative | Jan 2025 (2y) | ||
| Michael Richard Lenahan | Registered representative | Jan 2025 (2y) | ||
| Minh Lan Thi Nguyen | Registered representative | Jan 2025 (2y) | ||
| Nathaniel Jackson Bence | Registered representative | Jan 2025 (2y) | ||
| Nelson Thomas Turner | Registered representative | Jan 2025 (2y) | ||
| Norbert Yuchiu Chen | Registered representative | Jan 2025 (2y) | ||
| Odin Carl Helgerson | Registered representative | Jan 2025 (2y) | ||
| Pastor Fuster | Registered representative | CFP | Jan 2025 (2y) | |
| Paul Stanley Meyers | Registered representative | Jan 2025 (2y) | ||
| Peggy Ann Thorlton | Registered representative | Jan 2025 (2y) | ||
| Peter M Jawidzik | Registered representative | Jan 2025 (2y) | ||
| Phillip Michael Thomas Kirk | Registered representative | Jan 2025 (2y) | ||
| Randy Scott Miller | Registered representative | Jan 2025 (2y) | ||
| Raymond Todd Taylor | Registered representative | Jan 2025 (2y) | ||
| Richard Stearns Harvey | Registered representative | Jan 2025 (2y) | ||
| Robert Brian Anderson | Registered representative | CFP | Jan 2025 (2y) | |
| Robert David Shackelford | Registered representative | Jan 2025 (2y) | ||
| Robert Leslie Skaar | Registered representative | Jan 2025 (2y) | ||
| Ronald David Coleman | Registered representative | Jan 2025 (2y) | ||
| Ronald Joseph Greene | Registered representative | Jan 2025 (2y) | ||
| Ronald Joseph Scanlan | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Rosemarie Pearce Borson | Registered representative | Jan 2025 (2y) | ||
| Ryan Andrew Arnold | Registered representative | Jan 2025 (2y) | ||
| Ryan Jon Harrison | Registered representative | Jan 2025 (2y) | ||
| Scott Edward Bishop | Registered representative | Jan 2025 (2y) | ||
| Scott William Cody | Registered representative | Jan 2025 (2y) | ||
| Shantika Holliday Brockington | Registered representative | Jan 2025 (2y) | ||
| Steve Christopher Charonis | Registered representative | Jan 2025 (2y) | ||
| Steven Presten Offill | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Steven Thomas Laesser | Registered representative | Jan 2025 (2y) | ||
| Suzanne Lee Bordeaux | Registered representative | Jan 2025 (2y) | ||
| Samuel Ramos | Registered representative | CFP | Jan 2025 (2y) | |
| Scott Andrew Robidoux | Registered representative | Jan 2025 (2y) | ||
| Shaun M Weber | Registered representative | Jan 2025 (2y) | ||
| Simeon Fernando Hills | Registered representative | Jan 2025 (2y) | ||
| Thomas Louis Lodico | Registered representative | Jan 2025 (2y) | ||
| Thomas Patrick Mountain | Registered representative | Jan 2025 (2y) | ||
| Timothy A Monty | Registered representative | Jan 2025 (2y) | ||
| Timothy Nolan Bearden | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Timothy Page Chesser | Registered representative | CFP | Jan 2025 (2y) | |
| Timothy Shiu Fong Yong | Registered representative | Jan 2025 (2y) | ||
| Wenjun Yang | Registered representative | Jan 2025 (2y) | ||
| Wesley Ryan Merk | Registered representative | Jan 2025 (2y) | ||
| William Preston Barnes | Registered representative | Jan 2025 (2y) | ||
| Alicia Suzanne Schonberger | Registered representative | CFP | Jan 2025 (2y) | |
| Anthony Cassious Nelson | Registered representative | Jan 2025 (2y) | ||
| Ahmar Khan | Registered representative | Jan 2025 (2y) | ||
| Alexis M Lucas | Registered representative | Jan 2025 (2y) | ||
| Amanda Gayle Richmond | Registered representative | Jan 2025 (2y) | ||
| Brian E Haughney | Registered representative | Jan 2025 (2y) | ||
| Clare Mertz | Registered representative | Jan 2025 (2y) | ||
| Darlene Kay Shaw | Registered representative | Jan 2025 (2y) | ||
| Emily Rose Mcdonald | Registered representative | Jan 2025 (2y) | ||
| Endika Iturburu | Registered representative | Jan 2025 (2y) | ||
| Felicia Jacobs | Registered representative | Jan 2025 (2y) | ||
| Ginna Leigh Anne Bradshaw | Registered representative | Jan 2025 (2y) | ||
| Jeffrey D Hejza | Registered representative | CFP | Jan 2025 (2y) | |
| Joseph Avery | Registered representative | Jan 2025 (2y) | ||
| Kaelene Kauionalani Wong | Registered representative | Jan 2025 (2y) | ||
| Kaitlyn Elizabeth Ott | Registered representative | CFP | Jan 2025 (2y) | |
| Kevin David Callagy | Registered representative | Jan 2025 (2y) | ||
| Lyle Ben Schonberger | Registered representative | Jan 2025 (2y) | ||
| Maika Erickson Parker | Registered representative | Jan 2025 (2y) | ||
| Mark Edward Ramey | Registered representative | Jan 2025 (2y) | ||
| Martin Krist | Registered representative | Jan 2025 (2y) | ||
| Matthew Wyant Garcia | Registered representative | CFP | Jan 2025 (2y) | |
| Paul William Horrocks | Registered representative | Jan 2025 (2y) | ||
| Sean Michael Okeefe | Registered representative | CFP | Jan 2025 (2y) | |
| Stephen Michael Angelis | Registered representative | Jan 2025 (2y) | ||
| Yadira G Bravo | Registered representative | Jan 2025 (2y) | ||
| Alex Doran Lewellyn | Registered representative | Jan 2025 (2y) | ||
| Andrew Tobias Lee | Registered representative | CFP | Jan 2025 (2y) | |
| Bart Anthony Lewellyn | Registered representative | Jan 2025 (2y) | ||
| Brian Edward Ingebretsen | Registered representative | Jan 2025 (2y) | ||
| Daniela Cristina Ricaldone | Registered representative | Jan 2025 (2y) | ||
| Ian Mc Brine Smith | Registered representative | Jan 2025 (2y) | ||
| James Frederick Stovall | Registered representative | Jan 2025 (2y) | ||
| Jason Howard Fuchs | Registered representative | Jan 2025 (2y) | ||
| Lydia L Ruppenthal | Registered representative | Jan 2025 (2y) | ||
| Michael C Deperto | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Paul P Martin | Registered representative | Jan 2025 (2y) | ||
| Thomas Leonard Judge | Registered representative | Jan 2025 (2y) | ||
| Aaron W Hollister | Registered representative | Jan 2025 (2y) | ||
| Collin Jon Reinert | Registered representative | Jan 2025 (2y) | ||
| David M Hart | Registered representative | CFP | Jan 2025 (2y) | |
| Donovan Adams | Registered representative | CFP | Jan 2025 (2y) | |
| Heather Story | Registered representative | CFP | Jan 2025 (2y) | |
| Jaymee Rae Ellis | Registered representative | Jan 2025 (2y) | ||
| Joseph Anthony Turfa | Registered representative | Jan 2025 (2y) | ||
| Keith David Noyes | Registered representative | Jan 2025 (2y) | ||
| Khoury Allan Kloss | Registered representative | Jan 2025 (2y) | ||
| Kraig Kenneth Burlingame | Registered representative | Jan 2025 (2y) | ||
| Lawrence John Forlenza | Registered representative | Jan 2025 (2y) | ||
| Peter Meeks | Registered representative | Jan 2025 (2y) | ||
| Thomas William Small | Registered representative | CFP | Jan 2025 (2y) | |
| Hunter Bostwick | Registered representative | Jan 2025 (2y) | ||
| Hans Robert Charles Becker | Registered representative | Jan 2025 (2y) | ||
| Jacob Saul Torres | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Jason W Plemons | Registered representative | Jan 2025 (2y) | ||
| Jeff S. Calhoun | Registered representative | Jan 2025 (2y) | ||
| Karl Brunner Williams | Registered representative | Jan 2025 (2y) | ||
| Todd Klass | Registered representative | Jan 2025 (2y) | ||
| Tyson William Allred | Registered representative | Jan 2025 (2y) | ||
| Andrew Warren Hemingway | Registered representative | Jan 2025 (2y) | ||
| Carl Dennis Hanks | Registered representative | Jan 2025 (2y) | ||
| David Scott Garfin | Registered representative | Jan 2025 (2y) | ||
| Jason Michael Snow | Registered representative | Jan 2025 (2y) | ||
| John K Andersen | Registered representative | Jan 2025 (2y) | ||
| Kevin P Pachucki | Registered representative | Jan 2025 (2y) | ||
| Lance Alan Tyner | Registered representative | Jan 2025 (2y) | ||
| Lorraine Frances Harrod | Registered representative | Jan 2025 (2y) | ||
| Marcus Slowikowski Alexander | Registered representative | Jan 2025 (2y) | ||
| Michael Jerome Settle | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Tyler William Bowman | Registered representative | Jan 2025 (2y) | ||
| Brian Joseph Joggerst | Registered representative | Jan 2025 (2y) | ||
| Daniel Ronis | Registered representative | CFP | Jan 2025 (2y) | |
| Daniel John Wilson | Registered representative | Jan 2025 (2y) | ||
| Derwin Bernard Du Mont | Registered representative | Jan 2025 (2y) | ||
| John Joseph Kennedy | Registered representative | Jan 2025 (2y) | ||
| John Paul Kanak | Registered representative | Jan 2025 (2y) | ||
| Joseph Allen Summers | Registered representative | Jan 2025 (2y) | ||
| John Taylor Shouse | Registered representative | Jan 2025 (2y) | ||
| Kristen Leigh Mcconville | Registered representative | Jan 2025 (2y) | ||
| Nicholas Orion Hanna | Registered representative | Jan 2025 (2y) | ||
| Ryon Kevin Frisch | Registered representative | Jan 2025 (2y) | ||
| Stacy Lynn Coldwell | Registered representative | Jan 2025 (2y) | ||
| William Richard Ellis | Registered representative | CFP | Jan 2025 (2y) | |
| Andrea Grosso Holdcroft | Registered representative | Jan 2025 (2y) | ||
| Bony Hampton Peace | Registered representative | Jan 2025 (2y) | ||
| Carolyn Marie Bradshaw | Registered representative | Jan 2025 (2y) | ||
| Heather Morgan Anderson | Registered representative | Jan 2025 (2y) | ||
| Rodney Alfred Horelka | Registered representative | Jan 2025 (2y) | ||
| Anna Marie Kottke | Registered representative | CFP | Jan 2025 (2y) | |
| Brian John Mcgill | Registered representative | CFP | Jan 2025 (2y) | |
| Danilo Ercole | Registered representative | Jan 2025 (2y) | ||
| Homer Milton Minshew | Registered representative | Jan 2025 (2y) | ||
| Jason Lewis | Registered representative | CFP | Jan 2025 (2y) | |
| Maria Esther Uribe | Registered representative | CFP | Jan 2025 (2y) | |
| Mark Edward Muir | Registered representative | CFP | Jan 2025 (2y) | |
| Matthew Patrick Luckham | Registered representative | CFP | Jan 2025 (2y) | |
| Michael Richard Hyser | Registered representative | CFP | Jan 2025 (2y) | |
| Randy Scott Schneider | Registered representative | Jan 2025 (2y) | ||
| Tracie L Hill | Registered representative | Jan 2025 (2y) | ||
| Travis Gaule | Registered representative | Jan 2025 (2y) | ||
| An Nguyen Wetter | Registered representative | Jan 2025 (2y) | ||
| Brad Allen Knight | Registered representative | CFP | Jan 2025 (2y) | |
| Brady Owen Bennett | Registered representative | Jan 2025 (2y) | ||
| Deonna K Osborn | Registered representative | Jan 2025 (2y) | ||
| Jorge Israel Blanco | Registered representative | CFP | Jan 2025 (2y) | |
| Joseph Michael Stenovec | Registered representative | CFP | Jan 2025 (2y) | |
| Joseph Nicholas Mazzucco | Registered representative | Jan 2025 (2y) | ||
| Justin D Mager | Registered representative | Jan 2025 (2y) | ||
| Kevin Scott Monaco | Registered representative | Jan 2025 (2y) | ||
| Kevin Ramirez | Registered representative | Jan 2025 (2y) | ||
| Landon Chase Young | Registered representative | Jan 2025 (2y) | ||
| Leor Solomon | Registered representative | CFP | Jan 2025 (2y) | |
| Michael H Gibbons | Registered representative | Jan 2025 (2y) | ||
| Nicholas Ryan Jansson | Registered representative | Jan 2025 (2y) | ||
| Ronald Eugene Scott | Registered representative | Jan 2025 (2y) | ||
| Ryan Justin Mckell | Registered representative | CFP | Jan 2025 (2y) | |
| Sherry Jo Mcglenon | Registered representative | Jan 2025 (2y) | ||
| Tracy Alan Curtis | Registered representative | Jan 2025 (2y) | ||
| Edward George Harris | Registered representative | Jan 2025 (2y) | ||
| Hunter Scott Auchtung | Registered representative | Jan 2025 (2y) | ||
| James A. Schaller | Registered representative | Jan 2025 (2y) | ||
| Jeffery Sam Decant | Registered representative | Jan 2025 (2y) | ||
| Michael Orion Landgrebe | Registered representative | Jan 2025 (2y) | ||
| Matthew Alan Keen | Registered representative | Jan 2025 (2y) | ||
| Scott Steven Carter | Registered representative | Jan 2025 (2y) | ||
| William Cody Reed | Registered representative | Jan 2025 (2y) | ||
| Ashley Blair Parks | Registered representative | Jan 2025 (2y) | ||
| Brandon M Williams | Registered representative | Jan 2025 (2y) | ||
| David Vigil | Registered representative | CFP | Jan 2025 (2y) | |
| Jeffrey Graham Newell | Registered representative | Jan 2025 (2y) | ||
| Jeremy Doyle | Registered representative | Jan 2025 (2y) | ||
| Kimberly Prentiss | Registered representative | Jan 2025 (2y) | ||
| Kevin Voelling | Registered representative | Jan 2025 (2y) | ||
| Laure Renee Meyer | Registered representative | Jan 2025 (2y) | ||
| Michael David Miller | Registered representative | Jan 2025 (2y) | ||
| Raymee Rae Johnson | Registered representative | Jan 2025 (2y) | ||
| Steven Ray Studebaker | Registered representative | Jan 2025 (2y) | ||
| Thomas Richard Pasta | Registered representative | CFP | Jan 2025 (2y) | |
| Colin Andrew Meeks | Registered representative | CFP | Jan 2025 (2y) | |
| James Carroll Richardson | Registered representative | Jan 2025 (2y) | ||
| Jennifer N Broemeling | Registered representative | CFP | Jan 2025 (2y) | |
| Kevin A Luss | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Louis Michael Saltarelli | Registered representative | Jan 2025 (2y) | ||
| Michael David Benjaminson | Registered representative | Jan 2025 (2y) | ||
| Nathan Dwayne Roberts | Registered representative | Jan 2025 (2y) | ||
| Teresa Lee Hettinger | Registered representative | Jan 2025 (2y) | ||
| Teale Nicole Trammell | Registered representative | Jan 2025 (2y) | ||
| Frank Mario Amelio | Registered representative | Jan 2025 (2y) | ||
| David Botwinick | Registered representative | Jan 2025 (2y) | ||
| Linda Ann Read | Registered representative | CFP | Jan 2025 (2y) | |
| Cheryl Denise Brown | Registered representative | Jan 2025 (2y) | ||
| Christopher Robert Ketchen | Registered representative | Jan 2025 (2y) | ||
| Daniel B Irving | Registered representative | Jan 2025 (2y) | ||
| David Alderson | Registered representative | Jan 2025 (2y) | ||
| Jamie Krigbaum | Registered representative | Jan 2025 (2y) | ||
| Joseph Nicholas Clevenger | Registered representative | Jan 2025 (2y) | ||
| Kenneth Vincent Pugno | Registered representative | Jan 2025 (2y) | ||
| Mitchell Clint Niderstros | Registered representative | CFP | Jan 2025 (2y) | |
| Patrick Michael O'connell | Registered representative | Jan 2025 (2y) | ||
| Robert Eugene Moranville | Registered representative | CFP | Jan 2025 (2y) | |
| Ryan John Vorhies | Registered representative | Jan 2025 (2y) | ||
| Sam J Lacaria | Registered representative | Jan 2025 (2y) | ||
| Tanner Joel Barrett | Registered representative | Jan 2025 (2y) | ||
| Veronica C Vorhies | Registered representative | Jan 2025 (2y) | ||
| Vinita Marie Meizler | Registered representative | Jan 2025 (2y) | ||
| Xavier M Tufty | Registered representative | Jan 2025 (2y) | ||
| Adam Craig Goodman | Registered representative | CFP | Jan 2025 (2y) | |
| Austin Tyler Couey | Registered representative | Jan 2025 (2y) | ||
| Christopher S Van Pelt | Registered representative | Jan 2025 (2y) | ||
| Erin Elizabeth Calixte | Registered representative | Jan 2025 (2y) | ||
| Lorand Norbert Parenteau | Registered representative | CFP | Jan 2025 (2y) | |
| Marney Skinner | Registered representative | Jan 2025 (2y) | ||
| Mikael Moran | Registered representative | Jan 2025 (2y) | ||
| Samer Jarrar | Registered representative | Jan 2025 (2y) | ||
| Shanessa M Freshour | Registered representative | Jan 2025 (2y) | ||
| Adam Michael Liebman | Registered representative | Jan 2025 (2y) | ||
| Anastacio Gamino | Registered representative | CFP | Jan 2025 (2y) | |
| Andrew Scott Timson | Registered representative | Jan 2025 (2y) | ||
| Anna Marie Higgins | Registered representative | Jan 2025 (2y) | ||
| Anthony A Gacs | Registered representative | Jan 2025 (2y) | ||
| Anthony John Mescher | Registered representative | Jan 2025 (2y) | ||
| Anthony Stephen Jovanovich | Registered representative | Jan 2025 (2y) | ||
| Adolfo A Herrera | Registered representative | Jan 2025 (2y) | ||
| Adria Lee Schmidtke | Registered representative | Jan 2025 (2y) | ||
| Alexander J. Tabb | Registered representative | Jan 2025 (2y) | ||
| Alexandra Ann Ebert | Registered representative | Jan 2025 (2y) | ||
| Barry Martin Proctor | Registered representative | Jan 2025 (2y) | ||
| Bethann Stroud Goodrick | Registered representative | Jan 2025 (2y) | ||
| Bonnie Joann Flood | Registered representative | Jan 2025 (2y) | ||
| Bradford Mcmurray Walker | Registered representative | CFP | Jan 2025 (2y) | |
| Brenda Ann Hafeman | Registered representative | Jan 2025 (2y) | ||
| Brian Scott Siegel | Registered representative | Jan 2025 (2y) | ||
| Carol Ann Sutterfield | Registered representative | Jan 2025 (2y) | ||
| Cataldo Panici | Registered representative | Jan 2025 (2y) | ||
| Cesar G Sison | Registered representative | Jan 2025 (2y) | ||
| Chad Michael Vandenbusch | Registered representative | Jan 2025 (2y) | ||
| Chase Kent Smith | Registered representative | Jan 2025 (2y) | ||
| Christopher M Scuderi | Registered representative | Jan 2025 (2y) | ||
| Creighton Michael Dracca | Registered representative | Jan 2025 (2y) | ||
| Daniel Michael Volk | Registered representative | Jan 2025 (2y) | ||
| Danny Thomas Reeves | Registered representative | Jan 2025 (2y) | ||
| David Andrew Farrell | Registered representative | CFP | Jan 2025 (2y) | |
| David Andrew Gaffney | Registered representative | Jan 2025 (2y) | ||
| David Fletcher Johnson | Registered representative | CFP | Jan 2025 (2y) | |
| David M Bruskin | Registered representative | Jan 2025 (2y) | ||
| Donald Ellis Clark | Registered representative | Jan 2025 (2y) | ||
| Donald Gregg Duvall | Registered representative | Jan 2025 (2y) | ||
| Dominick Jeffrey Allen | Registered representative | CFP | Jan 2025 (2y) | |
| Ethan James Albers | Registered representative | Jan 2025 (2y) | ||
| Eulalia M. Turkowski | Registered representative | Jan 2025 (2y) | ||
| Evaughn Rose Branham Ferrero | Registered representative | Jan 2025 (2y) | ||
| Frederick Oh | Registered representative | Jan 2025 (2y) | ||
| Gary Peter Salva | Registered representative | Jan 2025 (2y) | ||
| Gary William Paul | Registered representative | Jan 2025 (2y) | ||
| George Anthanatios Rizos | Registered representative | Jan 2025 (2y) | ||
| George James Delgiudice | Registered representative | Jan 2025 (2y) | ||
| Gregory Brock | Registered representative | Jan 2025 (2y) | ||
| Jason Patrick Capone | Registered representative | CFP | Jan 2025 (2y) | |
| Jeannie Mussa | Registered representative | Jan 2025 (2y) | ||
| Jeffrey Gene Sweno | Registered representative | Jan 2025 (2y) | ||
| Jeffry Peter Kraus | Registered representative | Jan 2025 (2y) | ||
| Jennifer Michelle Marlowe | Registered representative | Jan 2025 (2y) | ||
| Jesse Robert Stabile | Registered representative | CFP | Jan 2025 (2y) | |
| John F Ward | Registered representative | Jan 2025 (2y) | ||
| John Fredrick Krueger | Registered representative | CFP | Jan 2025 (2y) | |
| John Steven Matthews | Registered representative | Jan 2025 (2y) | ||
| John Timothy Notaro | Registered representative | Jan 2025 (2y) | ||
| Jonathan A Beaver | Registered representative | CFP | Jan 2025 (2y) | |
| Jonathan William Dawson | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Jordan Lee Goodrick | Registered representative | Jan 2025 (2y) | ||
| Joseph Anthony Vitale | Registered representative | Jan 2025 (2y) | ||
| Jude Uche Nwaiwu | Registered representative | Jan 2025 (2y) | ||
| Jacob Matthew Stobart | Registered representative | CFP | Jan 2025 (2y) | |
| Jonathan M Czopek | Registered representative | Jan 2025 (2y) | ||
| Joseph A Pallet | Registered representative | CFP | Jan 2025 (2y) | |
| Joseph Dillon Murphy | Registered representative | Jan 2025 (2y) | ||
| Joseph John Griffin | Registered representative | Jan 2025 (2y) | ||
| Karen Ann Wobken | Registered representative | Jan 2025 (2y) | ||
| Kathleen Anne De Pasion | Registered representative | Jan 2025 (2y) | ||
| Kelly Daniel Dransfeldt | Registered representative | Jan 2025 (2y) | ||
| Kristin Mc Laurin | Registered representative | Jan 2025 (2y) | ||
| Kurt Ro | Registered representative | Jan 2025 (2y) | ||
| Lauren Elizabeth Burge | Registered representative | Jan 2025 (2y) | ||
| Linda Clair Becker | Registered representative | Jan 2025 (2y) | ||
| Lisa Ann Mccarthy | Registered representative | Jan 2025 (2y) | ||
| Maria A Giannini | Registered representative | Jan 2025 (2y) | ||
| Maria Pham | Registered representative | Jan 2025 (2y) | ||
| Mark Andrew Bianchi | Registered representative | Jan 2025 (2y) | ||
| Matthew Liam Moran | Registered representative | CFP | Jan 2025 (2y) | |
| Maureen Emily Valentine | Registered representative | Jan 2025 (2y) | ||
| Mauricio Currea | Registered representative | Jan 2025 (2y) | ||
| Michael John Megall | Registered representative | Jan 2025 (2y) | ||
| Michael Peter Sloan | Registered representative | Jan 2025 (2y) | ||
| Michelle Kay Biondo | Registered representative | Jan 2025 (2y) | ||
| Myra A Perez | Registered representative | Jan 2025 (2y) | ||
| Michael James Harrison | Registered representative | Jan 2025 (2y) | ||
| Mollie Meaghan Jeschke | Registered representative | Jan 2025 (2y) | ||
| Neil John Moscicki | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Nick Panos Stavropoulos | Registered representative | Jan 2025 (2y) | ||
| Nicholas Vaughn Keyes | Registered representative | Jan 2025 (2y) | ||
| Patricia Lynn Simms | Registered representative | Jan 2025 (2y) | ||
| Patrick Gibbs | Registered representative | Jan 2025 (2y) | ||
| Paul Anthony Schur | Registered representative | Jan 2025 (2y) | ||
| Peter Michael Bentler | Registered representative | CFP | Jan 2025 (2y) | |
| Philip Kevin Bandle | Registered representative | Jan 2025 (2y) | ||
| Pragna Gadhvi Rohman | Registered representative | Jan 2025 (2y) | ||
| Patrick I Chambers | Registered representative | Jan 2025 (2y) | ||
| Richard Harvey Hiatt | Registered representative | Jan 2025 (2y) | ||
| Robert Allen Paneral | Registered representative | Jan 2025 (2y) | ||
| Robert John Stewart | Registered representative | Jan 2025 (2y) | ||
| Robert Peter Sanfilippo | Registered representative | Jan 2025 (2y) | ||
| Sean H Claiborne | Registered representative | Jan 2025 (2y) | ||
| Steven J Schwer | Registered representative | CFP | Jan 2025 (2y) | |
| Steven Mark Diamond | Registered representative | Jan 2025 (2y) | ||
| Steven Roth Becker | Registered representative | Jan 2025 (2y) | ||
| Sylwia Szerszen | Registered representative | Jan 2025 (2y) | ||
| Spencer Jerome Decker | Registered representative | Jan 2025 (2y) | ||
| Spencer Thomas Beckmann | Registered representative | Jan 2025 (2y) | ||
| Stephen Joseph Otto Torre | Registered representative | Jan 2025 (2y) | ||
| Terrance Gregory Hughes | Registered representative | Jan 2025 (2y) | ||
| Thomas A Knott | Registered representative | Jan 2025 (2y) | ||
| Timothy Bruce Gauen | Registered representative | Jan 2025 (2y) | ||
| Timothy John Notaro | Registered representative | Jan 2025 (2y) | ||
| Timothy P Treacy | Registered representative | CFP | Jan 2025 (2y) | |
| Todd Ryan Marmor | Registered representative | Jan 2025 (2y) | ||
| Tracy L Schultz | Registered representative | Jan 2025 (2y) | ||
| Tracy N Miller | Registered representative | Jan 2025 (2y) | ||
| Timothy J. Drechsel | Registered representative | Jan 2025 (2y) | ||
| Vincent Michael Fike | Registered representative | Jan 2025 (2y) | ||
| Westley Werner Iller | Registered representative | Jan 2025 (2y) | ||
| William Frank Matzinger | Registered representative | CFP | Jan 2025 (2y) | |
| William Joseph Connington | Registered representative | Jan 2025 (2y) | ||
| William Peter Kraus | Registered representative | Jan 2025 (2y) | ||
| Andrew Calvin Bergner | Registered representative | Jan 2025 (2y) | ||
| James Edward Corbett | Registered representative | Jan 2025 (2y) | ||
| Nazinina Frankie Azwoir | Registered representative | Jan 2025 (2y) | ||
| Robert Sean Howard | Registered representative | Jan 2025 (2y) | ||
| Stephen Joseph Scott | Registered representative | Jan 2025 (2y) | ||
| William Howard Humphrey | Registered representative | Jan 2025 (2y) | ||
| Kainoa Broad | Registered representative | Jan 2025 (2y) | ||
| Richard Vernon Pinto | Registered representative | Jan 2025 (2y) | ||
| Joseph Michael Tiderencel | Registered representative | Jan 2025 (2y) | ||
| Scott O Witherspoon | Registered representative | Jan 2025 (2y) | ||
| Alec Bannatyne Hoag | Registered representative | CFP | Jan 2025 (2y) | |
| Alisha Priddy | Registered representative | Jan 2025 (2y) | ||
| David Morris | Registered representative | Jan 2025 (2y) | ||
| Heath John Haggerty | Registered representative | Jan 2025 (2y) | ||
| James Patrick Teeple | Registered representative | Jan 2025 (2y) | ||
| Jared Bryce Roskelley | Registered representative | CFP | Jan 2025 (2y) | |
| John Alan Bullock | Registered representative | CFP | Jan 2025 (2y) | |
| John Paul Schlatter | Registered representative | CFP | Jan 2025 (2y) | |
| Jacqueline Sanchez Mora | Registered representative | Jan 2025 (2y) | ||
| Kyle Lee Robertson | Registered representative | CFP | Jan 2025 (2y) | |
| Laura Sporcic | Registered representative | Jan 2025 (2y) | ||
| Louis Earl Wray | Registered representative | Jan 2025 (2y) | ||
| Michael Douglas Madden | Registered representative | CFA | Jan 2025 (2y) | |
| Morgan Hyland | Registered representative | CFP | Jan 2025 (2y) | |
| Robert Joseph Rojano | Registered representative | Jan 2025 (2y) | ||
| Robert Adolph Miera | Registered representative | Jan 2025 (2y) | ||
| Thomas Eric Morris | Registered representative | Jan 2025 (2y) | ||
| Brittany N Waterson | Registered representative | Jan 2025 (2y) | ||
| Heather Lee Willborn | Registered representative | CFP | Jan 2025 (2y) | |
| Leslie C Gosule | Registered representative | Jan 2025 (2y) | ||
| Molly Renee Apparis | Registered representative | Jan 2025 (2y) | ||
| Scott Kristin Bacon | Registered representative | Jan 2025 (2y) | ||
| Travis James Bacon | Registered representative | Jan 2025 (2y) | ||
| Alfonso Roberto Tangherlini | Registered representative | Jan 2025 (2y) | ||
| Benjamin Hall Richey | Registered representative | Jan 2025 (2y) | ||
| Brad Molineux | Registered representative | Jan 2025 (2y) | ||
| Deborah Mc Nulty | Registered representative | Jan 2025 (2y) | ||
| Emily Elizabeth Kampeter | Registered representative | Jan 2025 (2y) | ||
| Jonathan Anongos Lucas | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Jeron Tetteh | Registered representative | Jan 2025 (2y) | ||
| Lucas Ferster | Registered representative | Jan 2025 (2y) | ||
| Melissa Toler Short | Registered representative | Jan 2025 (2y) | ||
| Steven Schulte | Registered representative | CFP | Jan 2025 (2y) | |
| Shareef I Jarbawi | Registered representative | Jan 2025 (2y) | ||
| Graham Daniel Burke | Registered representative | Jan 2025 (2y) | ||
| Sherri Ann Eadie | Registered representative | Jan 2025 (2y) | ||
| Bryce Jerred Gartman | Registered representative | Jan 2025 (2y) | ||
| Campbell Crawford Judge | Registered representative | Jan 2025 (2y) | ||
| Daniel Carroll | Registered representative | Jan 2025 (2y) | ||
| David Wayne Price | Registered representative | Jan 2025 (2y) | ||
| Jeffrey L Wakefield | Registered representative | Jan 2025 (2y) | ||
| Jason Lee Lillmars | Registered representative | CFP Personal Financial Specialist | Jan 2025 (2y) | |
| Joshua Nuffer | Registered representative | Jan 2025 (2y) | ||
| Lance Adam Tacquard | Registered representative | Jan 2025 (2y) | ||
| Michael William Hordy | Registered representative | Jan 2025 (2y) | ||
| Olga Michelle Strasser | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Rodney Keith Dooley | Registered representative | Personal Financial Specialist | Jan 2025 (2y) | |
| Susan Bernice Coy Kamph | Registered representative | Jan 2025 (2y) | ||
| Brendan Michael Begley | Registered representative | Feb 2025 (1y) | ||
| Barry John Testa | Registered representative | Feb 2025 (1y) | ||
| Casey Brent Walker | Registered representative | Feb 2025 (1y) | ||
| Christopher Brian Vassilo | Registered representative | Feb 2025 (1y) | ||
| Charles Paul Wray | Registered representative | Feb 2025 (1y) | ||
| Emily Raupach | Registered representative | Feb 2025 (1y) | ||
| George Patton Yost | Registered representative | Feb 2025 (1y) | ||
| Grant Sterling Garwood | Registered representative | CFP Chartered Financial Consultant | Feb 2025 (1y) | |
| James Michael Mcbride | Registered representative | Feb 2025 (1y) | ||
| James V Anza | Registered representative | Feb 2025 (1y) | ||
| James William Oconnor | Registered representative | Feb 2025 (1y) | ||
| Jason Aaron Simard | Registered representative | CFP | Feb 2025 (1y) | |
| Jason Robert Yuhas | Registered representative | Feb 2025 (1y) | ||
| John Patrick Ochsner | Registered representative | Feb 2025 (1y) | ||
| Joseph Phillip Waltermann | Registered representative | Feb 2025 (1y) | ||
| Jason Barba | Registered representative | Feb 2025 (1y) | ||
| Lori Lynn Wray | Registered representative | Feb 2025 (1y) | ||
| Lesley Grace Norton | Registered representative | Feb 2025 (1y) | ||
| Mark Ronald Dittman | Registered representative | Feb 2025 (1y) | ||
| Madison Grace Anderson | Registered representative | CFP | Feb 2025 (1y) | |
| Matthew Joseph Tinyo | Registered representative | CFP | Feb 2025 (1y) | |
| Patrick Miller Danly | Registered representative | Feb 2025 (1y) | ||
| Scott Eugene Saffer | Registered representative | Feb 2025 (1y) | ||
| Shane Jay Prill | Registered representative | CFP | Feb 2025 (1y) | |
| Steven Joseph Weingartz | Registered representative | Feb 2025 (1y) | ||
| Trudy Diane Haussmann | Registered representative | CFP | Feb 2025 (1y) | |
| Vance Evan Garwood | Registered representative | CFP | Feb 2025 (1y) | |
| Carmen Michael Lex | Registered representative | CFP | Feb 2025 (1y) | |
| Christopher John Lex | Registered representative | Feb 2025 (1y) | ||
| Daniel Sean Spencer | Registered representative | Feb 2025 (1y) | ||
| Gregory Gerard Geis | Registered representative | Feb 2025 (1y) | ||
| Justin Gregory Anuario | Registered representative | Feb 2025 (1y) | ||
| Sharla Rae Cameron | Registered representative | Feb 2025 (1y) | ||
| Wayne A. Weimer | Registered representative | Feb 2025 (1y) | ||
| Jeffrey Michael Costa | Registered representative | CFP | Feb 2025 (1y) | |
| Rodney Keith Dooley | Registered representative | Feb 2025 (1y) | ||
| Sylvia Ann Juric | Registered representative | CFP | Feb 2025 (1y) | |
| Alberto Carlos Molina | Registered representative | Feb 2025 (1y) | ||
| Andrea Ringer Koslowsky | Registered representative | Feb 2025 (1y) | ||
| Haylee Martin | Registered representative | Feb 2025 (1y) | ||
| Juliann Jo Riley | Registered representative | Feb 2025 (1y) | ||
| Patrick Burns | Registered representative | Feb 2025 (1y) | ||
| Richard Freckleton | Registered representative | Feb 2025 (1y) | ||
| Trevor Tyson Thomas | Registered representative | Feb 2025 (1y) | ||
| Troy Brigham Hamilton | Registered representative | Feb 2025 (1y) | ||
| Tyler Jacob Verstegen | Registered representative | Feb 2025 (1y) | ||
| William Louis Peterson | Registered representative | Feb 2025 (1y) | ||
| Christopher Franzese | Registered representative | Feb 2025 (1y) | ||
| Jonathan Mandel Winn | Registered representative | Feb 2025 (1y) | ||
| Josiah Alexander Worley | Registered representative | Feb 2025 (1y) | ||
| Michael Clement Frazier | Registered representative | Feb 2025 (1y) | ||
| Osgar Paidrig Nolan | Registered representative | Feb 2025 (1y) | ||
| Devon Charles Roberson | Registered representative | Feb 2025 (1y) | ||
| Andrew James Ruzicka | Registered representative | CFP | Feb 2025 (1y) | |
| Clay Edward Morris | Registered representative | Feb 2025 (1y) | ||
| Cody James Lamarque | Registered representative | Feb 2025 (1y) | ||
| Chance Corbot Franklin | Registered representative | Feb 2025 (1y) | ||
| Daniel Morillo Blandon | Registered representative | Feb 2025 (1y) | ||
| Jeffrey Scott Nelson | Registered representative | Feb 2025 (1y) | ||
| Jeremy Da'shawn Peterson | Registered representative | Feb 2025 (1y) | ||
| Kevin M. Higgins | Registered representative | Feb 2025 (1y) | ||
| Lucas Belair | Registered representative | Feb 2025 (1y) | ||
| Mark Stephen Boynton Jr | Registered representative | Feb 2025 (1y) | ||
| Melissa Sylvia | Registered representative | Feb 2025 (1y) | ||
| Michael John Roth | Registered representative | Feb 2025 (1y) | ||
| Nathaniel Roberts | Registered representative | Feb 2025 (1y) | ||
| Roger Theron Mcdonald | Registered representative | Feb 2025 (1y) | ||
| Ronald Bradford Burley | Registered representative | Feb 2025 (1y) | ||
| William Franklin Anastas | Registered representative | Feb 2025 (1y) | ||
| Alaina Anne Stevens | Registered representative | Feb 2025 (1y) | ||
| Ashley Marie Jackson | Registered representative | Feb 2025 (1y) | ||
| Daniel Morgan Rolls | Registered representative | Feb 2025 (1y) | ||
| Gerald Grant Harshberger Ii | Registered representative | Feb 2025 (1y) | ||
| Carlos Daniel Quintana De La O | Registered representative | Feb 2025 (1y) | ||
| David T Carruth | Registered representative | Feb 2025 (1y) | ||
| Getzemani Pantoja Clixteco | Registered representative | Feb 2025 (1y) | ||
| John Caldwell Rhoades | Registered representative | Feb 2025 (1y) | ||
| Joseph Powell Naylor | Registered representative | CFP | Feb 2025 (1y) | |
| Arron Steven Cramer | Registered representative | Feb 2025 (1y) | ||
| Brent Allen Rupnow | Registered representative | CFP Chartered Financial Consultant | Feb 2025 (1y) | |
| Hunter Worthington Rodgers | Registered representative | Feb 2025 (1y) | ||
| Julie L Clementi | Registered representative | Feb 2025 (1y) | ||
| Keith Thomas Bixby | Registered representative | Feb 2025 (1y) | ||
| David Jesse Lange | Registered representative | CFP | Feb 2025 (1y) | |
| James Francis Maresca | Registered representative | Feb 2025 (1y) | ||
| Jessica A Blount | Registered representative | Feb 2025 (1y) | ||
| Jordan Joseph De Mott | Registered representative | Feb 2025 (1y) | ||
| Matthew J Wong | Registered representative | Feb 2025 (1y) | ||
| Seth Riley Holder | Registered representative | Feb 2025 (1y) | ||
| Yinghui Weng | Registered representative | Feb 2025 (1y) | ||
| Chayse Primeau | Registered representative | Feb 2025 (1y) | ||
| Claton Walker Heath | Registered representative | Feb 2025 (1y) | ||
| David Meier | Registered representative | Feb 2025 (1y) | ||
| Jacklyn Hart | Registered representative | Feb 2025 (1y) | ||
| Jessica P Marks | Registered representative | Feb 2025 (1y) | ||
| Ryan Thomas Henry | Registered representative | Feb 2025 (1y) | ||
| Ty O'toole Hosler | Registered representative | Feb 2025 (1y) | ||
| Victor A Parra | Registered representative | Feb 2025 (1y) | ||
| Aiden Baltz | Registered representative | Feb 2025 (1y) | ||
| Brooks Matthew Wallington | Registered representative | Feb 2025 (1y) | ||
| Diego Jose Garcia | Registered representative | Feb 2025 (1y) | ||
| Dustin Ryne Stokes | Registered representative | CFP | Feb 2025 (1y) | |
| Jay Dee Ferguson | Registered representative | CFP | Feb 2025 (1y) | |
| Joseph Alvin Young | Registered representative | CFP | Feb 2025 (1y) | |
| Keith Ivar Hill | Registered representative | CFP | Feb 2025 (1y) | |
| Lance Christopher Ernest | Registered representative | Feb 2025 (1y) | ||
| Lori Jean Land | Registered representative | Feb 2025 (1y) | ||
| Melissa Sue Schachner | Registered representative | Feb 2025 (1y) | ||
| Nathan George Musterer | Registered representative | Feb 2025 (1y) | ||
| Tyler Robbins | Registered representative | Feb 2025 (1y) | ||
| Vardan Pogosian | Registered representative | Feb 2025 (1y) | ||
| Alyssa Paige Saponare | Registered representative | Feb 2025 (1y) | ||
| Andrew Ellis Sitton | Registered representative | Feb 2025 (1y) | ||
| Benjamin Paul Debenedictis | Registered representative | Feb 2025 (1y) | ||
| Craig Steven Conner | Registered representative | CFP Chartered Financial Consultant | Feb 2025 (1y) | |
| Larry L Hubbard | Registered representative | Feb 2025 (1y) | ||
| Paul J Castro | Registered representative | Feb 2025 (1y) | ||
| Robert James Timme | Registered representative | Feb 2025 (1y) | ||
| Ryan J Sittauer | Registered representative | Feb 2025 (1y) | ||
| Walter Jade Maasch | Registered representative | CFP | Feb 2025 (1y) | |
| Abdalhakim Anwar Khirfan | Registered representative | Feb 2025 (1y) | ||
| Christopher Anthony Sciarrino | Registered representative | Feb 2025 (1y) | ||
| Kenneth Scott Williams | Registered representative | Chartered Financial Consultant | Feb 2025 (1y) | |
| Michael William Cirard | Registered representative | Feb 2025 (1y) | ||
| Richard Alan Lammering | Registered representative | Feb 2025 (1y) | ||
| Victor Joseph | Registered representative | Feb 2025 (1y) | ||
| Vincent Dennette Ratliff | Registered representative | Feb 2025 (1y) | ||
| Valeriia Schastliva Salazar | Registered representative | Feb 2025 (1y) | ||
| William Gresham Cooney | Registered representative | Feb 2025 (1y) | ||
| Trevor Dane Williams | Registered representative | Feb 2025 (1y) | ||
| Abby E Goldstein | Registered representative | CFP | Feb 2025 (1y) | |
| Brett Paul Goldberg | Registered representative | Feb 2025 (1y) | ||
| Chad Aaron Hunt | Registered representative | CFP | Feb 2025 (1y) | |
| Gennaro Vuono | Registered representative | Feb 2025 (1y) | ||
| James Patrick Murray | Registered representative | Feb 2025 (1y) | ||
| Joseph Christopher Thibeaux | Registered representative | Feb 2025 (1y) | ||
| Joseph Edward Burgard | Registered representative | Feb 2025 (1y) | ||
| Justin Joseph Lotano | Registered representative | Feb 2025 (1y) | ||
| Larry Alan Bernstein | Registered representative | Feb 2025 (1y) | ||
| Martin A Frost | Registered representative | CFP | Feb 2025 (1y) | |
| Michael Joseph Kazmer | Registered representative | Feb 2025 (1y) | ||
| Nicole June Robertson | Registered representative | Chartered Financial Consultant | Feb 2025 (1y) | |
| Romel Alvarado | Registered representative | Feb 2025 (1y) | ||
| Tyler Pesola | Registered representative | Feb 2025 (1y) | ||
| Wesley Wong | Registered representative | Feb 2025 (1y) | ||
| Angelo Anthony Costanza | Registered representative | Feb 2025 (1y) | ||
| Evert Fernandez | Registered representative | Feb 2025 (1y) | ||
| Noemi Bravo Rebollar | Registered representative | Feb 2025 (1y) | ||
| Spencer C Ice | Registered representative | Feb 2025 (1y) | ||
| Tamra Burling | Registered representative | Feb 2025 (1y) | ||
| Zachary Parker | Registered representative | Feb 2025 (1y) | ||
| Amanda Arrick | Registered representative | Feb 2025 (1y) | ||
| Graham William Jepsen | Registered representative | Feb 2025 (1y) | ||
| Kirby C Pettitt | Registered representative | Feb 2025 (1y) | ||
| Wayne S Creeden | Registered representative | CFP | Feb 2025 (1y) | |
| William Portage Schwemlein | Registered representative | Feb 2025 (1y) | ||
| Dempsey Colin Thomas Grover | Registered representative | Feb 2025 (1y) | ||
| Joe Rex Woods | Registered representative | Feb 2025 (1y) | ||
| Julia Doyle | Registered representative | Feb 2025 (1y) | ||
| Jack William Richelieu | Registered representative | Feb 2025 (1y) | ||
| Joseph Paul Milanese | Registered representative | Feb 2025 (1y) | ||
| Kevin B Armes | Registered representative | CFP | Feb 2025 (1y) | |
| Matthew Joseph Sheridan | Registered representative | Feb 2025 (1y) | ||
| Michael Jacob Reiman | Registered representative | Feb 2025 (1y) | ||
| Trent Lowman Derrick | Registered representative | Feb 2025 (1y) | ||
| William Jeffrey Brown | Registered representative | Feb 2025 (1y) | ||
| Brian Sherwood Villec | Registered representative | CFP | Feb 2025 (1y) | |
| Dean Matthew Sylvester | Registered representative | Feb 2025 (1y) | ||
| Garth Thomas Hentges | Registered representative | Feb 2025 (1y) | ||
| John P Delaney | Registered representative | Feb 2025 (1y) | ||
| Kenneth Mark Truyman | Registered representative | Feb 2025 (1y) | ||
| Kyle Matthew Sullivan | Registered representative | Feb 2025 (1y) | ||
| Logan J Wolf | Registered representative | Feb 2025 (1y) | ||
| Maxwell Swanton Frishkorn | Registered representative | Feb 2025 (1y) | ||
| Michael Ray Miller | Registered representative | Feb 2025 (1y) | ||
| Nathan Staib | Registered representative | Feb 2025 (1y) | ||
| William Rolfe Shinen | Registered representative | Feb 2025 (1y) | ||
| Andrew John Morris | Registered representative | Mar 2025 (1y) | ||
| Brett Michael Wacha | Registered representative | CFP | Mar 2025 (1y) | |
| Genevieve C Neal | Registered representative | Mar 2025 (1y) | ||
| Jacob Irving Rosenberg | Registered representative | Personal Financial Specialist | Mar 2025 (1y) | |
| Jack Isaac Strulowitz | Registered representative | Mar 2025 (1y) | ||
| Michael Jospeh Petracca | Registered representative | CFP | Mar 2025 (1y) | |
| Michael Lewis Vanderhoff | Registered representative | Mar 2025 (1y) | ||
| Robert Franz Kirkland | Registered representative | Mar 2025 (1y) | ||
| Stephen Allen Eye | Registered representative | Mar 2025 (1y) | ||
| Susana Belmonte | Registered representative | Mar 2025 (1y) | ||
| Stephany Rosalind Bautista | Registered representative | Mar 2025 (1y) | ||
| Sydney Rae Cameron | Registered representative | Mar 2025 (1y) | ||
| Theodore Gentry Stricker | Registered representative | CFP | Mar 2025 (1y) | |
| Talene Brinker | Registered representative | Mar 2025 (1y) | ||
| Thomas Cole | Registered representative | CFP | Mar 2025 (1y) | |
| Timothy Duane Sindt | Registered representative | Mar 2025 (1y) | ||
| Dylan M Burling | Registered representative | CFP | Mar 2025 (1y) | |
| Eduardo Mora Donato | Registered representative | Mar 2025 (1y) | ||
| Jason Shulman | Registered representative | Mar 2025 (1y) | ||
| Kenneth Judson Fickling | Registered representative | Mar 2025 (1y) | ||
| Kyle Kaiser | Registered representative | Mar 2025 (1y) | ||
| Michael Thomas Vann | Registered representative | Mar 2025 (1y) | ||
| Narendra N Tarikere | Registered representative | Mar 2025 (1y) | ||
| Scott Voltz | Registered representative | Mar 2025 (1y) | ||
| Steven Edward Vozenilek | Registered representative | Mar 2025 (1y) | ||
| Semludin Avdic | Registered representative | Mar 2025 (1y) | ||
| Thomas Vaughn Brown | Registered representative | Mar 2025 (1y) | ||
| Anthony Colombino | Registered representative | Mar 2025 (1y) | ||
| Dustin Ryan Dockter | Registered representative | CFP | Mar 2025 (1y) | |
| Helen Carol Tanner | Registered representative | Mar 2025 (1y) | ||
| James Edward Larsen | Registered representative | CFP | Mar 2025 (1y) | |
| Joseph Maniscalco | Registered representative | Mar 2025 (1y) | ||
| Jackson Seth Miller | Registered representative | CFP | Mar 2025 (1y) | |
| Kevin Perry Lewis | Registered representative | CFP | Mar 2025 (1y) | |
| Lucas Underhill Decker | Registered representative | CFP | Mar 2025 (1y) | |
| Paul Wolfson Carman | Registered representative | Mar 2025 (1y) | ||
| Richard Edward Bosco | Registered representative | Mar 2025 (1y) | ||
| William Kult | Registered representative | Mar 2025 (1y) | ||
| Aaron Joseph Cross | Registered representative | Mar 2025 (1y) | ||
| Adam Zeliger | Registered representative | Mar 2025 (1y) | ||
| Aderito Edward Morais | Registered representative | Mar 2025 (1y) | ||
| Alyce Marie Hackett | Registered representative | CFP | Mar 2025 (1y) | |
| Amardeep Singh Grewal | Registered representative | Mar 2025 (1y) | ||
| Andrew Alkis Michaelides | Registered representative | Mar 2025 (1y) | ||
| Austin August Engel | Registered representative | Mar 2025 (1y) | ||
| Barbara Marcia Rowens | Registered representative | Mar 2025 (1y) | ||
| Brian Andrew Chamberlain | Registered representative | Mar 2025 (1y) | ||
| Brian Edward Glickman | Registered representative | Personal Financial Specialist | Mar 2025 (1y) | |
| Bethany Ann Nassimos | Registered representative | Mar 2025 (1y) | ||
| Carl Kaliszewski | Registered representative | Mar 2025 (1y) | ||
| Carly J Jenkins | Registered representative | Mar 2025 (1y) | ||
| Chang Lee | Registered representative | Mar 2025 (1y) | ||
| Chris John Plechy | Registered representative | Mar 2025 (1y) | ||
| Christopher Hess | Registered representative | CFP | Mar 2025 (1y) | |
| Christopher John Parios | Registered representative | CFP | Mar 2025 (1y) | |
| Claudio Bonesini | Registered representative | Mar 2025 (1y) | ||
| Courtney James Burn | Registered representative | Mar 2025 (1y) | ||
| Craig Lawrence Piper | Registered representative | Mar 2025 (1y) | ||
| Craig Robert Meylan | Registered representative | Mar 2025 (1y) | ||
| Daniel J Antokal | Registered representative | Mar 2025 (1y) | ||
| Daniel Joseph Rudski | Registered representative | Mar 2025 (1y) | ||
| David Alden Bobrowsky | Registered representative | CFP | Mar 2025 (1y) | |
| David Edward Jozefek | Registered representative | Mar 2025 (1y) | ||
| David M Fazendeiro | Registered representative | Mar 2025 (1y) | ||
| Debra M Bruno | Registered representative | Mar 2025 (1y) | ||
| Dennis Edward Gerkhardt | Registered representative | CFP | Mar 2025 (1y) | |
| Donald G Blumberg | Registered representative | CFP | Mar 2025 (1y) | |
| Daniel Clarke Caissie | Registered representative | Mar 2025 (1y) | ||
| Earl Byron Emery | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Edward Bird Snyder | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Ellen Elizabeth Boyce | Registered representative | Mar 2025 (1y) | ||
| Emmett Patrick Christie | Registered representative | Mar 2025 (1y) | ||
| Frank Howard Dogger | Registered representative | CFP Chartered Financial Consultant | Mar 2025 (1y) | |
| Frank James Eberhart | Registered representative | Mar 2025 (1y) | ||
| Gabriel Barish | Registered representative | Mar 2025 (1y) | ||
| Gary F Lenchner | Registered representative | Mar 2025 (1y) | ||
| Gary William Medley | Registered representative | CFP | Mar 2025 (1y) | |
| Glen Lamar Jackson | Registered representative | Mar 2025 (1y) | ||
| Glenn Michael Demarrais | Registered representative | Mar 2025 (1y) | ||
| Gregg Pajak | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Gregory Allen Gulick | Registered representative | Mar 2025 (1y) | ||
| Gregory Chris Kopan | Registered representative | Mar 2025 (1y) | ||
| Hipolito Diaz | Registered representative | CFP | Mar 2025 (1y) | |
| James Herbert Hundley | Registered representative | Personal Financial Specialist | Mar 2025 (1y) | |
| James Lawrence Miller | Registered representative | Mar 2025 (1y) | ||
| James William Kennedy | Registered representative | Mar 2025 (1y) | ||
| Janis Lynn Waldman Cooper | Registered representative | Mar 2025 (1y) | ||
| Jared C Burns | Registered representative | Mar 2025 (1y) | ||
| Jeff Vance James | Registered representative | Mar 2025 (1y) | ||
| Jeffrey Scott Heinel | Registered representative | Mar 2025 (1y) | ||
| Jody Dean Graber | Registered representative | Mar 2025 (1y) | ||
| Joe Don Osbourn | Registered representative | Mar 2025 (1y) | ||
| Joel Michael Dziedzic | Registered representative | Mar 2025 (1y) | ||
| John Craig Snyder | Registered representative | Mar 2025 (1y) | ||
| John Edward Patterson | Registered representative | CFP | Mar 2025 (1y) | |
| John Eugene Lanzetta | Registered representative | Mar 2025 (1y) | ||
| John Francis Ryan | Registered representative | Mar 2025 (1y) | ||
| John G Garretson | Registered representative | CFP | Mar 2025 (1y) | |
| John Kenneth Baker | Registered representative | Mar 2025 (1y) | ||
| John Phillip Gamache | Registered representative | Mar 2025 (1y) | ||
| Joseph Charles Bowers | Registered representative | Mar 2025 (1y) | ||
| Joseph Leonardo Davis | Registered representative | CFP Chartered Financial Consultant | Mar 2025 (1y) | |
| Joseph Paul Campisi | Registered representative | Mar 2025 (1y) | ||
| Jacob Rice | Registered representative | CFP | Mar 2025 (1y) | |
| James M Aghayere | Registered representative | Mar 2025 (1y) | ||
| John David Sheehan | Registered representative | Mar 2025 (1y) | ||
| Kenneth James Fields | Registered representative | Mar 2025 (1y) | ||
| Kevin Steven Morin | Registered representative | CFP | Mar 2025 (1y) | |
| Knut Lundberg | Registered representative | Mar 2025 (1y) | ||
| Katherine Mackrell Oven | Registered representative | Mar 2025 (1y) | ||
| Larry Scott Wallace | Registered representative | CFP | Mar 2025 (1y) | |
| Lawrence Joseph Marciano | Registered representative | Mar 2025 (1y) | ||
| Linda Marie Yu | Registered representative | Mar 2025 (1y) | ||
| Louis Donald Gilman | Registered representative | Mar 2025 (1y) | ||
| Lynn Maria Liaskos | Registered representative | Mar 2025 (1y) | ||
| Laura F. Dill | Registered representative | CFP | Mar 2025 (1y) | |
| Maria Ann Avento | Registered representative | Mar 2025 (1y) | ||
| Maria M Muth | Registered representative | Mar 2025 (1y) | ||
| Marilyn Staton White | Registered representative | Mar 2025 (1y) | ||
| Mark Adam Friedrich | Registered representative | CFP | Mar 2025 (1y) | |
| Mark Anthony Matos | Registered representative | CFP Chartered Financial Consultant | Mar 2025 (1y) | |
| Mark James Mauro | Registered representative | Mar 2025 (1y) | ||
| Mark Kenneth Mcgee | Registered representative | Mar 2025 (1y) | ||
| Mark Robert Timko | Registered representative | Mar 2025 (1y) | ||
| Mark Ronald Oslebo | Registered representative | CFP | Mar 2025 (1y) | |
| Martin Alexander Scheinkman | Registered representative | CFP | Mar 2025 (1y) | |
| Mary Mee Goon | Registered representative | Mar 2025 (1y) | ||
| Matthew G Filik | Registered representative | CFP | Mar 2025 (1y) | |
| Matthew Park | Registered representative | Mar 2025 (1y) | ||
| Michael Bruce Frischman | Registered representative | CFP | Mar 2025 (1y) | |
| Michael Dory Marchi | Registered representative | Mar 2025 (1y) | ||
| Michael J Breunig | Registered representative | Mar 2025 (1y) | ||
| Michael Scott Rosen | Registered representative | Mar 2025 (1y) | ||
| Nicholas Hammond | Registered representative | Mar 2025 (1y) | ||
| Nina Mac Ginn Coyne | Registered representative | Mar 2025 (1y) | ||
| Patrick John Hillman | Registered representative | Mar 2025 (1y) | ||
| Peter Chung Sit | Registered representative | Mar 2025 (1y) | ||
| Peter G Erl | Registered representative | Mar 2025 (1y) | ||
| Quinn Ilkyu Im | Registered representative | CFP | Mar 2025 (1y) | |
| Ralph Everette Lemon | Registered representative | Mar 2025 (1y) | ||
| Randall Bruce Simpson | Registered representative | Mar 2025 (1y) | ||
| Raymond Rudorfer | Registered representative | Mar 2025 (1y) | ||
| Rebecca Suzanne Obermeier | Registered representative | Mar 2025 (1y) | ||
| Robert Andrew Gude | Registered representative | Mar 2025 (1y) | ||
| Robert Christopher Thomaier | Registered representative | Mar 2025 (1y) | ||
| Robert John Buell | Registered representative | Mar 2025 (1y) | ||
| Robert Martin Derks | Registered representative | Mar 2025 (1y) | ||
| Robert Paul Donlan | Registered representative | CFP | Mar 2025 (1y) | |
| Roger Austin Moss | Registered representative | Mar 2025 (1y) | ||
| Ronald Allen Schwarz | Registered representative | Mar 2025 (1y) | ||
| Ronald William White | Registered representative | Mar 2025 (1y) | ||
| Ryan Ford Quillen | Registered representative | Mar 2025 (1y) | ||
| Scott David Breslow | Registered representative | Mar 2025 (1y) | ||
| Seth Finkelstein | Registered representative | Mar 2025 (1y) | ||
| Stanley Lozinski | Registered representative | CFP | Mar 2025 (1y) | |
| Steven Jeffrey Mahler | Registered representative | Mar 2025 (1y) | ||
| Theodore Anthony Fiolek | Registered representative | Mar 2025 (1y) | ||
| Thomas Bezigian | Registered representative | Mar 2025 (1y) | ||
| Thomas John Mccarthy | Registered representative | Mar 2025 (1y) | ||
| Travis James Smith | Registered representative | Mar 2025 (1y) | ||
| Victor Thomas Delorenzo | Registered representative | Mar 2025 (1y) | ||
| Vincent Bonanno | Registered representative | CFP | Mar 2025 (1y) | |
| Walter Franklin Greenwald | Registered representative | Mar 2025 (1y) | ||
| William Geoffrey Parker | Registered representative | Mar 2025 (1y) | ||
| William Joseph Logue | Registered representative | CFP | Mar 2025 (1y) | |
| Brian Matthew Joyce | Registered representative | CFP | Mar 2025 (1y) | |
| Brian Patrick Darcy | Registered representative | Mar 2025 (1y) | ||
| Edward Scott Boze | Registered representative | Mar 2025 (1y) | ||
| James W Mc Kinnon | Registered representative | Mar 2025 (1y) | ||
| Ryan S. Ericksen | Registered representative | Mar 2025 (1y) | ||
| William James Christie | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Basel Elesrawi | Registered representative | Mar 2025 (1y) | ||
| Brent M Johnson | Registered representative | Mar 2025 (1y) | ||
| Evan Louis Blanton | Registered representative | Mar 2025 (1y) | ||
| Steven Robert Otis Mahoney | Registered representative | Mar 2025 (1y) | ||
| Sarah Elizabeth Ryle | Registered representative | Mar 2025 (1y) | ||
| Adriane Marie Shaw | Registered representative | Mar 2025 (1y) | ||
| Austin Owens | Registered representative | Mar 2025 (1y) | ||
| Brent Ross | Registered representative | CFP | Mar 2025 (1y) | |
| Carly Christine Gold | Registered representative | Mar 2025 (1y) | ||
| Dean Tetsuro Matsumoto | Registered representative | Mar 2025 (1y) | ||
| Douglas Wright | Registered representative | Mar 2025 (1y) | ||
| Damien R Berube | Registered representative | Mar 2025 (1y) | ||
| Daniel Robert Myers | Registered representative | Mar 2025 (1y) | ||
| Heather Ann Johnson | Registered representative | Mar 2025 (1y) | ||
| Ilyana M Gutierrez | Registered representative | Mar 2025 (1y) | ||
| Joseph Depietro | Registered representative | Mar 2025 (1y) | ||
| Jeffrey Unger | Registered representative | Mar 2025 (1y) | ||
| Kiley R Kinney | Registered representative | Mar 2025 (1y) | ||
| Leslie Wayne Proceviat | Registered representative | Mar 2025 (1y) | ||
| Lisa Marie Cargill | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Mark Alan Gerardi | Registered representative | CFP | Mar 2025 (1y) | |
| Matthew Tracy Brinkley | Registered representative | Mar 2025 (1y) | ||
| Miles Christian Nissly | Registered representative | Mar 2025 (1y) | ||
| Phillip Austin Gebhardt | Registered representative | Mar 2025 (1y) | ||
| Robert Harold Hogsette | Registered representative | Mar 2025 (1y) | ||
| Stephen Craig Williams | Registered representative | Mar 2025 (1y) | ||
| Samuel August Erickson | Registered representative | Mar 2025 (1y) | ||
| Thomas Albert Elzinga | Registered representative | Mar 2025 (1y) | ||
| Thomas David Cooper | Registered representative | Mar 2025 (1y) | ||
| Tony Peter Krvaric | Registered representative | Mar 2025 (1y) | ||
| Brock Alan Naaman | Registered representative | Mar 2025 (1y) | ||
| Christopher J Cobb | Registered representative | Mar 2025 (1y) | ||
| Ellen Robinson Gunder | Registered representative | Mar 2025 (1y) | ||
| Jeffrey Francis Gunder | Registered representative | Mar 2025 (1y) | ||
| Jun Michael Tang | Registered representative | CFP | Mar 2025 (1y) | |
| Jeffrey Hamilton | Registered representative | Mar 2025 (1y) | ||
| Kevin Joseph Gray | Registered representative | CFP | Mar 2025 (1y) | |
| Pamela Jean Rudolph | Registered representative | Mar 2025 (1y) | ||
| Ryan Wayne Cobb | Registered representative | Mar 2025 (1y) | ||
| Taylor James Salisbury | Registered representative | Mar 2025 (1y) | ||
| Trent Jarrett Trailov | Registered representative | Mar 2025 (1y) | ||
| Charlotte Renee Wilson | Registered representative | Mar 2025 (1y) | ||
| Elizabeth Rose Tyger | Registered representative | CFP | Mar 2025 (1y) | |
| Jack Steven Pochiro | Registered representative | Mar 2025 (1y) | ||
| Kenneth Wayne Jones | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Kent Rodney Beal | Registered representative | Mar 2025 (1y) | ||
| Kimberly Ann Lutes | Registered representative | Mar 2025 (1y) | ||
| Rob William Friemoth | Registered representative | Mar 2025 (1y) | ||
| Stephen James Kennedy | Registered representative | Mar 2025 (1y) | ||
| Cynthia Fay Spinning | Registered representative | Mar 2025 (1y) | ||
| Daniel Page Misenhimer | Registered representative | Personal Financial Specialist | Mar 2025 (1y) | |
| Daniel Alpio Stellini | Registered representative | Mar 2025 (1y) | ||
| Heather Marie Alber | Registered representative | Mar 2025 (1y) | ||
| Isaac Alexander Kot | Registered representative | Mar 2025 (1y) | ||
| Ryan Timothy Krause | Registered representative | CFP | Mar 2025 (1y) | |
| Zachary Thomas Alario | Registered representative | CFP | Mar 2025 (1y) | |
| Brady J Denton | Registered representative | Mar 2025 (1y) | ||
| Carey Michelle Thistlethwaite | Registered representative | Mar 2025 (1y) | ||
| David S Warren | Registered representative | Mar 2025 (1y) | ||
| Dennis W Greene | Registered representative | Mar 2025 (1y) | ||
| Kyle T Schnell | Registered representative | Mar 2025 (1y) | ||
| Marc Andrew Pacella | Registered representative | Mar 2025 (1y) | ||
| Anindita Dhar | Registered representative | CFP | Mar 2025 (1y) | |
| Cari Driscoll | Registered representative | Mar 2025 (1y) | ||
| Christopher Venuto | Registered representative | Mar 2025 (1y) | ||
| Christopher T Ecker | Registered representative | Mar 2025 (1y) | ||
| Claire Nelson Jackson Stumbras | Registered representative | Mar 2025 (1y) | ||
| Ellen Thompson | Registered representative | Mar 2025 (1y) | ||
| George Alexander Jenkins | Registered representative | Mar 2025 (1y) | ||
| George Robertson | Registered representative | CFP | Mar 2025 (1y) | |
| Hannah Kelly | Registered representative | Mar 2025 (1y) | ||
| Isaac J Jordahl | Registered representative | Mar 2025 (1y) | ||
| John Nicholas Mayo | Registered representative | Mar 2025 (1y) | ||
| Jacob R Fraylick | Registered representative | Mar 2025 (1y) | ||
| Jason Patrick Eaves | Registered representative | Mar 2025 (1y) | ||
| Kevin William Mcbarron | Registered representative | Mar 2025 (1y) | ||
| Kurt Patrick Schroeder | Registered representative | CFP | Mar 2025 (1y) | |
| Kyle David Reise | Registered representative | CFP | Mar 2025 (1y) | |
| Matthew Willett Taylor | Registered representative | Mar 2025 (1y) | ||
| Mary Nicole Horn | Registered representative | Mar 2025 (1y) | ||
| Molly Elizabeth Grandel | Registered representative | Mar 2025 (1y) | ||
| Morris Caleb Rich | Registered representative | Mar 2025 (1y) | ||
| Paul Douglas Jetter | Registered representative | CFP | Mar 2025 (1y) | |
| Ralph Franzese | Registered representative | Mar 2025 (1y) | ||
| Roger Bruce Riley | Registered representative | Mar 2025 (1y) | ||
| Romil Bhagat | Registered representative | Mar 2025 (1y) | ||
| Robert Daniel Mc Mahon | Registered representative | CFP | Mar 2025 (1y) | |
| Said Abouomar | Registered representative | CFP | Mar 2025 (1y) | |
| Theresa Ann Kohles | Registered representative | Mar 2025 (1y) | ||
| Todd Jason Rosenblatt | Registered representative | CFP | Mar 2025 (1y) | |
| Jesse Bifulco | Registered representative | Mar 2025 (1y) | ||
| Jonathan D Barna | Registered representative | CFP | Mar 2025 (1y) | |
| Lee R Roberts | Registered representative | Mar 2025 (1y) | ||
| Sheri M Astorino | Registered representative | Mar 2025 (1y) | ||
| Austin Lynn Greer | Registered representative | Mar 2025 (1y) | ||
| Brian Kendall Lewis | Registered representative | Mar 2025 (1y) | ||
| Brittney Morgan Derrick | Registered representative | Mar 2025 (1y) | ||
| John Timothy Dunahoo | Registered representative | Mar 2025 (1y) | ||
| Mohammed Daud Munsifzadah | Registered representative | Mar 2025 (1y) | ||
| Stephanie Jones Depriest | Registered representative | Mar 2025 (1y) | ||
| Wesley Carl Stringfield | Registered representative | Mar 2025 (1y) | ||
| Cherie Chen | Registered representative | Mar 2025 (1y) | ||
| John Mark Soukup | Registered representative | CFP Chartered Financial Consultant | Mar 2025 (1y) | |
| Jacob Tyler Pollard | Registered representative | Mar 2025 (1y) | ||
| Nathan James Raber | Registered representative | Mar 2025 (1y) | ||
| Alan Joseph Marcelle | Registered representative | Mar 2025 (1y) | ||
| Carson Reid Spangler | Registered representative | CFP | Mar 2025 (1y) | |
| Jacob C Jones | Registered representative | Mar 2025 (1y) | ||
| Alexis Hart Carrasquel | Registered representative | Mar 2025 (1y) | ||
| Anthony Jack Ziniti | Registered representative | CFP | Mar 2025 (1y) | |
| Austin Bret Yorgesen | Registered representative | Mar 2025 (1y) | ||
| Blaine Tucker | Registered representative | Mar 2025 (1y) | ||
| Frederick Edward Berndt | Registered representative | Mar 2025 (1y) | ||
| Jack Dillon Trimp | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| James Charles Mack | Registered representative | Mar 2025 (1y) | ||
| Jared Neilson Mcgill | Registered representative | Mar 2025 (1y) | ||
| Jacob Anthony Gonzalez | Registered representative | Mar 2025 (1y) | ||
| Jeremy Geadrities | Registered representative | Mar 2025 (1y) | ||
| Maurice Jerome Nollette | Registered representative | Mar 2025 (1y) | ||
| Matthew Angelo Kazdan | Registered representative | Mar 2025 (1y) | ||
| Maurice Falls | Registered representative | Mar 2025 (1y) | ||
| Patrick Arthur Trimp | Registered representative | CFP | Mar 2025 (1y) | |
| Ryan Ross Loveless | Registered representative | Mar 2025 (1y) | ||
| Steven Troy Jones | Registered representative | Mar 2025 (1y) | ||
| Yi Zhu | Registered representative | Mar 2025 (1y) | ||
| A Stanley Norkiewicz | Registered representative | CFP | Mar 2025 (1y) | |
| Andrew Thomas Brewer | Registered representative | Mar 2025 (1y) | ||
| Bethany Anne Dever | Registered representative | CFP | Mar 2025 (1y) | |
| Craig A. Ciszewski | Registered representative | Mar 2025 (1y) | ||
| Crystal Beineke | Registered representative | CFP | Mar 2025 (1y) | |
| Jacob David Sandberg | Registered representative | Mar 2025 (1y) | ||
| James Robert Clarke | Registered representative | Mar 2025 (1y) | ||
| Kevin Sungjean Hong | Registered representative | Mar 2025 (1y) | ||
| Lance Alan Sevier | Registered representative | CFP | Mar 2025 (1y) | |
| Melissa Durst Murchison | Registered representative | Mar 2025 (1y) | ||
| Matthew Petermann | Registered representative | Mar 2025 (1y) | ||
| Robyn L Martinez | Registered representative | Mar 2025 (1y) | ||
| Thomas Jay Braaten | Registered representative | Mar 2025 (1y) | ||
| David Maxwell Irving | Registered representative | Mar 2025 (1y) | ||
| Dagner Jorge Rivero | Registered representative | Mar 2025 (1y) | ||
| James Verdi | Registered representative | CFP | Mar 2025 (1y) | |
| Jacob Andrew Pfeifer | Registered representative | Mar 2025 (1y) | ||
| Leila Ross | Registered representative | Mar 2025 (1y) | ||
| Matthew Kyle Heeter | Registered representative | Mar 2025 (1y) | ||
| Nicholas Klopsis | Registered representative | Mar 2025 (1y) | ||
| Brandon Wood Halversen | Registered representative | Mar 2025 (1y) | ||
| Deborah Sue Farnham | Registered representative | Mar 2025 (1y) | ||
| Daniel M Greenheck | Registered representative | Mar 2025 (1y) | ||
| Gabriel Sakellaridis | Registered representative | Mar 2025 (1y) | ||
| Kevin Peter Sincavage | Registered representative | Mar 2025 (1y) | ||
| Lawrence William Schmitt | Registered representative | Mar 2025 (1y) | ||
| Mark Edward Lefevre | Registered representative | Mar 2025 (1y) | ||
| Michael Scott Poggi | Registered representative | CFP | Mar 2025 (1y) | |
| Michael Kreitinger | Registered representative | Mar 2025 (1y) | ||
| Ryan A Luckman | Registered representative | Mar 2025 (1y) | ||
| Susan Mary Beardsley | Registered representative | Mar 2025 (1y) | ||
| Todd Andrew Lefevre | Registered representative | Mar 2025 (1y) | ||
| Aspen Kay Spratt | Registered representative | Mar 2025 (1y) | ||
| Arjun Srivastava | Registered representative | Mar 2025 (1y) | ||
| Brett Charles Deuth | Registered representative | Mar 2025 (1y) | ||
| Brian Keith Perley | Registered representative | CFP | Mar 2025 (1y) | |
| Brian Keith Watts | Registered representative | CFP | Mar 2025 (1y) | |
| John Brock Mcclain | Registered representative | CFP | Mar 2025 (1y) | |
| Melissa Deann Proffitt | Registered representative | Mar 2025 (1y) | ||
| Matthew Valle | Registered representative | Mar 2025 (1y) | ||
| Shayne R Olsen | Registered representative | Mar 2025 (1y) | ||
| Peter Jason Sikora | Registered representative | CFP | Mar 2025 (1y) | |
| Brayden Scott Salmins | Registered representative | Mar 2025 (1y) | ||
| Christopher Lee Rine | Registered representative | Mar 2025 (1y) | ||
| Debra Lee Hedgcoth | Registered representative | CFP | Mar 2025 (1y) | |
| Elena Silvia Voin | Registered representative | Mar 2025 (1y) | ||
| Frank Joseph Uxa | Registered representative | Mar 2025 (1y) | ||
| Gary Cappon | Registered representative | Mar 2025 (1y) | ||
| Gavin S Faucett | Registered representative | Mar 2025 (1y) | ||
| Heather Ann Williams | Registered representative | CFP | Mar 2025 (1y) | |
| Jonathan Richard Gates | Registered representative | CFP | Mar 2025 (1y) | |
| Joseph James Proscia | Registered representative | Mar 2025 (1y) | ||
| Lawrence J Kasinowski | Registered representative | Mar 2025 (1y) | ||
| Marion Paxson Steward | Registered representative | CFP | Mar 2025 (1y) | |
| Melissa Andrea Baldwin | Registered representative | Mar 2025 (1y) | ||
| Michael Patrick Conley | Registered representative | Mar 2025 (1y) | ||
| Madison Wentland | Registered representative | Mar 2025 (1y) | ||
| Michelle Marie Klass | Registered representative | Mar 2025 (1y) | ||
| Nathan Alexander Peck | Registered representative | Mar 2025 (1y) | ||
| Nicholas Saul Shenkler | Registered representative | Mar 2025 (1y) | ||
| Paul Louis Goudy | Registered representative | Mar 2025 (1y) | ||
| Robert Donald Mace | Registered representative | Mar 2025 (1y) | ||
| Troy Robert Stansbury | Registered representative | Mar 2025 (1y) | ||
| Bradley Bartlett Miller | Registered representative | Apr 2025 (1y) | ||
| Corey James Ford | Registered representative | Apr 2025 (1y) | ||
| Cayla Lynn Bensman | Registered representative | Apr 2025 (1y) | ||
| Jacob Christopher Whitaker | Registered representative | Apr 2025 (1y) | ||
| Jacob Andrew Meredith | Registered representative | Apr 2025 (1y) | ||
| Jennifer Webster Young | Registered representative | Apr 2025 (1y) | ||
| Kimberly D Hitchcock | Registered representative | Apr 2025 (1y) | ||
| Kevin St Jean | Registered representative | Apr 2025 (1y) | ||
| Mary B Haverly | Registered representative | Apr 2025 (1y) | ||
| Roland Milner Ho | Registered representative | Apr 2025 (1y) | ||
| Ronald Ethan Fry | Registered representative | Apr 2025 (1y) | ||
| Shea Gordon | Registered representative | Apr 2025 (1y) | ||
| Stephanie Denee Stewart | Registered representative | Apr 2025 (1y) | ||
| Christopher Dale Dinterman | Registered representative | Apr 2025 (1y) | ||
| Diane Marie Eshelman | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| John Timothy Strang | Registered representative | Apr 2025 (1y) | ||
| Julie P King | Registered representative | Apr 2025 (1y) | ||
| Lan Xiao | Registered representative | Apr 2025 (1y) | ||
| Michael Pikkarainen | Registered representative | Apr 2025 (1y) | ||
| Stephen Edward Jackson | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Craig William Pfau | Registered representative | Apr 2025 (1y) | ||
| Erica Waynette Lasha Mata | Registered representative | Apr 2025 (1y) | ||
| Joan Mary Sweeney | Registered representative | CFP | Apr 2025 (1y) | |
| Kristin Kissane | Registered representative | Apr 2025 (1y) | ||
| Riley Jason Ege | Registered representative | Apr 2025 (1y) | ||
| Sidney Philip Smith | Registered representative | CFP | Apr 2025 (1y) | |
| Alexander Weston Lear | Registered representative | Apr 2025 (1y) | ||
| Bruce E Schreiner | Registered representative | Apr 2025 (1y) | ||
| Dylan Vaughan Slade | Registered representative | Apr 2025 (1y) | ||
| Daniel P Stavrides | Registered representative | Apr 2025 (1y) | ||
| George A Rockley | Registered representative | Apr 2025 (1y) | ||
| John Hammond Urner | Registered representative | Apr 2025 (1y) | ||
| Alex David Samsel | Registered representative | Apr 2025 (1y) | ||
| Alec Lloyd | Registered representative | Apr 2025 (1y) | ||
| Alexander Kipling Durham | Registered representative | Apr 2025 (1y) | ||
| Brady Michael Lenius | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Colleen Faith Rittenhouse | Registered representative | Apr 2025 (1y) | ||
| Cameron George Fedish | Registered representative | Apr 2025 (1y) | ||
| Christopher Hutcherson | Registered representative | Apr 2025 (1y) | ||
| David Alan Lenius | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Dylan Whitcraft | Registered representative | Apr 2025 (1y) | ||
| Joshua Cole Robertson | Registered representative | Apr 2025 (1y) | ||
| Kasey Leanne Ring | Registered representative | Apr 2025 (1y) | ||
| Kha Hoang | Registered representative | Apr 2025 (1y) | ||
| Luisa Fernanda Lewis | Registered representative | Apr 2025 (1y) | ||
| Teri L Reed | Registered representative | Apr 2025 (1y) | ||
| Cooper Elijah Jacks | Registered representative | Apr 2025 (1y) | ||
| Elizabeth Heiligenthaler | Registered representative | Apr 2025 (1y) | ||
| Eric Robert Dluzniewski | Registered representative | Apr 2025 (1y) | ||
| Kevin S. King | Registered representative | Apr 2025 (1y) | ||
| Levi Warner | Registered representative | Apr 2025 (1y) | ||
| Mariano Cinardi | Registered representative | Apr 2025 (1y) | ||
| Samuel Kincaid Barrington | Registered representative | Apr 2025 (1y) | ||
| Thane Jordan Blosser | Registered representative | Apr 2025 (1y) | ||
| Thomas Sweeney | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Colin C Beamish | Registered representative | CFP | Apr 2025 (1y) | |
| Gregory Carl Barson | Registered representative | Apr 2025 (1y) | ||
| Jeffrey David Schreiber | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Jessica Marie Simmons | Registered representative | Apr 2025 (1y) | ||
| Mark Julius Potocsny | Registered representative | Apr 2025 (1y) | ||
| Robert Allen Bye | Registered representative | CFP | Apr 2025 (1y) | |
| Abhijit Suresh Talathi | Registered representative | Apr 2025 (1y) | ||
| Lisa Anne Hawk | Registered representative | CFP | Apr 2025 (1y) | |
| Mark Ernest Bilodeau | Registered representative | CFP | Apr 2025 (1y) | |
| Stacy A Johnson | Registered representative | CFP | Apr 2025 (1y) | |
| Tara Olivieri | Registered representative | Apr 2025 (1y) | ||
| Patrick John Phillips | Registered representative | Apr 2025 (1y) | ||
| Adam Pasquale Iosue | Registered representative | CFP | Apr 2025 (1y) | |
| Anthony S Fresella | Registered representative | Apr 2025 (1y) | ||
| Carlina Ann Duggan | Registered representative | Apr 2025 (1y) | ||
| Daniel Greenwood | Registered representative | Apr 2025 (1y) | ||
| Griffin Keith Durand | Registered representative | Apr 2025 (1y) | ||
| Henry Tobias | Registered representative | Apr 2025 (1y) | ||
| Jaret Mittenthal | Registered representative | Apr 2025 (1y) | ||
| Jeffrey Rand Miller | Registered representative | Apr 2025 (1y) | ||
| Juliann Gayle Chapman | Registered representative | CFP | Apr 2025 (1y) | |
| Julia Revels Powers | Registered representative | Apr 2025 (1y) | ||
| Ranhee Lee | Registered representative | Apr 2025 (1y) | ||
| Robert Jason Wyatt | Registered representative | Apr 2025 (1y) | ||
| Robert Kelley | Registered representative | Apr 2025 (1y) | ||
| Tyler David Hirth | Registered representative | CFP | Apr 2025 (1y) | |
| Valeria Bahena | Registered representative | Apr 2025 (1y) | ||
| William Daniel Bolander | Registered representative | Apr 2025 (1y) | ||
| Jarrett Andrew Krienes | Registered representative | Apr 2025 (1y) | ||
| John Richard Farrall | Registered representative | Apr 2025 (1y) | ||
| Joshua Dove | Registered representative | Apr 2025 (1y) | ||
| Jaime Morphet | Registered representative | Apr 2025 (1y) | ||
| John Youssef | Registered representative | Apr 2025 (1y) | ||
| Karen Katinas | Registered representative | Apr 2025 (1y) | ||
| Maximilian Reinhart Westerman | Registered representative | Apr 2025 (1y) | ||
| Richard Alan Little | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Aaron Thomas Koss | Registered representative | Apr 2025 (1y) | ||
| Brian Joseph Dibrino | Registered representative | Apr 2025 (1y) | ||
| Cody Macintyre | Registered representative | Apr 2025 (1y) | ||
| Damien Di Taranto | Registered representative | Apr 2025 (1y) | ||
| David Kamine | Registered representative | Apr 2025 (1y) | ||
| Dyllon Hugh Mac Dougall | Registered representative | Apr 2025 (1y) | ||
| Everardo Rodriguez | Registered representative | Apr 2025 (1y) | ||
| Edmund John O'keeffe | Registered representative | Apr 2025 (1y) | ||
| Joseph Fred Palena | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Jessica Marie Norris Chatmon | Registered representative | Apr 2025 (1y) | ||
| Katherine Bates Horowitz | Registered representative | Apr 2025 (1y) | ||
| Kyle Lippold | Registered representative | Apr 2025 (1y) | ||
| Matthew Joseph Vance | Registered representative | Apr 2025 (1y) | ||
| Nicholas Matthew Hall | Registered representative | Apr 2025 (1y) | ||
| Seamus Axel Nelson | Registered representative | Apr 2025 (1y) | ||
| William J Petro | Registered representative | Apr 2025 (1y) | ||
| David Lynn Nelson | Registered representative | Apr 2025 (1y) | ||
| Devin Lowenberg | Registered representative | Apr 2025 (1y) | ||
| Jay Andrew Funyak | Registered representative | Apr 2025 (1y) | ||
| Jordan Daniel Sirota | Registered representative | Apr 2025 (1y) | ||
| Miranda O'keefe | Registered representative | Apr 2025 (1y) | ||
| Michael Reed Elkins | Registered representative | Apr 2025 (1y) | ||
| Reuben Law Spencer | Registered representative | Apr 2025 (1y) | ||
| Richard Michael Ditaranto | Registered representative | Apr 2025 (1y) | ||
| Aaron Nicholas Sanchez | Registered representative | Apr 2025 (1y) | ||
| Amanda G Hillhouse | Registered representative | Apr 2025 (1y) | ||
| Maxime Andre Jean Faure | Registered representative | Apr 2025 (1y) | ||
| Jayson R Chichelli | Registered representative | Apr 2025 (1y) | ||
| Olivia Goodwill | Registered representative | Apr 2025 (1y) | ||
| Ashley Elizabeth Cutshall | Registered representative | CFP | Apr 2025 (1y) | |
| Addison Errol Dishman | Registered representative | CFP | Apr 2025 (1y) | |
| David G Meacham | Registered representative | Apr 2025 (1y) | ||
| Daniel Elliott Gryp | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Julie C Naji | Registered representative | Apr 2025 (1y) | ||
| Justin Keith Hitt | Registered representative | Apr 2025 (1y) | ||
| Karen Irene Boykin | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Leonard Mancini | Registered representative | Apr 2025 (1y) | ||
| Matthew J Freeman | Registered representative | Apr 2025 (1y) | ||
| Melissa Ross Sipherd | Registered representative | Apr 2025 (1y) | ||
| Thomas Gilbert Fallon | Registered representative | Apr 2025 (1y) | ||
| William Curtis Loomis | Registered representative | Apr 2025 (1y) | ||
| William Curtis Loomis | Registered representative | CFP | Apr 2025 (1y) | |
| William James Dishman | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Eliab F. Alonzo | Registered representative | Apr 2025 (1y) | ||
| Giovanni Attilio Volpe | Registered representative | Apr 2025 (1y) | ||
| Haider Ali Javid | Registered representative | Apr 2025 (1y) | ||
| Jason James Frank | Registered representative | CFP | Apr 2025 (1y) | |
| Jason Hotzler | Registered representative | Apr 2025 (1y) | ||
| Nelson Moore | Registered representative | CFP | Apr 2025 (1y) | |
| Vincent T Bonavita | Registered representative | Apr 2025 (1y) | ||
| Michell D Warren | Registered representative | Apr 2025 (1y) | ||
| Patrick Mc Laughlin | Registered representative | Apr 2025 (1y) | ||
| Simion Procopenco | Registered representative | Apr 2025 (1y) | ||
| Andrew Roger Sampson | Registered representative | Apr 2025 (1y) | ||
| Brian Clarke Gates | Registered representative | Apr 2025 (1y) | ||
| Candice Uzarowski | Registered representative | Apr 2025 (1y) | ||
| Christopher Lee Cox | Registered representative | Apr 2025 (1y) | ||
| David Kenneth Baer | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Jordan Malm | Registered representative | Apr 2025 (1y) | ||
| Robert Brennan Barlow | Registered representative | Apr 2025 (1y) | ||
| Thomas Q Tang | Registered representative | Apr 2025 (1y) | ||
| William Christopher Scales | Registered representative | Apr 2025 (1y) | ||
| Berenice Diaz | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Cheyenne Janel Gonzalez | Registered representative | Apr 2025 (1y) | ||
| Esber Aboud | Registered representative | Apr 2025 (1y) | ||
| Franklin T Babylon | Registered representative | Apr 2025 (1y) | ||
| John Lawrence Davis | Registered representative | Apr 2025 (1y) | ||
| Kathy Lynne Colby | Registered representative | Apr 2025 (1y) | ||
| Robert Henry Cathcart | Registered representative | Apr 2025 (1y) | ||
| Chad David Lee | Registered representative | Apr 2025 (1y) | ||
| Cole Jaeger | Registered representative | Apr 2025 (1y) | ||
| David Buono | Registered representative | Apr 2025 (1y) | ||
| Gregory Morris Block | Registered representative | CFP | Apr 2025 (1y) | |
| Heena D Dhruv | Registered representative | Apr 2025 (1y) | ||
| Jeremy Barrette | Registered representative | Apr 2025 (1y) | ||
| Patrick Francis Velasco | Registered representative | Apr 2025 (1y) | ||
| Raymond Catipon Abracosa | Registered representative | Apr 2025 (1y) | ||
| Ross Anthony Schmelzer | Registered representative | Apr 2025 (1y) | ||
| Bradley Todd Waznik | Registered representative | Apr 2025 (1y) | ||
| Brock Gordon Bennion | Registered representative | Apr 2025 (1y) | ||
| Coltin David Brehm | Registered representative | Apr 2025 (1y) | ||
| Dean Slade Bennion | Registered representative | Apr 2025 (1y) | ||
| Duane L Dollar | Registered representative | Apr 2025 (1y) | ||
| Gerald Eric Hagman | Registered representative | Apr 2025 (1y) | ||
| John Robert Heike | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Jonathan David Storing | Registered representative | Apr 2025 (1y) | ||
| Jose Ovidio Perez | Registered representative | Apr 2025 (1y) | ||
| Joseph Dudley Kritchell | Registered representative | Apr 2025 (1y) | ||
| Koorosh Zartoshty | Registered representative | Apr 2025 (1y) | ||
| Kyle Henry Thorpe | Registered representative | Apr 2025 (1y) | ||
| Kyle Sahli | Registered representative | Apr 2025 (1y) | ||
| Mason James Fuchs | Registered representative | Apr 2025 (1y) | ||
| Noreen Sienes Miyake Char | Registered representative | Apr 2025 (1y) | ||
| Phillip J Owens | Registered representative | Apr 2025 (1y) | ||
| Robert Alan Corona | Registered representative | Apr 2025 (1y) | ||
| Tyler John Schroyer | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Daryl Patrick Murphy | Registered representative | Apr 2025 (1y) | ||
| Erin Carrie Johnson | Registered representative | CFP | Apr 2025 (1y) | |
| Gilma Veronica Hernandez | Registered representative | Apr 2025 (1y) | ||
| Jason Stone | Registered representative | Apr 2025 (1y) | ||
| John Rae Sims | Registered representative | CFP | Apr 2025 (1y) | |
| Kyle Anthony George | Registered representative | CFP | Apr 2025 (1y) | |
| Lexi Taylor Salas | Registered representative | Apr 2025 (1y) | ||
| Maryellen Nicole Mc Carthy | Registered representative | Apr 2025 (1y) | ||
| Nicholas John Andresen | Registered representative | CFP | Apr 2025 (1y) | |
| Randall Eugene Harrison | Registered representative | Apr 2025 (1y) | ||
| Steven David Duker | Registered representative | Apr 2025 (1y) | ||
| Shaun Timothy Seales | Registered representative | Apr 2025 (1y) | ||
| Vijay Kumar Khetarpal | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Adam Lee Gilmore | Registered representative | May 2025 (1y) | ||
| Alexandra Wathen Greathouse | Registered representative | May 2025 (1y) | ||
| Allen Richard Dearing | Registered representative | May 2025 (1y) | ||
| Amy Steinert | Registered representative | May 2025 (1y) | ||
| Andrew Robert Wingerd | Registered representative | CFP | May 2025 (1y) | |
| Andrew Theophile Marrach | Registered representative | May 2025 (1y) | ||
| Aaron Polun | Registered representative | May 2025 (1y) | ||
| Adrianne M Smith | Registered representative | CFP | May 2025 (1y) | |
| Alan Levine | Registered representative | May 2025 (1y) | ||
| Alejandro Doble | Registered representative | May 2025 (1y) | ||
| Allen Barry Myrowitz | Registered representative | May 2025 (1y) | ||
| Allie Renee King | Registered representative | May 2025 (1y) | ||
| Amanda Meyer Joiner | Registered representative | May 2025 (1y) | ||
| Amber Marie Emmerson | Registered representative | May 2025 (1y) | ||
| Andrew J. Mika | Registered representative | CFP | May 2025 (1y) | |
| Antar Jackson | Registered representative | May 2025 (1y) | ||
| Bassim Nabil Michael | Registered representative | May 2025 (1y) | ||
| Braden Taylor | Registered representative | May 2025 (1y) | ||
| Brandon Scott Postma | Registered representative | May 2025 (1y) | ||
| Brendan S Dwyer | Registered representative | May 2025 (1y) | ||
| Brett R Langer | Registered representative | May 2025 (1y) | ||
| Barry David Barton Silver | Registered representative | May 2025 (1y) | ||
| Barry Howard Cantor | Registered representative | May 2025 (1y) | ||
| Beth Anne Linton | Registered representative | May 2025 (1y) | ||
| Billy Wayne Shank | Registered representative | May 2025 (1y) | ||
| Brian Matthew Osborn | Registered representative | May 2025 (1y) | ||
| Brian Mercer Bailey | Registered representative | CFP | May 2025 (1y) | |
| Bruce C. Branstine | Registered representative | CFP | May 2025 (1y) | |
| Charles Kevin Bankerd | Registered representative | May 2025 (1y) | ||
| Charles Kevin Jones | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Christopher Michael Wright | Registered representative | May 2025 (1y) | ||
| Christopher Ryan Leggett | Registered representative | May 2025 (1y) | ||
| Christopher Scott Tool | Registered representative | May 2025 (1y) | ||
| Curtis E Hughes | Registered representative | May 2025 (1y) | ||
| Carl Robert Morreale | Registered representative | May 2025 (1y) | ||
| Carol Leslie Fromhagen | Registered representative | May 2025 (1y) | ||
| Charles Akivah Lewandowski | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| Charles Christopher Matthews | Registered representative | May 2025 (1y) | ||
| Charles Norman Peiffer | Registered representative | May 2025 (1y) | ||
| Chere Lynn High Robles | Registered representative | May 2025 (1y) | ||
| Chris John Meighan | Registered representative | May 2025 (1y) | ||
| Christian Thomas Locher | Registered representative | CFP | May 2025 (1y) | |
| Christopher Lawrence Zellman | Registered representative | CFP | May 2025 (1y) | |
| Christopher Louis Huber | Registered representative | May 2025 (1y) | ||
| Christopher Mc George Dear | Registered representative | May 2025 (1y) | ||
| Claude Saunders Romano | Registered representative | May 2025 (1y) | ||
| Clifton Howard Mc Whorter | Registered representative | May 2025 (1y) | ||
| Colin P. Dwyer | Registered representative | May 2025 (1y) | ||
| Daniel Leo Gordon | Registered representative | May 2025 (1y) | ||
| David Alexander Tesitor | Registered representative | May 2025 (1y) | ||
| David Michael Robertson | Registered representative | May 2025 (1y) | ||
| Derrick Scott Hamm | Registered representative | May 2025 (1y) | ||
| Dexter Phillips | Registered representative | May 2025 (1y) | ||
| Dale Kelly Teal | Registered representative | May 2025 (1y) | ||
| Daniel Norman Dowd | Registered representative | May 2025 (1y) | ||
| Daniel Searles | Registered representative | CFP | May 2025 (1y) | |
| Daniel Steven Wheeler | Registered representative | May 2025 (1y) | ||
| David Georg Grabner | Registered representative | May 2025 (1y) | ||
| David Joshua Sinclair Bergman | Registered representative | May 2025 (1y) | ||
| David Lyn Sigler | Registered representative | May 2025 (1y) | ||
| Dean Arthur Strom | Registered representative | May 2025 (1y) | ||
| Diane Jean Herring | Registered representative | May 2025 (1y) | ||
| Donald Patrick Hayden | Registered representative | May 2025 (1y) | ||
| Dustin Weaver | Registered representative | CFP | May 2025 (1y) | |
| Dwayne Martin Dills | Registered representative | CFP | May 2025 (1y) | |
| Edward Mariano Pero | Registered representative | May 2025 (1y) | ||
| Erik Michael Johnson | Registered representative | CFP | May 2025 (1y) | |
| Erik Michael Lindgren | Registered representative | CFP | May 2025 (1y) | |
| Eddy Han Tak Shum | Registered representative | CFP Personal Financial Specialist | May 2025 (1y) | |
| Eric Bruce King | Registered representative | May 2025 (1y) | ||
| Eric Joseph Mueller | Registered representative | May 2025 (1y) | ||
| Eugene Alan Cheng | Registered representative | May 2025 (1y) | ||
| Eugene Joseph Garner | Registered representative | May 2025 (1y) | ||
| Frank Edward Lee | Registered representative | May 2025 (1y) | ||
| Frederick Arthur Thoms | Registered representative | May 2025 (1y) | ||
| Gerald Wayne Parent | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Glenn Frank Wilkinson | Registered representative | May 2025 (1y) | ||
| Glenn Roy Gardner | Registered representative | May 2025 (1y) | ||
| Grant Robert Gilmore | Registered representative | May 2025 (1y) | ||
| George Glenn Fuscsick | Registered representative | May 2025 (1y) | ||
| Gregg William Hoffman | Registered representative | May 2025 (1y) | ||
| Gregory Allen Phillips | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Harrison Cole Langer | Registered representative | May 2025 (1y) | ||
| Howard Bart Raff | Registered representative | May 2025 (1y) | ||
| Jack W Wingerd | Registered representative | CFP | May 2025 (1y) | |
| James Anthony Johnson | Registered representative | May 2025 (1y) | ||
| James Patrick Murray | Registered representative | CFP | May 2025 (1y) | |
| Jeffrey Osburn Mansur | Registered representative | CFP | May 2025 (1y) | |
| Jeffrey William Hilt | Registered representative | May 2025 (1y) | ||
| Jerry Allen Carson | Registered representative | May 2025 (1y) | ||
| John Anson Calhoun | Registered representative | May 2025 (1y) | ||
| John Lavern Lymath | Registered representative | May 2025 (1y) | ||
| Jon Mitchell Hymer | Registered representative | May 2025 (1y) | ||
| Joseph Michael Goll | Registered representative | May 2025 (1y) | ||
| Justin Thomas Leland | Registered representative | CFP | May 2025 (1y) | |
| Jacquelyn Michele Baker | Registered representative | May 2025 (1y) | ||
| Jake Matthew Packham | Registered representative | May 2025 (1y) | ||
| James Andrew Mc Elroy | Registered representative | May 2025 (1y) | ||
| James Deligianis | Registered representative | May 2025 (1y) | ||
| James Evan Liaw | Registered representative | May 2025 (1y) | ||
| James Warren Baker | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| James Wesley Thompson | Registered representative | May 2025 (1y) | ||
| Jason Michael Lilli | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Jay Allen Mitzner | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Jeff Wen Sheng Lin | Registered representative | May 2025 (1y) | ||
| Jeffrey Thomas Kellett | Registered representative | May 2025 (1y) | ||
| Jennifer Leigh Hamilton | Registered representative | May 2025 (1y) | ||
| Jennifer Penick Beason | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Jeremy Garrett King | Registered representative | May 2025 (1y) | ||
| John Chrisman Robertson | Registered representative | May 2025 (1y) | ||
| John Francis Stohlman | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| John Gerard Sobiech | Registered representative | May 2025 (1y) | ||
| John Michael Rusciolelli | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| John Robert Murray | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| John William Lerew | Registered representative | CFP | May 2025 (1y) | |
| Jon William Hubbert | Registered representative | May 2025 (1y) | ||
| Jonathan Daniel Speight | Registered representative | May 2025 (1y) | ||
| Joseph Aloysius Dunn | Registered representative | May 2025 (1y) | ||
| Joseph Anthony Schilz | Registered representative | May 2025 (1y) | ||
| Joseph Bruce Kack | Registered representative | May 2025 (1y) | ||
| Joseph Garner | Registered representative | May 2025 (1y) | ||
| Joseph Julius Bublewicz | Registered representative | May 2025 (1y) | ||
| Joseph Mc Donald Oliver | Registered representative | May 2025 (1y) | ||
| Joseph Richard Centra | Registered representative | May 2025 (1y) | ||
| Joseph Ronald Markiewicz | Registered representative | May 2025 (1y) | ||
| Joseph Vincent Capra | Registered representative | May 2025 (1y) | ||
| Joseph Vincent Vinciguerra | Registered representative | CFA | May 2025 (1y) | |
| Joshua Allen Brunner | Registered representative | CFP | May 2025 (1y) | |
| Joshua Thomas Chamblin | Registered representative | May 2025 (1y) | ||
| Joshua Thomas Nett | Registered representative | May 2025 (1y) | ||
| Justin H Cook | Registered representative | May 2025 (1y) | ||
| Kenneth Shedleski | Registered representative | May 2025 (1y) | ||
| Kris Michael Pelster | Registered representative | May 2025 (1y) | ||
| Kristina Frenier Connell | Registered representative | CFP | May 2025 (1y) | |
| Kyle Jordan Gardner | Registered representative | May 2025 (1y) | ||
| Karen Swartz Osborn | Registered representative | May 2025 (1y) | ||
| Kathleen Ann Kennedy | Registered representative | May 2025 (1y) | ||
| Keith Michael Manning | Registered representative | Personal Financial Specialist | May 2025 (1y) | |
| Kenneth Thomas Speight | Registered representative | May 2025 (1y) | ||
| Kevin Devon Olison | Registered representative | May 2025 (1y) | ||
| Kevin F. Bultman | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| Kevin J Cleary | Registered representative | May 2025 (1y) | ||
| Kevin Joseph Conway | Registered representative | May 2025 (1y) | ||
| Khrista Mc Whorter | Registered representative | May 2025 (1y) | ||
| Kimberly Anne Garski | Registered representative | May 2025 (1y) | ||
| Kirk Driver Miller | Registered representative | May 2025 (1y) | ||
| Leo Lamond Syphus | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| Leslie Robert Rosenblatt | Registered representative | May 2025 (1y) | ||
| Lance Anthony Flannery | Registered representative | May 2025 (1y) | ||
| Larry E. Leese | Registered representative | May 2025 (1y) | ||
| Larry Takahashi | Registered representative | CFP | May 2025 (1y) | |
| Laura Searles Stohlman | Registered representative | CFP | May 2025 (1y) | |
| Lawrence Michael Gordon | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Leanne Taylor Lakes | Registered representative | May 2025 (1y) | ||
| Long Tan | Registered representative | May 2025 (1y) | ||
| Louis S Nemeth | Registered representative | May 2025 (1y) | ||
| Mark Franklin Graber | Registered representative | May 2025 (1y) | ||
| Mark Patrick Heck | Registered representative | May 2025 (1y) | ||
| Mark Steven Flannery | Registered representative | CFP | May 2025 (1y) | |
| Mary Lillian Burrows | Registered representative | May 2025 (1y) | ||
| Michael Eugene Troxler | Registered representative | CFP | May 2025 (1y) | |
| Michael Kenneth Weber | Registered representative | May 2025 (1y) | ||
| Mark Allan Edlund | Registered representative | CFP | May 2025 (1y) | |
| Mark Daniel Searles | Registered representative | May 2025 (1y) | ||
| Mark Gus Mc Kimmins | Registered representative | May 2025 (1y) | ||
| Mark Hal Kamins | Registered representative | Personal Financial Specialist | May 2025 (1y) | |
| Mark Smith | Registered representative | May 2025 (1y) | ||
| Mary Teresa Tacka | Registered representative | May 2025 (1y) | ||
| Matthew Michael Meyers | Registered representative | May 2025 (1y) | ||
| Matthew Ray Haile | Registered representative | May 2025 (1y) | ||
| Max Hutsell | Registered representative | May 2025 (1y) | ||
| Max Neil Highstein | Registered representative | May 2025 (1y) | ||
| Melissa Marie Smith | Registered representative | May 2025 (1y) | ||
| Michael Allen Dearing | Registered representative | May 2025 (1y) | ||
| Michael Allen Powell | Registered representative | May 2025 (1y) | ||
| Michael Joseph O'malley | Registered representative | May 2025 (1y) | ||
| Michael Mac Lean | Registered representative | CFP | May 2025 (1y) | |
| Michael Steven Conway | Registered representative | May 2025 (1y) | ||
| Michael Stuart Hillgen Santa | Registered representative | May 2025 (1y) | ||
| Nicholas Dean Johnson | Registered representative | May 2025 (1y) | ||
| Pamela G Miller Gonzales | Registered representative | May 2025 (1y) | ||
| Patrick L. Gibbons | Registered representative | May 2025 (1y) | ||
| Patrick T Duffy | Registered representative | May 2025 (1y) | ||
| Parker Matthew Langer | Registered representative | May 2025 (1y) | ||
| Patricia Gugliotti | Registered representative | CFP | May 2025 (1y) | |
| Patrick Joseph Crean | Registered representative | May 2025 (1y) | ||
| Patrick Michael Garbinsky | Registered representative | CFP | May 2025 (1y) | |
| Patrick Michael Mullins | Registered representative | May 2025 (1y) | ||
| Paul Anthony Costadina | Registered representative | May 2025 (1y) | ||
| Paul Henry Couture | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Peter Barron | Registered representative | May 2025 (1y) | ||
| Philip Jay Meyers | Registered representative | May 2025 (1y) | ||
| Raleigh Edward Kraft | Registered representative | May 2025 (1y) | ||
| Rene Saul Licon | Registered representative | CFP | May 2025 (1y) | |
| Reyn Seisho Wicklund | Registered representative | May 2025 (1y) | ||
| Richard D Gottlieb | Registered representative | May 2025 (1y) | ||
| Rick Alan Meiss | Registered representative | May 2025 (1y) | ||
| Robert Leo Davis | Registered representative | May 2025 (1y) | ||
| Robert Livingston Mead | Registered representative | May 2025 (1y) | ||
| Robert Paul Teofilo | Registered representative | May 2025 (1y) | ||
| Robert Terence Tinkler | Registered representative | CFP | May 2025 (1y) | |
| Ronald J Rubin | Registered representative | CFP | May 2025 (1y) | |
| Ruth Anne Sliviak | Registered representative | May 2025 (1y) | ||
| Ryan P Mcgonigal | Registered representative | May 2025 (1y) | ||
| Randy Allen Lakes | Registered representative | May 2025 (1y) | ||
| Raymond Robert Patsy | Registered representative | CFP | May 2025 (1y) | |
| Reena Oettinger | Registered representative | May 2025 (1y) | ||
| Richard Allen Casciaro | Registered representative | May 2025 (1y) | ||
| Richard Anthony Pencek | Registered representative | CFP | May 2025 (1y) | |
| Richard Horace Hoffman | Registered representative | May 2025 (1y) | ||
| Robert Alan Walker | Registered representative | May 2025 (1y) | ||
| Robert Fay Cruise | Registered representative | May 2025 (1y) | ||
| Robert James Tugend | Registered representative | CFP | May 2025 (1y) | |
| Robert Joseph Brewer | Registered representative | May 2025 (1y) | ||
| Robert Laurence Kunde | Registered representative | May 2025 (1y) | ||
| Robert Lewis Baker | Registered representative | May 2025 (1y) | ||
| Robert William Stankowski | Registered representative | May 2025 (1y) | ||
| Rodney Kirkner | Registered representative | May 2025 (1y) | ||
| Rolf Mendrick Winch | Registered representative | May 2025 (1y) | ||
| Rosalind M Frazier | Registered representative | May 2025 (1y) | ||
| Russell Louis Garner | Registered representative | May 2025 (1y) | ||
| Ryan Dunn | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Sameer Yashwant Phadke | Registered representative | May 2025 (1y) | ||
| Scott Hood Geisbert | Registered representative | CFP | May 2025 (1y) | |
| Scott Lawrence Clark | Registered representative | CFP | May 2025 (1y) | |
| Scott Paul Jarnot | Registered representative | May 2025 (1y) | ||
| Seth Hammer | Registered representative | May 2025 (1y) | ||
| Sherod Bailey Waite | Registered representative | May 2025 (1y) | ||
| Sheryl Roselyn Johnson | Registered representative | May 2025 (1y) | ||
| Soonhee Kim Cho | Registered representative | May 2025 (1y) | ||
| Steven Leroy Judd | Registered representative | May 2025 (1y) | ||
| Samuel De La Cruz | Registered representative | May 2025 (1y) | ||
| Sean L Cable | Registered representative | May 2025 (1y) | ||
| Seth E. Rohrbaugh | Registered representative | May 2025 (1y) | ||
| Seth Jarrett Meyers | Registered representative | May 2025 (1y) | ||
| Seth Perry | Registered representative | May 2025 (1y) | ||
| Shelly Ann Williams | Registered representative | CFP | May 2025 (1y) | |
| Stephanie H. Shum | Registered representative | May 2025 (1y) | ||
| Steve Howard Orr | Registered representative | May 2025 (1y) | ||
| Steven Eugene Opdahl | Registered representative | Personal Financial Specialist | May 2025 (1y) | |
| Steven John Treberg | Registered representative | May 2025 (1y) | ||
| Steven Lee Barnes | Registered representative | CFP | May 2025 (1y) | |
| Steven Paul Dannenmann | Registered representative | May 2025 (1y) | ||
| Steven Russell Bragg | Registered representative | May 2025 (1y) | ||
| Thomas James Kearn | Registered representative | May 2025 (1y) | ||
| Timothy Joseph Glennon | Registered representative | May 2025 (1y) | ||
| Terry Michael Reinhart | Registered representative | May 2025 (1y) | ||
| Terry Wayne Stanfill | Registered representative | May 2025 (1y) | ||
| Thomas Charles Simonek | Registered representative | May 2025 (1y) | ||
| Thomas Daniel Searles | Registered representative | CFP | May 2025 (1y) | |
| Thomas Patrick Clinton | Registered representative | May 2025 (1y) | ||
| Thomas Raymond Mc Laughlin | Registered representative | May 2025 (1y) | ||
| Thomas William Headlee | Registered representative | May 2025 (1y) | ||
| Tiffany Laura Volpe | Registered representative | May 2025 (1y) | ||
| Timothy Carl Stelling | Registered representative | May 2025 (1y) | ||
| Tracy Lee Kroggel Francis | Registered representative | May 2025 (1y) | ||
| Tracy Steven Bush | Registered representative | May 2025 (1y) | ||
| Trinity Elaine Grall | Registered representative | May 2025 (1y) | ||
| Tyler Dg Grabner | Registered representative | May 2025 (1y) | ||
| Tyler Lawrence Baker | Registered representative | May 2025 (1y) | ||
| William Martin Perry | Registered representative | May 2025 (1y) | ||
| William David Gullborg | Registered representative | May 2025 (1y) | ||
| William Dennis Smith | Registered representative | May 2025 (1y) | ||
| William Hoover | Registered representative | May 2025 (1y) | ||
| William Joseph Fahey | Registered representative | May 2025 (1y) | ||
| William Keith Colvett | Registered representative | CFP | May 2025 (1y) | |
| William Matthew Lafond | Registered representative | CFP | May 2025 (1y) | |
| William Paul Morgan | Registered representative | May 2025 (1y) | ||
| Yukari Tracy Taguchi | Registered representative | May 2025 (1y) | ||
| Zachary Engraff | Registered representative | May 2025 (1y) | ||
| Zane C. Akin | Registered representative | May 2025 (1y) | ||
| Beverly Biles Cox | Registered representative | CFP | May 2025 (1y) | |
| Brian T Bovee | Registered representative | May 2025 (1y) | ||
| J Ill Fulton | Registered representative | May 2025 (1y) | ||
| Joseph David Westrup | Registered representative | CFP | May 2025 (1y) | |
| Jordan Raynor | Registered representative | May 2025 (1y) | ||
| Joshua Walters | Registered representative | CFP | May 2025 (1y) | |
| Kalen Ryan Dorson | Registered representative | May 2025 (1y) | ||
| Mark Harold Wingerd | Registered representative | CFP | May 2025 (1y) | |
| March Joselle Doolittle | Registered representative | May 2025 (1y) | ||
| Philip Richard Siegel | Registered representative | CFP | May 2025 (1y) | |
| Stephanie R Anderson | Registered representative | May 2025 (1y) | ||
| Tyler Landon Williams | Registered representative | May 2025 (1y) | ||
| Alexander Guy Neri | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| Craig Stephen Freeman | Registered representative | May 2025 (1y) | ||
| Christopher Ford Wendland | Registered representative | May 2025 (1y) | ||
| David Connor | Registered representative | May 2025 (1y) | ||
| Joel Matthew Risenhoover | Registered representative | May 2025 (1y) | ||
| James E. White | Registered representative | May 2025 (1y) | ||
| James Penn Van Putten Vink | Registered representative | May 2025 (1y) | ||
| John Angel Cantu | Registered representative | May 2025 (1y) | ||
| Michael E Fosson | Registered representative | May 2025 (1y) | ||
| Michael Stephen Wallman | Registered representative | May 2025 (1y) | ||
| Rainier Anthony Radoc | Registered representative | May 2025 (1y) | ||
| Ryan David Gordon | Registered representative | CFP | May 2025 (1y) | |
| Rachel A St. Andrews | Registered representative | May 2025 (1y) | ||
| Robert Willis Lester | Registered representative | May 2025 (1y) | ||
| Ryan Christopher Morrison | Registered representative | May 2025 (1y) | ||
| Samuel Joong Kim | Registered representative | May 2025 (1y) | ||
| Scott Elliott Mann | Registered representative | May 2025 (1y) | ||
| Sean Kalanimoku Isao Kauhini | Registered representative | May 2025 (1y) | ||
| Travis Garrett Wichman | Registered representative | May 2025 (1y) | ||
| Thomas Bechtel | Registered representative | May 2025 (1y) | ||
| Charles Christopher Maxwell | Registered representative | May 2025 (1y) | ||
| David Edwin Nicewarner | Registered representative | May 2025 (1y) | ||
| Janeen Dulcinea Ingram | Registered representative | May 2025 (1y) | ||
| John Vinson Hogin | Registered representative | May 2025 (1y) | ||
| Pamela Eldridge | Registered representative | May 2025 (1y) | ||
| Scott William Coolbaugh | Registered representative | May 2025 (1y) | ||
| Stephan Rogers | Registered representative | May 2025 (1y) | ||
| Timothy William Sackett | Registered representative | May 2025 (1y) | ||
| Austin Boyd Stuhr | Registered representative | May 2025 (1y) | ||
| Joann Spera | Registered representative | May 2025 (1y) | ||
| John Mark Doerfer | Registered representative | May 2025 (1y) | ||
| Mai Thi Park | Registered representative | May 2025 (1y) | ||
| Mitchell Paul Pierson | Registered representative | May 2025 (1y) | ||
| Nicholas Pierson Valento | Registered representative | May 2025 (1y) | ||
| Pukar Joshi | Registered representative | May 2025 (1y) | ||
| Paige Alexandra Gonzalez | Registered representative | May 2025 (1y) | ||
| Pierce Anderson | Registered representative | CFP | May 2025 (1y) | |
| Timothy James Valento | Registered representative | CFP | May 2025 (1y) | |
| Trevor Michael Meier | Registered representative | May 2025 (1y) | ||
| Arthur Schmidt Felix | Registered representative | May 2025 (1y) | ||
| Christian Theodore Reuter | Registered representative | May 2025 (1y) | ||
| Dale A Schniederjan | Registered representative | May 2025 (1y) | ||
| Josh Jade Hanlin | Registered representative | May 2025 (1y) | ||
| Kimberly Marie Morel | Registered representative | May 2025 (1y) | ||
| Matthew Axas Xiong | Registered representative | May 2025 (1y) | ||
| Michael Paul Capeder | Registered representative | May 2025 (1y) | ||
| Nathan John Chapman | Registered representative | May 2025 (1y) | ||
| Preston Reed Stafford | Registered representative | May 2025 (1y) | ||
| Ronald David Albers | Registered representative | May 2025 (1y) | ||
| Roger Ciriello | Registered representative | May 2025 (1y) | ||
| Sarah Paige | Registered representative | May 2025 (1y) | ||
| Stephen Mc Guirk | Registered representative | May 2025 (1y) | ||
| Andres Felipe Sanchez | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Brett A Locker | Registered representative | May 2025 (1y) | ||
| Craig Joseph George | Registered representative | May 2025 (1y) | ||
| Richard A. Everett | Registered representative | May 2025 (1y) | ||
| Benjamin Adam Langdon | Registered representative | May 2025 (1y) | ||
| Gina Marie Katrinak | Registered representative | May 2025 (1y) | ||
| James Edward Miller | Registered representative | May 2025 (1y) | ||
| James Sidney Herzikoff | Registered representative | May 2025 (1y) | ||
| William Robert Pagano | Registered representative | CFP | May 2025 (1y) | |
| Wesley Lenart | Registered representative | May 2025 (1y) | ||
| David Alexander Green | Registered representative | May 2025 (1y) | ||
| Gavin Joseph Gaines | Registered representative | May 2025 (1y) | ||
| Gabriela Brandt Rudeck | Registered representative | May 2025 (1y) | ||
| Garrett Fish | Registered representative | CFA | May 2025 (1y) | |
| Isaiah Marcel Hernandez | Registered representative | May 2025 (1y) | ||
| Taylor Mark Jeziorski | Registered representative | CFA | May 2025 (1y) | |
| Charles Michael Narmi | Registered representative | May 2025 (1y) | ||
| Charles Stephon Coleman | Registered representative | May 2025 (1y) | ||
| Derek Michael Histen | Registered representative | May 2025 (1y) | ||
| Daniel Paul Contreras | Registered representative | May 2025 (1y) | ||
| Gary John Barney | Registered representative | May 2025 (1y) | ||
| Jonathan David Wilkins | Registered representative | CFP | May 2025 (1y) | |
| Martin Jay Mulligan | Registered representative | CFP | May 2025 (1y) | |
| Michaela Kowatch | Registered representative | May 2025 (1y) | ||
| Scott Robert Greenlee | Registered representative | May 2025 (1y) | ||
| Theresa Marie Rynaski | Registered representative | CFP | May 2025 (1y) | |
| Aaron Bitran | Registered representative | May 2025 (1y) | ||
| Aaron J Haack | Registered representative | May 2025 (1y) | ||
| Abigail Davis | Registered representative | May 2025 (1y) | ||
| Adam Louis Nieto | Registered representative | May 2025 (1y) | ||
| Adelbert Francis Duffy | Registered representative | May 2025 (1y) | ||
| Adrian Albert Hedwig | Registered representative | May 2025 (1y) | ||
| Aimee Christine Marden | Registered representative | May 2025 (1y) | ||
| Alan Steven Witt | Registered representative | May 2025 (1y) | ||
| Albert Duane Haskins | Registered representative | May 2025 (1y) | ||
| Alexander Paul Chin | Registered representative | May 2025 (1y) | ||
| Ali Halilovic | Registered representative | May 2025 (1y) | ||
| Aman Ullah Awan | Registered representative | CFP | May 2025 (1y) | |
| Amanda Nicole Nowinski | Registered representative | May 2025 (1y) | ||
| Andrew Lewyn Snider | Registered representative | May 2025 (1y) | ||
| Andrew Michael Lawrence | Registered representative | May 2025 (1y) | ||
| Andrew Vito Maniaci | Registered representative | May 2025 (1y) | ||
| Andrey Letushko | Registered representative | May 2025 (1y) | ||
| Andy Patrick Murphy | Registered representative | May 2025 (1y) | ||
| Anthony John Coletti | Registered representative | May 2025 (1y) | ||
| Alexander S Brown | Registered representative | May 2025 (1y) | ||
| Alfonzo Credit | Registered representative | May 2025 (1y) | ||
| Amanda Sue Van Schaik | Registered representative | May 2025 (1y) | ||
| An Do | Registered representative | May 2025 (1y) | ||
| Andrew Covic | Registered representative | May 2025 (1y) | ||
| Andrew Hackney | Registered representative | May 2025 (1y) | ||
| Andrew Ryan Kernich | Registered representative | May 2025 (1y) | ||
| Ann J Wilson | Registered representative | May 2025 (1y) | ||
| Anna Bowers | Registered representative | CFP | May 2025 (1y) | |
| Anthony Capitano | Registered representative | May 2025 (1y) | ||
| Anthony Guy Diffenbaugh | Registered representative | May 2025 (1y) | ||
| Anthony Lee Allbright | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| Ashlee Marie Childress | Registered representative | May 2025 (1y) | ||
| Benjamin Lloyd Kelley | Registered representative | May 2025 (1y) | ||
| Benjamin Preston Ivey | Registered representative | May 2025 (1y) | ||
| Benton John Miller | Registered representative | May 2025 (1y) | ||
| Bradford S Rowe | Registered representative | May 2025 (1y) | ||
| Bradley D Schwab | Registered representative | May 2025 (1y) | ||
| Bradley Steven Sova | Registered representative | May 2025 (1y) | ||
| Brian D Hoyt | Registered representative | CFP Personal Financial Specialist | May 2025 (1y) | |
| Brian D. Waak | Registered representative | May 2025 (1y) | ||
| Brian Edward Mell | Registered representative | CFP | May 2025 (1y) | |
| Bryan George Quinn | Registered representative | CFP | May 2025 (1y) | |
| Bryce Cooper | Registered representative | May 2025 (1y) | ||
| Byung Do Chong | Registered representative | May 2025 (1y) | ||
| Benn J Smith | Registered representative | May 2025 (1y) | ||
| Blake Carlos Smith | Registered representative | May 2025 (1y) | ||
| Brandon Baxter | Registered representative | May 2025 (1y) | ||
| Brandon Michael Mimas Weeks | Registered representative | May 2025 (1y) | ||
| Brenton Harting | Registered representative | May 2025 (1y) | ||
| Brian Allen Hiltner | Registered representative | May 2025 (1y) | ||
| Brian Joseph Wyzgowski | Registered representative | May 2025 (1y) | ||
| Brian Lee Elmer | Registered representative | May 2025 (1y) | ||
| Carla J Pollice | Registered representative | May 2025 (1y) | ||
| Carla Wickline Hooker | Registered representative | CFP | May 2025 (1y) | |
| Carlina Phan | Registered representative | May 2025 (1y) | ||
| Catherine Ann Bryant | Registered representative | May 2025 (1y) | ||
| Chad Eric Leon | Registered representative | May 2025 (1y) | ||
| Chris Alan Wible | Registered representative | CFP | May 2025 (1y) | |
| Christina Ranae Schwind | Registered representative | CFP | May 2025 (1y) | |
| Christopher Alan Clapinski | Registered representative | May 2025 (1y) | ||
| Christopher Albert Casale | Registered representative | May 2025 (1y) | ||
| Christopher James Gabrys | Registered representative | May 2025 (1y) | ||
| Christopher Joseph Urso | Registered representative | May 2025 (1y) | ||
| Colm F Bailey | Registered representative | May 2025 (1y) | ||
| Cordell Wistisen | Registered representative | May 2025 (1y) | ||
| Costas Angelo Grekis | Registered representative | May 2025 (1y) | ||
| Craig A Shipman | Registered representative | May 2025 (1y) | ||
| Craig Stephen Maytubby | Registered representative | May 2025 (1y) | ||
| Caleb Matthew Mc Farland | Registered representative | May 2025 (1y) | ||
| Cameron Gabriel Anderson | Registered representative | May 2025 (1y) | ||
| Charlis Fulton Wright | Registered representative | May 2025 (1y) | ||
| Christie B Severino | Registered representative | May 2025 (1y) | ||
| Christopher Alfredo Lee Pagan | Registered representative | May 2025 (1y) | ||
| Christopher Dean Thorpe | Registered representative | May 2025 (1y) | ||
| Christopher Thomas Knackstedt | Registered representative | May 2025 (1y) | ||
| Daniel Eugene Duran | Registered representative | May 2025 (1y) | ||
| Daniel Herrera | Registered representative | May 2025 (1y) | ||
| Daniel Patrick Bernabe | Registered representative | May 2025 (1y) | ||
| Darren Matt York | Registered representative | May 2025 (1y) | ||
| Darryl Joseph Hall | Registered representative | May 2025 (1y) | ||
| David Albert Weis | Registered representative | May 2025 (1y) | ||
| David Anthony Jabczenski | Registered representative | May 2025 (1y) | ||
| David Anthony Kanongataa | Registered representative | May 2025 (1y) | ||
| David B Panko | Registered representative | CFP | May 2025 (1y) | |
| David Flores | Registered representative | May 2025 (1y) | ||
| David Glenn Burk | Registered representative | May 2025 (1y) | ||
| David Harry Goldpenny | Registered representative | May 2025 (1y) | ||
| David Martin Juras | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| David Michael Earls | Registered representative | May 2025 (1y) | ||
| Denise Gail Adah | Registered representative | May 2025 (1y) | ||
| Derek E Sears | Registered representative | May 2025 (1y) | ||
| Diane Singleton Allen | Registered representative | May 2025 (1y) | ||
| Donna Panton | Registered representative | May 2025 (1y) | ||
| Douglas Gene Mayo | Registered representative | May 2025 (1y) | ||
| Douglas L Robertson | Registered representative | May 2025 (1y) | ||
| Dallas Camron Walker | Registered representative | May 2025 (1y) | ||
| Dan Wakin | Registered representative | May 2025 (1y) | ||
| Daniel Jesus Urquidi | Registered representative | May 2025 (1y) | ||
| David Darrell Hahn | Registered representative | May 2025 (1y) | ||
| David Reid Pringle | Registered representative | May 2025 (1y) | ||
| De Wayne Scott | Registered representative | May 2025 (1y) | ||
| Devan J Vellios | Registered representative | May 2025 (1y) | ||
| Dylan Jesse Ricord | Registered representative | May 2025 (1y) | ||
| Edward Dayan Rubin | Registered representative | May 2025 (1y) | ||
| Edward Ken Aoshima | Registered representative | May 2025 (1y) | ||
| Edward Montagna | Registered representative | May 2025 (1y) | ||
| Emilie Ann Dercks | Registered representative | May 2025 (1y) | ||
| Emily Renee Russell | Registered representative | CFP | May 2025 (1y) | |
| Erdal Elmas | Registered representative | May 2025 (1y) | ||
| Eric Matthew Mazemke | Registered representative | May 2025 (1y) | ||
| Erik Edward Waldron | Registered representative | May 2025 (1y) | ||
| Ethan J Triche | Registered representative | May 2025 (1y) | ||
| Eugene A Fistani | Registered representative | May 2025 (1y) | ||
| Evan James Badge | Registered representative | May 2025 (1y) | ||
| Evan Ray Timperley | Registered representative | May 2025 (1y) | ||
| Ewelina Anna Caplap | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Elaine Renee Cote | Registered representative | May 2025 (1y) | ||
| Emily Kate Mc Gill | Registered representative | May 2025 (1y) | ||
| Eric Pol | Registered representative | May 2025 (1y) | ||
| Esau Cruz Quiroz | Registered representative | May 2025 (1y) | ||
| Evan Newton | Registered representative | May 2025 (1y) | ||
| Felix Alberto Bartolomei | Registered representative | May 2025 (1y) | ||
| Frank Boyd Smith | Registered representative | May 2025 (1y) | ||
| Frank H Gerecht | Registered representative | May 2025 (1y) | ||
| Frank John Sberna | Registered representative | May 2025 (1y) | ||
| Franklin Levern Flower | Registered representative | May 2025 (1y) | ||
| Felix Gutierrez | Registered representative | May 2025 (1y) | ||
| Fitzhugh Lee Mc Murry | Registered representative | May 2025 (1y) | ||
| Francis Bartholomew Mazzilli | Registered representative | May 2025 (1y) | ||
| Gabriel Brian Brogden | Registered representative | CFP | May 2025 (1y) | |
| Gary Marshall Friedman | Registered representative | May 2025 (1y) | ||
| Gavin Clayton Chinn | Registered representative | May 2025 (1y) | ||
| Geoffrey Helming Palenik | Registered representative | CFP | May 2025 (1y) | |
| George H Elias | Registered representative | May 2025 (1y) | ||
| Gina Marie O'callaghan | Registered representative | May 2025 (1y) | ||
| Glen C Kellam | Registered representative | May 2025 (1y) | ||
| Gregory M. Flick | Registered representative | May 2025 (1y) | ||
| Gregory Robert Brown | Registered representative | May 2025 (1y) | ||
| Gilbert Gil | Registered representative | May 2025 (1y) | ||
| Gillian Stoddard | Registered representative | May 2025 (1y) | ||
| Glenn Andrew Gardiner | Registered representative | May 2025 (1y) | ||
| Guillermo Abraham Gonzalez | Registered representative | May 2025 (1y) | ||
| Hector Frank Siqueiros | Registered representative | May 2025 (1y) | ||
| Heiner P Kessler | Registered representative | May 2025 (1y) | ||
| Helmut Garcia | Registered representative | May 2025 (1y) | ||
| Hormoz Aliabadi Aslani | Registered representative | May 2025 (1y) | ||
| Howard Kenneth Wess | Registered representative | May 2025 (1y) | ||
| Haley Elaine Harmon | Registered representative | May 2025 (1y) | ||
| Haley Jane Owens | Registered representative | May 2025 (1y) | ||
| Hannah Jade Easterling | Registered representative | May 2025 (1y) | ||
| Heather C Record | Registered representative | May 2025 (1y) | ||
| Hunter Mires | Registered representative | May 2025 (1y) | ||
| Hunter Patrick Cox | Registered representative | May 2025 (1y) | ||
| Ira Anthony Fox | Registered representative | May 2025 (1y) | ||
| Ian Van Epperson | Registered representative | May 2025 (1y) | ||
| James David Armer | Registered representative | May 2025 (1y) | ||
| James J Giordano | Registered representative | May 2025 (1y) | ||
| James Joseph Dubina Iii | Registered representative | May 2025 (1y) | ||
| James Joseph Eiker | Registered representative | May 2025 (1y) | ||
| James Richard Lowe | Registered representative | May 2025 (1y) | ||
| James Thomas Carter | Registered representative | May 2025 (1y) | ||
| James Thomas Tait | Registered representative | May 2025 (1y) | ||
| Jason Dean Mlynarek | Registered representative | May 2025 (1y) | ||
| Jau Der Tsai | Registered representative | May 2025 (1y) | ||
| Jeffrey David Ferraris | Registered representative | May 2025 (1y) | ||
| Jeffrey James Clements | Registered representative | May 2025 (1y) | ||
| Jeffrey John Jock | Registered representative | CFP | May 2025 (1y) | |
| Jeffrey Martin Callan | Registered representative | CFP | May 2025 (1y) | |
| Jennifer Elaine Gibson | Registered representative | May 2025 (1y) | ||
| Jennifer L Sugden | Registered representative | May 2025 (1y) | ||
| Jeremy Andrew Cooley | Registered representative | May 2025 (1y) | ||
| Jessi Nicole Beach | Registered representative | May 2025 (1y) | ||
| Jessica Ann Keys | Registered representative | May 2025 (1y) | ||
| Jessica Lynn Leach | Registered representative | May 2025 (1y) | ||
| Jessica Suzanne Kouri | Registered representative | May 2025 (1y) | ||
| Jessmark Haruo Tanaka | Registered representative | May 2025 (1y) | ||
| Joe Neil Haywood | Registered representative | May 2025 (1y) | ||
| John Christopher Mathews | Registered representative | May 2025 (1y) | ||
| John Guenther Haller | Registered representative | May 2025 (1y) | ||
| John Leroy Friday | Registered representative | May 2025 (1y) | ||
| John Michael Sagraves | Registered representative | May 2025 (1y) | ||
| John Paul Fontanilla Borbon | Registered representative | May 2025 (1y) | ||
| Johnny Ray Medlin | Registered representative | May 2025 (1y) | ||
| Jon Carl Fox | Registered representative | May 2025 (1y) | ||
| Jonah Kaufman | Registered representative | May 2025 (1y) | ||
| Jonathon James Allen | Registered representative | May 2025 (1y) | ||
| Jorin Garrick Bale | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| Joseph Daniel Murphy | Registered representative | May 2025 (1y) | ||
| Joseph Earl Long | Registered representative | May 2025 (1y) | ||
| Joseph Robert Herron | Registered representative | May 2025 (1y) | ||
| Joshua Aaron Lusby | Registered representative | May 2025 (1y) | ||
| Joshua Andrew Stultz | Registered representative | May 2025 (1y) | ||
| Joshua Levi Ruggles | Registered representative | May 2025 (1y) | ||
| Joshua Tyler Welch | Registered representative | May 2025 (1y) | ||
| Julian Camilo Castiblanco Canon | Registered representative | May 2025 (1y) | ||
| Julianna Alicia Chance | Registered representative | May 2025 (1y) | ||
| Justin David Meservier | Registered representative | May 2025 (1y) | ||
| Justy Abran Armijo | Registered representative | May 2025 (1y) | ||
| Jackson Gray Johnson | Registered representative | May 2025 (1y) | ||
| Jacqueline Amy Horan | Registered representative | May 2025 (1y) | ||
| James Andrew Caldwell | Registered representative | May 2025 (1y) | ||
| James Lee | Registered representative | May 2025 (1y) | ||
| Jarrett Alexander Raney | Registered representative | May 2025 (1y) | ||
| Jeanette Marie Kowal | Registered representative | May 2025 (1y) | ||
| Jeffery William Zemp | Registered representative | CFP | May 2025 (1y) | |
| Jeffrey Alan Birk | Registered representative | May 2025 (1y) | ||
| Jeffrey Dennis | Registered representative | May 2025 (1y) | ||
| Jeffrey Duane Garrett | Registered representative | May 2025 (1y) | ||
| Jennifer Brunette | Registered representative | May 2025 (1y) | ||
| Jennifer Marie Busch | Registered representative | May 2025 (1y) | ||
| Jeremie James Moe | Registered representative | May 2025 (1y) | ||
| Jeremy Andrew Hawkins | Registered representative | May 2025 (1y) | ||
| Jesse Lugenbeel | Registered representative | CFP | May 2025 (1y) | |
| Jessica E Mc Garvey | Registered representative | May 2025 (1y) | ||
| Jessica Lynne Brokaw | Registered representative | May 2025 (1y) | ||
| Jessie Devine | Registered representative | May 2025 (1y) | ||
| Joanne Wagner | Registered representative | May 2025 (1y) | ||
| Jodie Nicole Baker | Registered representative | May 2025 (1y) | ||
| Joel Thomas Antush | Registered representative | May 2025 (1y) | ||
| John David Kerekanich | Registered representative | May 2025 (1y) | ||
| Jordan Leigh Delgado | Registered representative | May 2025 (1y) | ||
| Jordan Michael Palmer | Registered representative | May 2025 (1y) | ||
| Joshua Krakowiak | Registered representative | May 2025 (1y) | ||
| Juan Gabriel Rodriguez | Registered representative | May 2025 (1y) | ||
| Julienne Renee Clark | Registered representative | May 2025 (1y) | ||
| Kamron Paul Jensen | Registered representative | May 2025 (1y) | ||
| Karina Ludwika Kopaniecka | Registered representative | May 2025 (1y) | ||
| Kelly Allen Angell | Registered representative | May 2025 (1y) | ||
| Kelly Michael Rhine | Registered representative | May 2025 (1y) | ||
| Kenneth E Toops | Registered representative | May 2025 (1y) | ||
| Kenneth Robert Butler | Registered representative | May 2025 (1y) | ||
| Keri Rose Taylor | Registered representative | May 2025 (1y) | ||
| Kevin Brady Witmer | Registered representative | May 2025 (1y) | ||
| Kevin Jerome Kopec | Registered representative | May 2025 (1y) | ||
| Kevin Lee Cook | Registered representative | May 2025 (1y) | ||
| Kevin Walter Vogt | Registered representative | May 2025 (1y) | ||
| Kristi Dawn Chapman | Registered representative | May 2025 (1y) | ||
| Kyle Keith Mann | Registered representative | May 2025 (1y) | ||
| Kyle Snow Fitzgerald | Registered representative | May 2025 (1y) | ||
| Kaleb Baker | Registered representative | CFP | May 2025 (1y) | |
| Kameron David Anderson | Registered representative | May 2025 (1y) | ||
| Karl Steven Gerstenacker | Registered representative | May 2025 (1y) | ||
| Katelyn Diane Coutee | Registered representative | May 2025 (1y) | ||
| Keith Najjar | Registered representative | May 2025 (1y) | ||
| Kevin Charles Burns | Registered representative | May 2025 (1y) | ||
| Kimberly Marie Martin | Registered representative | May 2025 (1y) | ||
| Kyle Hernandez | Registered representative | May 2025 (1y) | ||
| Ladonna Lynn Beaumont | Registered representative | May 2025 (1y) | ||
| Lawrence Alex Nazarenus | Registered representative | May 2025 (1y) | ||
| Leonard Ludovico | Registered representative | May 2025 (1y) | ||
| Lisa Monique Drahman Wicks | Registered representative | May 2025 (1y) | ||
| Logan Scofield Lepe | Registered representative | May 2025 (1y) | ||
| Lopez Duane Davis | Registered representative | CFP | May 2025 (1y) | |
| Louis Gordon Petrucco | Registered representative | May 2025 (1y) | ||
| Luke A Neff | Registered representative | May 2025 (1y) | ||
| Lance D Jacobsen | Registered representative | May 2025 (1y) | ||
| Leif Stefone Tinsley | Registered representative | May 2025 (1y) | ||
| Lindsay Diane Burdett | Registered representative | May 2025 (1y) | ||
| Lolla R Long | Registered representative | May 2025 (1y) | ||
| Maninder Singh Budwal | Registered representative | May 2025 (1y) | ||
| Manuel Anthony Torrado | Registered representative | May 2025 (1y) | ||
| Marcin Filip Swiderski | Registered representative | CFP | May 2025 (1y) | |
| Marie Kline Smith | Registered representative | May 2025 (1y) | ||
| Mark Allen Fitzmorris | Registered representative | May 2025 (1y) | ||
| Mark Thomas Walton | Registered representative | May 2025 (1y) | ||
| Marlo Ann Burns | Registered representative | May 2025 (1y) | ||
| Marshall Harkless Dean | Registered representative | May 2025 (1y) | ||
| Mary Virginia Lamphere | Registered representative | May 2025 (1y) | ||
| Matthew B Williams | Registered representative | May 2025 (1y) | ||
| Matthew D. Russell | Registered representative | CFP | May 2025 (1y) | |
| Matthew David Birnbaum | Registered representative | May 2025 (1y) | ||
| Matthew E Harris | Registered representative | May 2025 (1y) | ||
| Matthew Edward Lee | Registered representative | May 2025 (1y) | ||
| Matthew Layne Mcfarland | Registered representative | May 2025 (1y) | ||
| Matthew Lucas Brown | Registered representative | May 2025 (1y) | ||
| Matthew Paul Pettit | Registered representative | May 2025 (1y) | ||
| Melissa Rae Martin | Registered representative | May 2025 (1y) | ||
| Merrill V. Stewart | Registered representative | May 2025 (1y) | ||
| Michael Anthony Pugliese | Registered representative | May 2025 (1y) | ||
| Michael Dean Smeenge | Registered representative | May 2025 (1y) | ||
| Michael J Galvin | Registered representative | May 2025 (1y) | ||
| Michael Kent Thompson | Registered representative | May 2025 (1y) | ||
| Michael Lin | Registered representative | May 2025 (1y) | ||
| Michael Pak | Registered representative | May 2025 (1y) | ||
| Michael Riley Alef | Registered representative | May 2025 (1y) | ||
| Michael Ross Garner | Registered representative | May 2025 (1y) | ||
| Michael Thomas Guthrie | Registered representative | CFP | May 2025 (1y) | |
| Michael Wayne Schwenker | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Michelle Lee Emerick | Registered representative | May 2025 (1y) | ||
| Michelle Rene Dilallo | Registered representative | May 2025 (1y) | ||
| Matthew John Schneider | Registered representative | May 2025 (1y) | ||
| Matthew Vermillion | Registered representative | May 2025 (1y) | ||
| Maxwell Senf | Registered representative | May 2025 (1y) | ||
| Mc Kensie Rebecca Badal | Registered representative | May 2025 (1y) | ||
| Michael J Kenyon | Registered representative | May 2025 (1y) | ||
| Michael John Duch | Registered representative | May 2025 (1y) | ||
| Mitchell L Stiltjes | Registered representative | May 2025 (1y) | ||
| Mohammed Safieddine Ayala | Registered representative | May 2025 (1y) | ||
| Monica Cardenas | Registered representative | May 2025 (1y) | ||
| Nancy M. Martinez | Registered representative | May 2025 (1y) | ||
| Nathaniel Bradley Stevens | Registered representative | May 2025 (1y) | ||
| Nevil Dhabhar | Registered representative | May 2025 (1y) | ||
| Nicholas Albert Manley | Registered representative | May 2025 (1y) | ||
| Nicholas Thad Schaaf | Registered representative | May 2025 (1y) | ||
| Nicole Renee Wright | Registered representative | May 2025 (1y) | ||
| Norman Matthew Yee | Registered representative | May 2025 (1y) | ||
| Nathan Cade Odette | Registered representative | May 2025 (1y) | ||
| Nathan Peters Mc Larty | Registered representative | May 2025 (1y) | ||
| Nicholas F Rupert | Registered representative | May 2025 (1y) | ||
| Nicholas Song | Registered representative | May 2025 (1y) | ||
| Omunique Owens | Registered representative | May 2025 (1y) | ||
| Patrick Charles Maher | Registered representative | CFP | May 2025 (1y) | |
| Patrick Lee Seal | Registered representative | CFP | May 2025 (1y) | |
| Pedro Cisneros | Registered representative | May 2025 (1y) | ||
| Peter Anthony Finch | Registered representative | May 2025 (1y) | ||
| Peter John Lynch | Registered representative | May 2025 (1y) | ||
| Peter Timothy Simpson | Registered representative | May 2025 (1y) | ||
| Patrick Infante | Registered representative | May 2025 (1y) | ||
| Patrick Steven O'clair | Registered representative | May 2025 (1y) | ||
| Paula Simon | Registered representative | May 2025 (1y) | ||
| Pedro Arellano | Registered representative | May 2025 (1y) | ||
| Peter Torrey Fredericks | Registered representative | May 2025 (1y) | ||
| Philip Rubia | Registered representative | May 2025 (1y) | ||
| Rachel Leah Ruiz | Registered representative | May 2025 (1y) | ||
| Ralph Curtis Miller | Registered representative | May 2025 (1y) | ||
| Richard Stuart Shively | Registered representative | May 2025 (1y) | ||
| Rick Berta | Registered representative | May 2025 (1y) | ||
| Rigoberto Chavez Gomez | Registered representative | May 2025 (1y) | ||
| Robert Bruce Scarfo | Registered representative | May 2025 (1y) | ||
| Robert Delmer Smith | Registered representative | May 2025 (1y) | ||
| Robert Michael Garcia | Registered representative | May 2025 (1y) | ||
| Robert Thomas Mcmahon | Registered representative | CFP | May 2025 (1y) | |
| Robert Walter Cribbs | Registered representative | CFP | May 2025 (1y) | |
| Robert William Bayliff | Registered representative | May 2025 (1y) | ||
| Rodney D. Nelson | Registered representative | May 2025 (1y) | ||
| Ronald Edwin Barnette | Registered representative | CFP | May 2025 (1y) | |
| Ronnie Shannon Shelby | Registered representative | May 2025 (1y) | ||
| Ross Vincent Gooding | Registered representative | May 2025 (1y) | ||
| Roy Charles Wagner | Registered representative | May 2025 (1y) | ||
| Russell Glenn Gochneaur | Registered representative | May 2025 (1y) | ||
| Ryan Bruce Lavielle | Registered representative | May 2025 (1y) | ||
| Ryan Christopher Traina | Registered representative | May 2025 (1y) | ||
| Ryan Greenwood | Registered representative | May 2025 (1y) | ||
| Ryan Jan Turner | Registered representative | May 2025 (1y) | ||
| Ryan Raymond Leblanc | Registered representative | May 2025 (1y) | ||
| Richard Stewart Dahl | Registered representative | May 2025 (1y) | ||
| Robert Lynn Hargrove | Registered representative | May 2025 (1y) | ||
| Ronald Leon Manning | Registered representative | May 2025 (1y) | ||
| Ryan Chapman | Registered representative | May 2025 (1y) | ||
| Ryan Major | Registered representative | May 2025 (1y) | ||
| Samuel Edward Critz | Registered representative | May 2025 (1y) | ||
| Sandra Gayle Thompkins | Registered representative | May 2025 (1y) | ||
| Sandra Marie Holguin | Registered representative | May 2025 (1y) | ||
| Scott Douglas Vermillion | Registered representative | May 2025 (1y) | ||
| Scott Robert Herrmann | Registered representative | CFP | May 2025 (1y) | |
| Sean Patrick Mcginness | Registered representative | May 2025 (1y) | ||
| Shannon Marlene Drobny | Registered representative | May 2025 (1y) | ||
| Shannon Renee Irwin | Registered representative | May 2025 (1y) | ||
| Sharmishtha Prasad | Registered representative | May 2025 (1y) | ||
| Sheldon Cooper Reed | Registered representative | May 2025 (1y) | ||
| Srinath Michael Desilva | Registered representative | May 2025 (1y) | ||
| Stephen Michael Becker | Registered representative | May 2025 (1y) | ||
| Steven Joe Harrell | Registered representative | May 2025 (1y) | ||
| Samuel Bogaczyk | Registered representative | May 2025 (1y) | ||
| Samuel Einzig | Registered representative | May 2025 (1y) | ||
| Samuel Joshua Hardin | Registered representative | May 2025 (1y) | ||
| Samuel Lee Taylor | Registered representative | May 2025 (1y) | ||
| Sandra Ann Mickelborough | Registered representative | May 2025 (1y) | ||
| Sandra Ivonne Gonzalez Vargas | Registered representative | May 2025 (1y) | ||
| Sebastien Tomescu | Registered representative | May 2025 (1y) | ||
| Sevada Zadooryan | Registered representative | May 2025 (1y) | ||
| Shanel Sarah Dubique | Registered representative | May 2025 (1y) | ||
| Shannon Eileen Mc Kee | Registered representative | May 2025 (1y) | ||
| Shannon Taylor | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Spencer N Taggart | Registered representative | May 2025 (1y) | ||
| Steven Michael Samori | Registered representative | May 2025 (1y) | ||
| Tamara Joyce Batten | Registered representative | May 2025 (1y) | ||
| Tanya Lee Duboue | Registered representative | May 2025 (1y) | ||
| Theodore Thomas Paprocki | Registered representative | May 2025 (1y) | ||
| Therese Illeene Misner | Registered representative | CFP | May 2025 (1y) | |
| Thoeurn Indy | Registered representative | May 2025 (1y) | ||
| Thomas James Howell | Registered representative | May 2025 (1y) | ||
| Tiffany W Lam Balfour | Registered representative | May 2025 (1y) | ||
| Timothy E Reichstein | Registered representative | May 2025 (1y) | ||
| Timothy Edward Bowles | Registered representative | May 2025 (1y) | ||
| Timothy Pester | Registered representative | May 2025 (1y) | ||
| Todd Ryan Blessing | Registered representative | May 2025 (1y) | ||
| Tracy Clinton Duncan | Registered representative | CFP | May 2025 (1y) | |
| Truong Quang Thieu | Registered representative | May 2025 (1y) | ||
| Teresa Marie Garrett | Registered representative | May 2025 (1y) | ||
| Tommy Donald De Graw | Registered representative | May 2025 (1y) | ||
| Travis L Clemons | Registered representative | May 2025 (1y) | ||
| Tristan Cyle Peterman | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| Troy David Strong | Registered representative | May 2025 (1y) | ||
| Tyler Hague | Registered representative | May 2025 (1y) | ||
| Tyler K Beasinger | Registered representative | May 2025 (1y) | ||
| Violetta Igorevna Propps | Registered representative | May 2025 (1y) | ||
| Vincent Michael Nerone | Registered representative | May 2025 (1y) | ||
| Wendi Kernels Drennon | Registered representative | May 2025 (1y) | ||
| William Edward Lusk | Registered representative | May 2025 (1y) | ||
| Wren Hanson Reeb | Registered representative | May 2025 (1y) | ||
| Waleed Hassan Khan | Registered representative | May 2025 (1y) | ||
| William Makay Dobbins | Registered representative | May 2025 (1y) | ||
| Zachary Charles Toelle | Registered representative | May 2025 (1y) | ||
| Zachary Michael Jablonski | Registered representative | May 2025 (1y) | ||
| Aaron Cistrelli | Registered representative | May 2025 (1y) | ||
| Adam Eliot Truitt | Registered representative | May 2025 (1y) | ||
| Andrew Somers Broughman | Registered representative | May 2025 (1y) | ||
| Abigail Wheeler | Registered representative | May 2025 (1y) | ||
| Alexander Gerhard Forster | Registered representative | May 2025 (1y) | ||
| Alexander Vittorio Russello | Registered representative | May 2025 (1y) | ||
| Austin Tyler Polo | Registered representative | May 2025 (1y) | ||
| Brad Alan Pickett | Registered representative | May 2025 (1y) | ||
| Brian Thomas Rumbles | Registered representative | May 2025 (1y) | ||
| Brittany Lea Brewer | Registered representative | May 2025 (1y) | ||
| Christopher Monaco | Registered representative | May 2025 (1y) | ||
| Dawson Robert Phillips | Registered representative | May 2025 (1y) | ||
| Deidre Louise Knott | Registered representative | May 2025 (1y) | ||
| Didine Marilyn Erskine | Registered representative | CFP | May 2025 (1y) | |
| Edwin Joseph Reynolds | Registered representative | May 2025 (1y) | ||
| Emily Claire | Registered representative | May 2025 (1y) | ||
| Jackson Connor Phillips | Registered representative | May 2025 (1y) | ||
| Jerold Keith Johnson | Registered representative | May 2025 (1y) | ||
| John David Phillips | Registered representative | May 2025 (1y) | ||
| Justin Nathaniel Perkins | Registered representative | May 2025 (1y) | ||
| Jeffrey R Adams | Registered representative | May 2025 (1y) | ||
| John Paul Lunney | Registered representative | May 2025 (1y) | ||
| Jordan Rex Bower | Registered representative | May 2025 (1y) | ||
| Joshua Howell | Registered representative | May 2025 (1y) | ||
| Kevin Gyan Masih | Registered representative | May 2025 (1y) | ||
| Keith Mc Ginnis | Registered representative | May 2025 (1y) | ||
| Michael Evan Elchoness | Registered representative | CFP | May 2025 (1y) | |
| Michael Jason Young | Registered representative | May 2025 (1y) | ||
| Mason Lansden Moyer | Registered representative | May 2025 (1y) | ||
| Nicholas Anthony Giambri | Registered representative | May 2025 (1y) | ||
| Robert J Woerner | Registered representative | CFP | May 2025 (1y) | |
| Sydney Blair Dragon | Registered representative | May 2025 (1y) | ||
| Karalyn Fielding | Registered representative | May 2025 (1y) | ||
| Amanda Christine Paliska | Registered representative | CFP | May 2025 (1y) | |
| Cathryn A Cato | Registered representative | May 2025 (1y) | ||
| David Lee Harrison | Registered representative | May 2025 (1y) | ||
| David P Marquis | Registered representative | May 2025 (1y) | ||
| Gayle Lynn Good | Registered representative | May 2025 (1y) | ||
| Jamie Lloyd | Registered representative | May 2025 (1y) | ||
| Jeffrey Mark Runyan | Registered representative | May 2025 (1y) | ||
| Jonathan F King | Registered representative | May 2025 (1y) | ||
| Kelley Mellar Selph | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| Patrick Farr Morocco | Registered representative | May 2025 (1y) | ||
| Raymond Bennett Firestone | Registered representative | May 2025 (1y) | ||
| Robert Edward Philbeck | Registered representative | May 2025 (1y) | ||
| Samuel Markus Aamot | Registered representative | May 2025 (1y) | ||
| Thomas Nicholas Leonardo | Registered representative | May 2025 (1y) | ||
| Travis Todd Ducker | Registered representative | May 2025 (1y) | ||
| Connor Hayden Brumfield | Registered representative | May 2025 (1y) | ||
| David Scott Mcdonald | Registered representative | May 2025 (1y) | ||
| Diana Patricia Machado | Registered representative | May 2025 (1y) | ||
| Frederick Mark Atiyeh | Registered representative | CFP | May 2025 (1y) | |
| Justin James Miller | Registered representative | May 2025 (1y) | ||
| Lee R Dewey | Registered representative | May 2025 (1y) | ||
| Dalton Blake Caldwell | Registered representative | May 2025 (1y) | ||
| Dwight Douglas Peterson | Registered representative | May 2025 (1y) | ||
| Edward Burgos | Registered representative | CFP | May 2025 (1y) | |
| Milton Kenneth Guzman | Registered representative | CFP | May 2025 (1y) | |
| Matthew Mazotas | Registered representative | May 2025 (1y) | ||
| Patrick Connor Dougherty | Registered representative | CFP | May 2025 (1y) | |
| Ramona V Bellard | Registered representative | May 2025 (1y) | ||
| Samuel Miller | Registered representative | May 2025 (1y) | ||
| Stephen Marc Lubin | Registered representative | CFP | May 2025 (1y) | |
| Tara Thompson Popernik | Registered representative | CFP CFA | May 2025 (1y) | |
| Virgil John Threlkeld | Registered representative | May 2025 (1y) | ||
| Andrew L Wolff | Registered representative | May 2025 (1y) | ||
| Bradley Donald Baker | Registered representative | May 2025 (1y) | ||
| Jeffrey Clayton Baker | Registered representative | May 2025 (1y) | ||
| John David Szuchan | Registered representative | CFP | May 2025 (1y) | |
| John Thomas Bowers | Registered representative | May 2025 (1y) | ||
| Lynette Foor | Registered representative | May 2025 (1y) | ||
| Mark Ryan | Registered representative | May 2025 (1y) | ||
| Michael B Wolff | Registered representative | CFP | May 2025 (1y) | |
| Premnauth Persaud | Registered representative | May 2025 (1y) | ||
| Robert John Dussi | Registered representative | CFP | May 2025 (1y) | |
| Taylor Takashi Hara | Registered representative | May 2025 (1y) | ||
| Frank Keith Duncan | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Gene Edwin Shook | Registered representative | May 2025 (1y) | ||
| Jennifer Brooke Rainbolt | Registered representative | May 2025 (1y) | ||
| John Christopher Vaccacio | Registered representative | May 2025 (1y) | ||
| Julius Joseph Mittl | Registered representative | May 2025 (1y) | ||
| Thomas Tristany Trela | Registered representative | May 2025 (1y) | ||
| Shiya Nicholas Solodoff | Registered representative | May 2025 (1y) | ||
| Brandon John Shohdy | Registered representative | May 2025 (1y) | ||
| Clifford Patrick Ryan | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Ernest Lawson | Registered representative | May 2025 (1y) | ||
| Jacob Joseph Meis | Registered representative | May 2025 (1y) | ||
| Kelly Anne Larkin | Registered representative | May 2025 (1y) | ||
| Olga Garton | Registered representative | May 2025 (1y) | ||
| Owen Ellsworth | Registered representative | May 2025 (1y) | ||
| Ryan Rand Tingey | Registered representative | May 2025 (1y) | ||
| Thomas A Brophy | Registered representative | May 2025 (1y) | ||
| Thomas Lamont Coleman | Registered representative | May 2025 (1y) | ||
| Aj Allen Smith | Registered representative | May 2025 (1y) | ||
| Brady T Mundahl | Registered representative | May 2025 (1y) | ||
| Charles George Hopman | Registered representative | May 2025 (1y) | ||
| Christopher Joseph Castiglia | Registered representative | May 2025 (1y) | ||
| Jeffrey Paul Filipek | Registered representative | May 2025 (1y) | ||
| Joshua Alexander Greene | Registered representative | May 2025 (1y) | ||
| Jamin Purtell | Registered representative | May 2025 (1y) | ||
| Jeffrey Kenneth Van Holla | Registered representative | May 2025 (1y) | ||
| Jennifer Thompson | Registered representative | May 2025 (1y) | ||
| Julie Lynne Sharnowski | Registered representative | May 2025 (1y) | ||
| Salvatore Di Benedetto | Registered representative | May 2025 (1y) | ||
| Aaron Robert Benford | Registered representative | May 2025 (1y) | ||
| Brandon Lee Dixon James | Registered representative | CFP | May 2025 (1y) | |
| Cary Elbert Schultz | Registered representative | CFA | May 2025 (1y) | |
| Collin Clark | Registered representative | May 2025 (1y) | ||
| Eric Russell Lochner | Registered representative | CFP | May 2025 (1y) | |
| Elizabeth A Hagan | Registered representative | May 2025 (1y) | ||
| George Wilson Howe | Registered representative | May 2025 (1y) | ||
| Heather Pape | Registered representative | May 2025 (1y) | ||
| Jeremiah Michael Sensenig | Registered representative | May 2025 (1y) | ||
| Jeremy Peacock | Registered representative | May 2025 (1y) | ||
| Joanne Marie Laessig | Registered representative | May 2025 (1y) | ||
| Mark Wayne Miller | Registered representative | May 2025 (1y) | ||
| Matthew Ryan Queener | Registered representative | May 2025 (1y) | ||
| Paul Churilla | Registered representative | May 2025 (1y) | ||
| Philip John Califano | Registered representative | May 2025 (1y) | ||
| Victor Gordon Ordonez | Registered representative | May 2025 (1y) | ||
| Warren Scott Hyster | Registered representative | May 2025 (1y) | ||
| Aaron Jack Simon | Registered representative | May 2025 (1y) | ||
| Aubri Swartz | Registered representative | May 2025 (1y) | ||
| Edgar A Wright | Registered representative | May 2025 (1y) | ||
| Glenn Allen Gryka | Registered representative | May 2025 (1y) | ||
| Henry Redd | Registered representative | May 2025 (1y) | ||
| Jeffry Mark Rosen | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Maria Aurora Almario | Registered representative | May 2025 (1y) | ||
| William Brogan Giesen | Registered representative | May 2025 (1y) | ||
| Wyatt Klopp | Registered representative | May 2025 (1y) | ||
| Martha Zamora Nelson | Registered representative | May 2025 (1y) | ||
| Abigail Ledogar | Registered representative | Jun 2025 (1y) | ||
| Christopher James Robb | Registered representative | Jun 2025 (1y) | ||
| Daniel John Woodard | Registered representative | Jun 2025 (1y) | ||
| David Stanley Roche | Registered representative | Jun 2025 (1y) | ||
| Dimitry Petrovich Makhanov | Registered representative | Jun 2025 (1y) | ||
| Gene Allen Larock | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| John Alexander Powers | Registered representative | Jun 2025 (1y) | ||
| Logan Davis Palmitier | Registered representative | Jun 2025 (1y) | ||
| Mark James Fontana | Registered representative | Jun 2025 (1y) | ||
| Michael A. Patton | Registered representative | Jun 2025 (1y) | ||
| Mark Giffin Morrison | Registered representative | Jun 2025 (1y) | ||
| Morgan Ashlee Mc Dowall | Registered representative | Jun 2025 (1y) | ||
| Ronald Xavier Pisano | Registered representative | Jun 2025 (1y) | ||
| William Donald Mitchell | Registered representative | Jun 2025 (1y) | ||
| Alexander Knapp | Registered representative | Jun 2025 (1y) | ||
| Austin Brooke Offnick | Registered representative | Jun 2025 (1y) | ||
| Christopher Tage Malmborg | Registered representative | Jun 2025 (1y) | ||
| Dean Robert Johns | Registered representative | CFP | Jun 2025 (1y) | |
| Frank Alan Arens | Registered representative | Jun 2025 (1y) | ||
| Krista J Winograd | Registered representative | CFP | Jun 2025 (1y) | |
| Mark Andrew Bonfield | Registered representative | Jun 2025 (1y) | ||
| Matthew Allen Shrope | Registered representative | CFP | Jun 2025 (1y) | |
| Michael Edward Hyde | Registered representative | CFP | Jun 2025 (1y) | |
| Matthew John Rising | Registered representative | Jun 2025 (1y) | ||
| Philip Avery Lett | Registered representative | Jun 2025 (1y) | ||
| Charles Patrick Prestigiacomo | Registered representative | Jun 2025 (1y) | ||
| Daniel Gerard Sullivan | Registered representative | Jun 2025 (1y) | ||
| Henra Chennault | Registered representative | Jun 2025 (1y) | ||
| Justin William Lehkamp | Registered representative | Jun 2025 (1y) | ||
| Joshua Martin Wentz | Registered representative | CFP | Jun 2025 (1y) | |
| Kimberly Michelle Skalla | Registered representative | Jun 2025 (1y) | ||
| Matthew Franklin Sweeney | Registered representative | Jun 2025 (1y) | ||
| Molly Elizabeth Myers | Registered representative | CFP | Jun 2025 (1y) | |
| Matthew Walter Tarka | Registered representative | Jun 2025 (1y) | ||
| Natalia Koritskaya | Registered representative | CFP | Jun 2025 (1y) | |
| Nicholas Groman | Registered representative | CFP | Jun 2025 (1y) | |
| Patrick J. Burke | Registered representative | Jun 2025 (1y) | ||
| Timothy Glenn Powell | Registered representative | CFP | Jun 2025 (1y) | |
| Tanner John Carter | Registered representative | CFP | Jun 2025 (1y) | |
| Zakary Andrew Fresh | Registered representative | Jun 2025 (1y) | ||
| Albert Vega Aguilera | Registered representative | Jun 2025 (1y) | ||
| Alex Boyd Mathis | Registered representative | Jun 2025 (1y) | ||
| Alexander John Nweeia | Registered representative | Jun 2025 (1y) | ||
| Ali Sotoodeh Rad | Registered representative | Jun 2025 (1y) | ||
| Allen Glenn Solis | Registered representative | Jun 2025 (1y) | ||
| Amanda Corinne Miser | Registered representative | Jun 2025 (1y) | ||
| Andrew Gene Duchan | Registered representative | Jun 2025 (1y) | ||
| Andrew Joseph Schexnaydre | Registered representative | Jun 2025 (1y) | ||
| Andrew Martz | Registered representative | CFP | Jun 2025 (1y) | |
| Andy Ravi Gitipityapon | Registered representative | Jun 2025 (1y) | ||
| Antoine Samir Abi Nader | Registered representative | Jun 2025 (1y) | ||
| Arthur Brian Chalekian | Registered representative | Jun 2025 (1y) | ||
| Arthur Cameron Lane | Registered representative | Jun 2025 (1y) | ||
| Arthur Robert Fu | Registered representative | CFP | Jun 2025 (1y) | |
| Betsy Wilde | Registered representative | CFP | Jun 2025 (1y) | |
| Brett Dennis Curran | Registered representative | Jun 2025 (1y) | ||
| Brian Harry Schwartz | Registered representative | Jun 2025 (1y) | ||
| Brian Heath Falkinburg | Registered representative | Jun 2025 (1y) | ||
| Brittany Elizabeth Farrell | Registered representative | Jun 2025 (1y) | ||
| Carol Ann Bezner | Registered representative | Jun 2025 (1y) | ||
| Carolyn Rebecca Wyatt | Registered representative | Jun 2025 (1y) | ||
| Cathie Michelle Callahan D'itri | Registered representative | Jun 2025 (1y) | ||
| Chadd Justin Hoeft | Registered representative | Jun 2025 (1y) | ||
| Charles Baker Bachtell | Registered representative | Jun 2025 (1y) | ||
| Chiu Ni Wang | Registered representative | CFP | Jun 2025 (1y) | |
| Christopher Todd Irvin | Registered representative | Jun 2025 (1y) | ||
| Christopher Warren Polimeni | Registered representative | Jun 2025 (1y) | ||
| Clifford Newton Gamble | Registered representative | Jun 2025 (1y) | ||
| Craig Gordon Johnson | Registered representative | Jun 2025 (1y) | ||
| Craig Robert Buckley | Registered representative | Jun 2025 (1y) | ||
| Douglas Wayne Messner | Registered representative | Jun 2025 (1y) | ||
| Daniel Chung Lim Lee | Registered representative | Jun 2025 (1y) | ||
| Daniel Davidian | Registered representative | Jun 2025 (1y) | ||
| Daniel Joseph Warren | Registered representative | Jun 2025 (1y) | ||
| Daniel Mark Hazard | Registered representative | Jun 2025 (1y) | ||
| Daniel Welburn Crane | Registered representative | Jun 2025 (1y) | ||
| David Brock Whitson | Registered representative | Jun 2025 (1y) | ||
| David Dean Glienke | Registered representative | Jun 2025 (1y) | ||
| David Irving Anson | Registered representative | Jun 2025 (1y) | ||
| David Mitchell Belkin | Registered representative | Jun 2025 (1y) | ||
| Dawn Dyanna Dhyanna | Registered representative | Jun 2025 (1y) | ||
| Deborah Ruth Frankel | Registered representative | Jun 2025 (1y) | ||
| Dennis John De Young | Registered representative | Jun 2025 (1y) | ||
| Dennis Michael Magaldi | Registered representative | Jun 2025 (1y) | ||
| Dennis Richard Kaffel | Registered representative | Jun 2025 (1y) | ||
| Donald Alan Johnson | Registered representative | Jun 2025 (1y) | ||
| Douglas Cy Waisner | Registered representative | Jun 2025 (1y) | ||
| Douglas James Martin | Registered representative | Jun 2025 (1y) | ||
| Douglas Martin Fair | Registered representative | Jun 2025 (1y) | ||
| Dylan Austin Johnson | Registered representative | Jun 2025 (1y) | ||
| Edward John Winslow | Registered representative | Jun 2025 (1y) | ||
| Elizabeth Ann Jewell | Registered representative | Jun 2025 (1y) | ||
| Eric Daniel Silvestre | Registered representative | Jun 2025 (1y) | ||
| Flavia Dolores Lo Coco | Registered representative | Jun 2025 (1y) | ||
| Frank Gilbert Nyerges | Registered representative | Jun 2025 (1y) | ||
| Franklin Fernandez | Registered representative | Jun 2025 (1y) | ||
| Frederick Morton Woolley | Registered representative | CFP | Jun 2025 (1y) | |
| Garet Van Antwerp Hickman | Registered representative | Jun 2025 (1y) | ||
| Geoff Nelson Wolcott | Registered representative | Jun 2025 (1y) | ||
| George Chris Sinanis | Registered representative | Jun 2025 (1y) | ||
| Gerald Charles Roth | Registered representative | Jun 2025 (1y) | ||
| Gerard Robert Betts | Registered representative | Jun 2025 (1y) | ||
| Given Joshua Kutz | Registered representative | Jun 2025 (1y) | ||
| Glenn Alexander Crawford | Registered representative | CFP | Jun 2025 (1y) | |
| Jaime Rheaume | Registered representative | Jun 2025 (1y) | ||
| Jeffrey Scott Dierksheide | Registered representative | Jun 2025 (1y) | ||
| John Thomas Folsom | Registered representative | Jun 2025 (1y) | ||
| Joshua Aaron Lelchook | Registered representative | Jun 2025 (1y) | ||
| James Gordon Frew | Registered representative | Jun 2025 (1y) | ||
| James Ronald Lo Coco | Registered representative | Jun 2025 (1y) | ||
| Jeffry Jess Johnson | Registered representative | Jun 2025 (1y) | ||
| Jennifer Neeley | Registered representative | CFP | Jun 2025 (1y) | |
| Jessie Chen | Registered representative | Jun 2025 (1y) | ||
| John B. Darmanian | Registered representative | Jun 2025 (1y) | ||
| John Paul Christian Dunnbier | Registered representative | Jun 2025 (1y) | ||
| John W. Holmquist | Registered representative | CFP | Jun 2025 (1y) | |
| John Wade Reagan | Registered representative | CFP | Jun 2025 (1y) | |
| Jose Orlando Castillo | Registered representative | Jun 2025 (1y) | ||
| Joshua C Wilken | Registered representative | Jun 2025 (1y) | ||
| Josiah David Ball | Registered representative | Jun 2025 (1y) | ||
| Justin Scott Widick | Registered representative | Jun 2025 (1y) | ||
| Karen Jaber | Registered representative | Jun 2025 (1y) | ||
| Karen Virginia Vogelsang | Registered representative | Jun 2025 (1y) | ||
| Keith Yoshiaki Nunokawa | Registered representative | Jun 2025 (1y) | ||
| Kelly Lynn Chidester | Registered representative | Jun 2025 (1y) | ||
| Kenneth David Eversfield | Registered representative | Jun 2025 (1y) | ||
| Keo Quach Hong Sourisack | Registered representative | Jun 2025 (1y) | ||
| Kerry M. Moy | Registered representative | Jun 2025 (1y) | ||
| Kevin Paul Kelly | Registered representative | CFP | Jun 2025 (1y) | |
| Kirk Robert Miller | Registered representative | Jun 2025 (1y) | ||
| Kristi Lin Avery | Registered representative | Jun 2025 (1y) | ||
| Leonard Thomas Digate | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Larry Clifford Jones | Registered representative | Jun 2025 (1y) | ||
| Linda Jane Oleson | Registered representative | Jun 2025 (1y) | ||
| Linda Wise Tucker | Registered representative | Jun 2025 (1y) | ||
| Lisa Ann Tomiko Nouchi | Registered representative | Jun 2025 (1y) | ||
| Lorraine C. Crawford | Registered representative | Jun 2025 (1y) | ||
| Mark Alan Rosenberg | Registered representative | Jun 2025 (1y) | ||
| Mark Glenn Larkin | Registered representative | Jun 2025 (1y) | ||
| Mark Stephen Klebanoff | Registered representative | CFP | Jun 2025 (1y) | |
| Michael George Hefner | Registered representative | Jun 2025 (1y) | ||
| Michael Jay Moody | Registered representative | Jun 2025 (1y) | ||
| Michael Joseph Bernier | Registered representative | Jun 2025 (1y) | ||
| Michael Phillip Gorak | Registered representative | Jun 2025 (1y) | ||
| Michael Scott Amico | Registered representative | Jun 2025 (1y) | ||
| Michaela Rauscher | Registered representative | Jun 2025 (1y) | ||
| Mikayla Martinets | Registered representative | Jun 2025 (1y) | ||
| Nancy Mayhue Eichelberger | Registered representative | Jun 2025 (1y) | ||
| Nazeeh I. Aranki | Registered representative | Jun 2025 (1y) | ||
| Nickalus Christopher Ketcham | Registered representative | CFP | Jun 2025 (1y) | |
| Nicole Joy Norris | Registered representative | Jun 2025 (1y) | ||
| Nieke Vandha Nolia Ritonga | Registered representative | Jun 2025 (1y) | ||
| Norma Manlapaz Cunanan | Registered representative | Jun 2025 (1y) | ||
| Oswaldo Horacio Ramos | Registered representative | Jun 2025 (1y) | ||
| Parker E. King | Registered representative | Jun 2025 (1y) | ||
| Patrick Mc Grath | Registered representative | Jun 2025 (1y) | ||
| Phillip Jay Askot | Registered representative | Jun 2025 (1y) | ||
| Richard Allen Hugh | Registered representative | Jun 2025 (1y) | ||
| Richard Howard Case | Registered representative | Jun 2025 (1y) | ||
| Richard Lee Gilliland | Registered representative | CFP | Jun 2025 (1y) | |
| Richard Todd Lipprand | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Richard Whitman | Registered representative | Jun 2025 (1y) | ||
| Risa Shaye Scott Smith | Registered representative | Jun 2025 (1y) | ||
| Robert Bennett Johnston | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Robert Evans Rowe | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Robert J Martilla | Registered representative | Jun 2025 (1y) | ||
| Robert Sileo | Registered representative | CFP | Jun 2025 (1y) | |
| Robert Vincent Sessa | Registered representative | Jun 2025 (1y) | ||
| Rodolfo Ruiz | Registered representative | Jun 2025 (1y) | ||
| Ron Freund | Registered representative | Jun 2025 (1y) | ||
| Sallie Rebecca De Young | Registered representative | CFP | Jun 2025 (1y) | |
| Sean M. Mc Grath | Registered representative | Jun 2025 (1y) | ||
| Shaun Michael Beyrer | Registered representative | CFP | Jun 2025 (1y) | |
| Shawn Christopher Noe | Registered representative | Jun 2025 (1y) | ||
| Shomir Mukherjee | Registered representative | Jun 2025 (1y) | ||
| Stephanie Vasquez Tobkin | Registered representative | Jun 2025 (1y) | ||
| Steve Cheol Kim | Registered representative | Jun 2025 (1y) | ||
| Steven Avram Gold | Registered representative | Jun 2025 (1y) | ||
| Steven Farley Richards | Registered representative | Jun 2025 (1y) | ||
| Steven R. Graham | Registered representative | Jun 2025 (1y) | ||
| Talin Kalfayan | Registered representative | Jun 2025 (1y) | ||
| Thomas Hoang Chau | Registered representative | Jun 2025 (1y) | ||
| Thomas Raymond Biggs | Registered representative | Jun 2025 (1y) | ||
| Timothy Heath Tanner | Registered representative | Jun 2025 (1y) | ||
| Timothy Jay Gandy | Registered representative | Jun 2025 (1y) | ||
| Timothy Podell | Registered representative | Jun 2025 (1y) | ||
| Todd Evan Melillo | Registered representative | Jun 2025 (1y) | ||
| Toni Lynn Iannarelli | Registered representative | Jun 2025 (1y) | ||
| Travis Jay Henry | Registered representative | Jun 2025 (1y) | ||
| Travis Steven Haukedahl | Registered representative | Jun 2025 (1y) | ||
| Trevor Ernst Theodorus Kleineahlbrandt | Registered representative | Jun 2025 (1y) | ||
| Ute Scott Smith | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Vartan Simon Telian | Registered representative | Jun 2025 (1y) | ||
| Victor Scott De Lucie | Registered representative | Jun 2025 (1y) | ||
| William Benton Pyles | Registered representative | Jun 2025 (1y) | ||
| Walter Allan Huber | Registered representative | Jun 2025 (1y) | ||
| William John Mc Bride | Registered representative | Jun 2025 (1y) | ||
| Yocari F. Lara | Registered representative | Jun 2025 (1y) | ||
| Adam David Kamm | Registered representative | Jun 2025 (1y) | ||
| Cheryl Lee Voss | Registered representative | Jun 2025 (1y) | ||
| Djuro Majstorovic | Registered representative | Jun 2025 (1y) | ||
| John Pasquale Capogna | Registered representative | Jun 2025 (1y) | ||
| Leland David Wilcox | Registered representative | Jun 2025 (1y) | ||
| William Thornley | Registered representative | Jun 2025 (1y) | ||
| Eric A Keller | Registered representative | Jun 2025 (1y) | ||
| Edmundo Marcelo Thomas Diez | Registered representative | Jun 2025 (1y) | ||
| Lucas Matthew Mckee | Registered representative | Jun 2025 (1y) | ||
| Colin Wieand | Registered representative | Jun 2025 (1y) | ||
| Darren C Delle Donne | Registered representative | Jun 2025 (1y) | ||
| Don Lars Willadsen | Registered representative | Jun 2025 (1y) | ||
| Duncan John Meaney | Registered representative | Jun 2025 (1y) | ||
| Keith Allen Cameron | Registered representative | CFP | Jun 2025 (1y) | |
| Kenneth I Weinstein | Registered representative | Jun 2025 (1y) | ||
| Mark S Barnett | Registered representative | Jun 2025 (1y) | ||
| Michael Patrick Hayes | Registered representative | Jun 2025 (1y) | ||
| Ashley A Miller | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Alexa Paige Ritz | Registered representative | Jun 2025 (1y) | ||
| David Kenneth Rubenstein | Registered representative | Jun 2025 (1y) | ||
| Dennis Hanlon Dussik | Registered representative | Jun 2025 (1y) | ||
| Devlin Cate Flamm | Registered representative | Jun 2025 (1y) | ||
| Jonathan Wayne Enquist | Registered representative | Jun 2025 (1y) | ||
| Kelly Davis | Registered representative | Jun 2025 (1y) | ||
| Marguerite Ellen Gallagher | Registered representative | Jun 2025 (1y) | ||
| Mark Albert Kinney | Registered representative | Jun 2025 (1y) | ||
| Paul David Schmidt | Registered representative | Jun 2025 (1y) | ||
| Ross Elliot Cohen | Registered representative | Jun 2025 (1y) | ||
| Ryan J Kaiser | Registered representative | Jun 2025 (1y) | ||
| Steven Matthew Shieh | Registered representative | Jun 2025 (1y) | ||
| Alex James Macneal Balcer | Registered representative | Jun 2025 (1y) | ||
| Benjamin Edward Hein | Registered representative | Jun 2025 (1y) | ||
| Derek Strubel | Registered representative | Jun 2025 (1y) | ||
| Erick Rosales | Registered representative | Jun 2025 (1y) | ||
| Jared Parnell Black | Registered representative | Jun 2025 (1y) | ||
| Joseph Paul Krim | Registered representative | Jun 2025 (1y) | ||
| Kenneth C Sprague | Registered representative | Jun 2025 (1y) | ||
| Michael A Harvey | Registered representative | Jun 2025 (1y) | ||
| Richard Leland Brokaw | Registered representative | Jun 2025 (1y) | ||
| Ryan M Grist | Registered representative | CFP | Jun 2025 (1y) | |
| Charles Wesley De Voe | Registered representative | Jun 2025 (1y) | ||
| David John Hughes | Registered representative | Jun 2025 (1y) | ||
| Laura Scheppele | Registered representative | Jun 2025 (1y) | ||
| Malcolm Reynolds | Registered representative | Jun 2025 (1y) | ||
| Martin Volin | Registered representative | Jun 2025 (1y) | ||
| Nickolas Jeffrey Walton | Registered representative | Jun 2025 (1y) | ||
| Timothy Scott Decker | Registered representative | Jun 2025 (1y) | ||
| Alexander J Kopenhaver | Registered representative | Jun 2025 (1y) | ||
| Angelica Uribe | Registered representative | Jun 2025 (1y) | ||
| Alexa Danae Jossi | Registered representative | Jun 2025 (1y) | ||
| Dale Miles Skogstad | Registered representative | CFP CFA | Jun 2025 (1y) | |
| David James Homa | Registered representative | CFP | Jun 2025 (1y) | |
| David Nicholas Ellis | Registered representative | Jun 2025 (1y) | ||
| Hadi Wael Abu Asab | Registered representative | Jun 2025 (1y) | ||
| James Mark Morrison | Registered representative | Jun 2025 (1y) | ||
| Juliana Gowan Dukes | Registered representative | Jun 2025 (1y) | ||
| Karen N Esquivel | Registered representative | Jun 2025 (1y) | ||
| Louis Pantuosco | Registered representative | Jun 2025 (1y) | ||
| Michael William Homer | Registered representative | Jun 2025 (1y) | ||
| Morris Todd Brack | Registered representative | Jun 2025 (1y) | ||
| Samuel Rathbone | Registered representative | Jun 2025 (1y) | ||
| Sarad Walter Tomlinson | Registered representative | Jun 2025 (1y) | ||
| Todd Freeman Homer | Registered representative | Jun 2025 (1y) | ||
| Thomas Wilson Shipp | Registered representative | CFA | Jun 2025 (1y) | |
| Tina Marie Hines | Registered representative | Jun 2025 (1y) | ||
| Asena Solmaz Landry | Registered representative | Jun 2025 (1y) | ||
| Andy Dewayne Garcia | Registered representative | Jun 2025 (1y) | ||
| Cody Laura Siebert | Registered representative | Jun 2025 (1y) | ||
| Cynthia Elizabeth Shelton | Registered representative | Jun 2025 (1y) | ||
| Cynthia Gayle Barnett | Registered representative | CFP | Jun 2025 (1y) | |
| Caleb Stokes | Registered representative | Jun 2025 (1y) | ||
| Charles Kaimalu Cope | Registered representative | Jun 2025 (1y) | ||
| Dennis Michael Sexton | Registered representative | Jun 2025 (1y) | ||
| Heather Jeann Brown | Registered representative | Jun 2025 (1y) | ||
| James Richard Klodosky | Registered representative | Personal Financial Specialist | Jun 2025 (1y) | |
| Javier Trujillo | Registered representative | Jun 2025 (1y) | ||
| Julie Marie Stein | Registered representative | CFP | Jun 2025 (1y) | |
| Matthew Bogdan Topielski | Registered representative | Jun 2025 (1y) | ||
| Michelle Marie Camren | Registered representative | Jun 2025 (1y) | ||
| Taylor M K Easley | Registered representative | CFP | Jun 2025 (1y) | |
| Christopher Zarra | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Christian Javier Pineda | Registered representative | Jun 2025 (1y) | ||
| Christopher J Bolle | Registered representative | Jun 2025 (1y) | ||
| Grant Merrill Boucek | Registered representative | Jun 2025 (1y) | ||
| Gregory Joseph Harris | Registered representative | Jun 2025 (1y) | ||
| James William Kelly | Registered representative | CFP | Jun 2025 (1y) | |
| Jacob David Francis | Registered representative | Jun 2025 (1y) | ||
| Michele Welch | Registered representative | CFP | Jun 2025 (1y) | |
| Paul J Larou | Registered representative | Jun 2025 (1y) | ||
| Paul Lewis Appel | Registered representative | Jun 2025 (1y) | ||
| Robert Allen Novak | Registered representative | Jun 2025 (1y) | ||
| Austin Jacob Boniface | Registered representative | CFP | Jun 2025 (1y) | |
| Albert Valencia Rodriguez | Registered representative | Jun 2025 (1y) | ||
| Carrie Ann Wells | Registered representative | Jun 2025 (1y) | ||
| Daniel Lawrence Gardiner | Registered representative | Jun 2025 (1y) | ||
| Dyllan P Weicht | Registered representative | Jun 2025 (1y) | ||
| Elizabeth M Hobson | Registered representative | Jun 2025 (1y) | ||
| Frank Norfleet Abston | Registered representative | Jun 2025 (1y) | ||
| Gregory James De Tolla | Registered representative | Jun 2025 (1y) | ||
| Jaime Marie Traywick | Registered representative | Jun 2025 (1y) | ||
| Marc Walter Corigliano | Registered representative | Jun 2025 (1y) | ||
| Paul Louis Tiernan | Registered representative | Jun 2025 (1y) | ||
| Rosa Icela Ceballos | Registered representative | Jun 2025 (1y) | ||
| Steven Reiad Azer | Registered representative | Jun 2025 (1y) | ||
| Tyler Anthony Johnson | Registered representative | Jun 2025 (1y) | ||
| Veronica Denise Coleman | Registered representative | CFP | Jun 2025 (1y) | |
| Zonia Lei | Registered representative | Jun 2025 (1y) | ||
| Chelsey Lauren Fairchilds | Registered representative | Jun 2025 (1y) | ||
| Ryan J Belwood | Registered representative | Jun 2025 (1y) | ||
| Brian J Mc Connell | Registered representative | Jun 2025 (1y) | ||
| Carlos Damian Hernandez | Registered representative | Jun 2025 (1y) | ||
| Carson Paul Zimmer | Registered representative | Jun 2025 (1y) | ||
| Charity Nichole Tucker | Registered representative | Jun 2025 (1y) | ||
| Danielle Allen | Registered representative | Jun 2025 (1y) | ||
| Jebtha C. Graham | Registered representative | Jun 2025 (1y) | ||
| Preston L Di Marco | Registered representative | Jun 2025 (1y) | ||
| Sara A Blanchard | Registered representative | Jun 2025 (1y) | ||
| Shannon Rasberry | Registered representative | Jun 2025 (1y) | ||
| Brian Kevin Kerrigan | Registered representative | CFA | Jun 2025 (1y) | |
| Christopher Leo Arnold | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Dolapo Bankole | Registered representative | Jun 2025 (1y) | ||
| Isaac N Garber | Registered representative | Jun 2025 (1y) | ||
| John Raymond Peters | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Jonell Louise Walker | Registered representative | Jun 2025 (1y) | ||
| Jose Veliz | Registered representative | Jun 2025 (1y) | ||
| Jenna Leaven Miller | Registered representative | Jun 2025 (1y) | ||
| Kevin Sean Gallagher | Registered representative | Jun 2025 (1y) | ||
| Leslie Anne Weigand | Registered representative | Jun 2025 (1y) | ||
| Leszek Julian Michniewicz | Registered representative | Jun 2025 (1y) | ||
| Michael A Smith | Registered representative | Jun 2025 (1y) | ||
| Rosalie Kerrigan Biza | Registered representative | Jun 2025 (1y) | ||
| Sarah Whaley Drake | Registered representative | Jun 2025 (1y) | ||
| Stacie Munger | Registered representative | Jun 2025 (1y) | ||
| Thomas John Coelho | Registered representative | Jun 2025 (1y) | ||
| Thomas Xavier Walton | Registered representative | Jun 2025 (1y) | ||
| Anthony Craig Couch | Registered representative | Jun 2025 (1y) | ||
| Brandon James Echeverria | Registered representative | Jun 2025 (1y) | ||
| Brandon Lee Hsia | Registered representative | Jun 2025 (1y) | ||
| Braxton Todd Crabtree | Registered representative | Jun 2025 (1y) | ||
| Christopher Michael Nolan | Registered representative | Jun 2025 (1y) | ||
| Cheryl Lynn Johnston | Registered representative | CFP | Jun 2025 (1y) | |
| Garrett Ringlever | Registered representative | Jun 2025 (1y) | ||
| James Matthew Horris | Registered representative | Jun 2025 (1y) | ||
| Keegan Wade Bell | Registered representative | Jun 2025 (1y) | ||
| Patrick Edward O'connor | Registered representative | Jun 2025 (1y) | ||
| Peter Abbate | Registered representative | Jun 2025 (1y) | ||
| Peter James Evans | Registered representative | Jun 2025 (1y) | ||
| Robert Nobel Bell | Registered representative | Jun 2025 (1y) | ||
| Andrew Hartselle Mears | Registered representative | Jun 2025 (1y) | ||
| April Jean Bates | Registered representative | Jun 2025 (1y) | ||
| David Arnold Scott | Registered representative | Jun 2025 (1y) | ||
| Ethan Allen Cox | Registered representative | Jun 2025 (1y) | ||
| Jeffery W Lockman | Registered representative | Jun 2025 (1y) | ||
| Jesus Villalpando | Registered representative | Jun 2025 (1y) | ||
| John James Leonard | Registered representative | Jun 2025 (1y) | ||
| Joyce Carol Torricos | Registered representative | Jun 2025 (1y) | ||
| Natalie Adams | Registered representative | Jun 2025 (1y) | ||
| Ryan J Martin | Registered representative | Jun 2025 (1y) | ||
| Thomas Joseph Floyd | Registered representative | Jun 2025 (1y) | ||
| Thomas Wayne Cook | Registered representative | Jun 2025 (1y) | ||
| Benjamin Berger | Registered representative | Jun 2025 (1y) | ||
| Corey Marcus Yarborough | Registered representative | Jun 2025 (1y) | ||
| Laura Arias Celis | Registered representative | Jun 2025 (1y) | ||
| Michael Louis Perkins | Registered representative | Jun 2025 (1y) | ||
| Stephen Thomas Andrusky | Registered representative | CFP | Jun 2025 (1y) | |
| Susan Ann Bonanno | Registered representative | Jun 2025 (1y) | ||
| Taylor Adam Kramer | Registered representative | Jun 2025 (1y) | ||
| Cameron Davis Kania | Registered representative | Jun 2025 (1y) | ||
| Diane Susan Taylor | Registered representative | Jun 2025 (1y) | ||
| Daniel Joseph Bowler | Registered representative | Jun 2025 (1y) | ||
| John Kevin Osborne | Registered representative | Jun 2025 (1y) | ||
| Jose Alexander Bonilla | Registered representative | Jun 2025 (1y) | ||
| Justin Rasmusson | Registered representative | Jun 2025 (1y) | ||
| Madalyn Elaine Close | Registered representative | Jun 2025 (1y) | ||
| Megan Nichole Chernisky | Registered representative | Jun 2025 (1y) | ||
| Richard Andrew Gilles | Registered representative | Jun 2025 (1y) | ||
| Robert Edward Murray | Registered representative | Jun 2025 (1y) | ||
| Robert Lee Leach | Registered representative | Jun 2025 (1y) | ||
| Roman Moriarty | Registered representative | CFP | Jun 2025 (1y) | |
| Sidney Baker | Registered representative | Jun 2025 (1y) | ||
| Darryl Jerry Meadows | Registered representative | Jun 2025 (1y) | ||
| Gabriel Anthony Moser | Registered representative | Jun 2025 (1y) | ||
| John Gerald Roeller | Registered representative | CFP | Jun 2025 (1y) | |
| James Eric Secker | Registered representative | Jun 2025 (1y) | ||
| Lloyd Mason Baxter | Registered representative | Jun 2025 (1y) | ||
| Lee Ann Nicole Miller | Registered representative | Jun 2025 (1y) | ||
| Michael J Barenie | Registered representative | Jun 2025 (1y) | ||
| Patrick Louis Bivona | Registered representative | CFP | Jun 2025 (1y) | |
| Patrick Stanton | Registered representative | Jun 2025 (1y) | ||
| Patrick Theodore Hine | Registered representative | Jun 2025 (1y) | ||
| Richard Logan Bugg | Registered representative | Jun 2025 (1y) | ||
| Timothy E. Taranto | Registered representative | Jun 2025 (1y) | ||
| Allen Victor Schutzky | Registered representative | Jul 2025 (1y) | ||
| Izabela Barbara Borkowska | Registered representative | Jul 2025 (1y) | ||
| Jeremy John Mc Arthur | Registered representative | Jul 2025 (1y) | ||
| Maelauren Xavier Hudson | Registered representative | CFP | Jul 2025 (1y) | |
| Michael William Sirianni | Registered representative | Jul 2025 (1y) | ||
| Michael Tracy Pickett | Registered representative | Jul 2025 (1y) | ||
| Nicholas Voyton | Registered representative | Jul 2025 (1y) | ||
| Pasquale Giannella | Registered representative | Jul 2025 (1y) | ||
| Steven Richard Artman | Registered representative | Jul 2025 (1y) | ||
| Drew Joseph Witchousky | Registered representative | Jul 2025 (1y) | ||
| Gabriel Horowitz Vieira | Registered representative | Jul 2025 (1y) | ||
| Jacob Joseph Clay Short | Registered representative | Jul 2025 (1y) | ||
| Jordan West | Registered representative | Jul 2025 (1y) | ||
| Joseph P Clagg | Registered representative | Jul 2025 (1y) | ||
| Martin Brian Kappeler | Registered representative | Jul 2025 (1y) | ||
| Ryan Curtis Meske | Registered representative | Jul 2025 (1y) | ||
| Sterling Randal Henderson | Registered representative | Jul 2025 (1y) | ||
| Tyler W Ross | Registered representative | Jul 2025 (1y) | ||
| Andrew Patrick Harris | Registered representative | Jul 2025 (1y) | ||
| Brian Kim | Registered representative | CFA | Jul 2025 (1y) | |
| Cole Daniel Warren | Registered representative | Jul 2025 (1y) | ||
| Marc Justin Pelerin | Registered representative | Jul 2025 (1y) | ||
| Randy Boyd Welborn | Registered representative | Jul 2025 (1y) | ||
| Rebecca Kathleen Peterson | Registered representative | Jul 2025 (1y) | ||
| Stuart Tamotsu Iritani | Registered representative | Jul 2025 (1y) | ||
| Sydney Paige Van Baest | Registered representative | CFP | Jul 2025 (1y) | |
| Jackson Ruckman | Registered representative | Jul 2025 (1y) | ||
| Anthony Ghiglieri | Registered representative | Jul 2025 (1y) | ||
| Daryl Tomobu Serizawa | Registered representative | Jul 2025 (1y) | ||
| Dennis George Scharf | Registered representative | Jul 2025 (1y) | ||
| Gerald William Chapweske | Registered representative | Jul 2025 (1y) | ||
| Kevin Patrick Adam | Registered representative | Jul 2025 (1y) | ||
| Richard Bryan Stone | Registered representative | Jul 2025 (1y) | ||
| Stephen M Fargher | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Cassie Lea Anderson | Registered representative | Jul 2025 (1y) | ||
| Christopher Jacob Dibble | Registered representative | Jul 2025 (1y) | ||
| Connor Chiulli | Registered representative | Jul 2025 (1y) | ||
| Danielle Claire Stubbs | Registered representative | Jul 2025 (1y) | ||
| Hannah Ruth Amdahl | Registered representative | Jul 2025 (1y) | ||
| Jeremy Watson Freeman | Registered representative | Jul 2025 (1y) | ||
| Kettra Jo Ann Baker | Registered representative | Jul 2025 (1y) | ||
| Michael Jeffrey Dukovich | Registered representative | Jul 2025 (1y) | ||
| Sergio Santana | Registered representative | Jul 2025 (1y) | ||
| Sam Karl Brelje | Registered representative | Jul 2025 (1y) | ||
| William Paul Walsh | Registered representative | CFP | Jul 2025 (1y) | |
| Alexander Jacob Rowe | Registered representative | Jul 2025 (1y) | ||
| Alexander Potocsny | Registered representative | Jul 2025 (1y) | ||
| Bonny Sy Lee | Registered representative | CFP | Jul 2025 (1y) | |
| Christopher John Jeffrey | Registered representative | Jul 2025 (1y) | ||
| Julia Ladson | Registered representative | Jul 2025 (1y) | ||
| Richard Andrew Cahlin | Registered representative | Jul 2025 (1y) | ||
| Ronald Craig Smith | Registered representative | Jul 2025 (1y) | ||
| Thomas Groves | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Willie Smith | Registered representative | Jul 2025 (1y) | ||
| A Lamar Hudson | Registered representative | CFP | Jul 2025 (1y) | |
| Aaron Jon Pike | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Aaron Matthew Verdile | Registered representative | CFP | Jul 2025 (1y) | |
| Adam Todd Duey | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Adrian W Shute | Registered representative | Jul 2025 (1y) | ||
| Adriane Cathleen Conway | Registered representative | Jul 2025 (1y) | ||
| Alan Edward Gorlick | Registered representative | Jul 2025 (1y) | ||
| Albert David Troisi | Registered representative | Jul 2025 (1y) | ||
| Alec John Witkowski | Registered representative | Jul 2025 (1y) | ||
| Alexander Zinger | Registered representative | Jul 2025 (1y) | ||
| Alfred James Merchant | Registered representative | Jul 2025 (1y) | ||
| Ali Farhoumand | Registered representative | Jul 2025 (1y) | ||
| Andrew Michael Morgasen | Registered representative | Jul 2025 (1y) | ||
| Andrew Paul Tomasko | Registered representative | Jul 2025 (1y) | ||
| Andrew Scott Butler | Registered representative | Jul 2025 (1y) | ||
| Andrew Stuart Adelman | Registered representative | Jul 2025 (1y) | ||
| Anthony J Vignier | Registered representative | CFP | Jul 2025 (1y) | |
| Anthony Joseph Bossuyt | Registered representative | Jul 2025 (1y) | ||
| Anthony Thomas Klingseisen | Registered representative | Jul 2025 (1y) | ||
| Antonio Caso Marshall | Registered representative | Jul 2025 (1y) | ||
| Antonio Dipalma | Registered representative | Jul 2025 (1y) | ||
| Arthur Dolega | Registered representative | CFP | Jul 2025 (1y) | |
| Ashlyn Amanda Rollins Koons | Registered representative | CFP | Jul 2025 (1y) | |
| Alberto Andres Dominguez | Registered representative | CFP | Jul 2025 (1y) | |
| Andrew Allen Gay | Registered representative | Jul 2025 (1y) | ||
| Andrew Lee Williams | Registered representative | Jul 2025 (1y) | ||
| Andrew Lloyd Hahn | Registered representative | Jul 2025 (1y) | ||
| Andrew Scott Beck | Registered representative | Jul 2025 (1y) | ||
| Andrew Simms | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Anna Hope Carlson | Registered representative | CFP | Jul 2025 (1y) | |
| Anthony Peter Della Rocca | Registered representative | Jul 2025 (1y) | ||
| Austin Jarred Seibert | Registered representative | Jul 2025 (1y) | ||
| Barbara Magor Deel | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Benjamin Timothy Hussong | Registered representative | Jul 2025 (1y) | ||
| Bertram James Riley | Registered representative | Jul 2025 (1y) | ||
| Bobby Lee Palmer | Registered representative | Jul 2025 (1y) | ||
| Bonnie Ann Anderson | Registered representative | CFP | Jul 2025 (1y) | |
| Bonnie L. Maute | Registered representative | Jul 2025 (1y) | ||
| Bradford Marlon Pine | Registered representative | Jul 2025 (1y) | ||
| Bradley Christopher Bishop | Registered representative | Jul 2025 (1y) | ||
| Bradley Clifton Bates | Registered representative | Jul 2025 (1y) | ||
| Bradley J Thompson | Registered representative | Jul 2025 (1y) | ||
| Bradley Marshall | Registered representative | Jul 2025 (1y) | ||
| Brandon Keith Moore | Registered representative | Jul 2025 (1y) | ||
| Brett Lawrence Goldstein | Registered representative | Jul 2025 (1y) | ||
| Brian Allan Goldstein | Registered representative | Jul 2025 (1y) | ||
| Brian James Simanski | Registered representative | Jul 2025 (1y) | ||
| Brian Jay Ullman | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Brian Lee Bartlett | Registered representative | Jul 2025 (1y) | ||
| Brian Michael Silverberg | Registered representative | Jul 2025 (1y) | ||
| Brian Patrick Clark | Registered representative | Jul 2025 (1y) | ||
| Brian Thomas Amato | Registered representative | Jul 2025 (1y) | ||
| Brian Wayne Olah | Registered representative | Jul 2025 (1y) | ||
| Brittany Lee Madden | Registered representative | Jul 2025 (1y) | ||
| Bruce Bailey Brown | Registered representative | Jul 2025 (1y) | ||
| Bruce Edward Supernault | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Bruce Lynn Allen | Registered representative | Jul 2025 (1y) | ||
| Bruce Mansour Joseph | Registered representative | Jul 2025 (1y) | ||
| Bruce Robert Haldeman | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Bryan James Parmley | Registered representative | CFP | Jul 2025 (1y) | |
| Benjamin Augustus Loder | Registered representative | Jul 2025 (1y) | ||
| Bernard Graham Young | Registered representative | Jul 2025 (1y) | ||
| Bradley Joseph Sparbanie | Registered representative | Jul 2025 (1y) | ||
| Brian Douglas Weingart | Registered representative | Jul 2025 (1y) | ||
| Brian Marquez | Registered representative | Jul 2025 (1y) | ||
| Carl David Hulse | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Carl Edward Swanson | Registered representative | Jul 2025 (1y) | ||
| Carl Joseph D Agostini | Registered representative | Jul 2025 (1y) | ||
| Carl William Walck | Registered representative | Jul 2025 (1y) | ||
| Chad Allan Hoffmann | Registered representative | Jul 2025 (1y) | ||
| Chantal Balcom | Registered representative | Jul 2025 (1y) | ||
| Charles Joseph Larocco | Registered representative | Jul 2025 (1y) | ||
| Charles Joseph Polka | Registered representative | Jul 2025 (1y) | ||
| Charles Vincent Batson | Registered representative | Jul 2025 (1y) | ||
| Charlotte Ann Dorand | Registered representative | Jul 2025 (1y) | ||
| Chris Edward Gutschenritter | Registered representative | CFP | Jul 2025 (1y) | |
| Christine Marie Vanmeter | Registered representative | Jul 2025 (1y) | ||
| Christopher Alan Brennen | Registered representative | Jul 2025 (1y) | ||
| Christopher Brent Vaughan | Registered representative | Jul 2025 (1y) | ||
| Christopher D Urban | Registered representative | Jul 2025 (1y) | ||
| Christopher James Farrell | Registered representative | Jul 2025 (1y) | ||
| Clark A May | Registered representative | Jul 2025 (1y) | ||
| Cory David Yearian | Registered representative | Jul 2025 (1y) | ||
| Craig Adam Bergen | Registered representative | Jul 2025 (1y) | ||
| Craig Alan Felhandler | Registered representative | Jul 2025 (1y) | ||
| Curtis Peter Henderson | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Cynthia Ann Firey | Registered representative | Jul 2025 (1y) | ||
| Cameron Patrick Rodgers | Registered representative | CFP | Jul 2025 (1y) | |
| Charley Monroe Roberts | Registered representative | Jul 2025 (1y) | ||
| Christopher James Patrick | Registered representative | Jul 2025 (1y) | ||
| Collin Duane Mc Carty | Registered representative | Jul 2025 (1y) | ||
| Dana M Ward | Registered representative | Jul 2025 (1y) | ||
| Daniel Andrew Mccarty | Registered representative | Jul 2025 (1y) | ||
| Daniel Charles Regan | Registered representative | Jul 2025 (1y) | ||
| Daniel Guy Deblois | Registered representative | Jul 2025 (1y) | ||
| Daniel Joseph D'andreano | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Darel Thomas Crosby | Registered representative | Jul 2025 (1y) | ||
| Darren Matthew Morgan | Registered representative | Jul 2025 (1y) | ||
| David Alan Locurcio | Registered representative | Jul 2025 (1y) | ||
| David Carl Vanmeter | Registered representative | Jul 2025 (1y) | ||
| David Earl Parker | Registered representative | CFP | Jul 2025 (1y) | |
| David Frederick Brown | Registered representative | Jul 2025 (1y) | ||
| David Joseph Mihlon | Registered representative | CFP CFA | Jul 2025 (1y) | |
| David Joseph Paladino | Registered representative | Jul 2025 (1y) | ||
| David Kemp Christianson | Registered representative | CFP | Jul 2025 (1y) | |
| David Lesnick | Registered representative | Jul 2025 (1y) | ||
| David Michael Patrick | Registered representative | Jul 2025 (1y) | ||
| David N. Ivancic | Registered representative | CFP | Jul 2025 (1y) | |
| David Paul Ackel | Registered representative | Jul 2025 (1y) | ||
| David Vincent Reuben | Registered representative | Jul 2025 (1y) | ||
| David W Fowler | Registered representative | Jul 2025 (1y) | ||
| David Warren Cade | Registered representative | Jul 2025 (1y) | ||
| Dean George Leounis | Registered representative | Jul 2025 (1y) | ||
| Dena Mao | Registered representative | Jul 2025 (1y) | ||
| Denis Petrovic | Registered representative | Jul 2025 (1y) | ||
| Derek Michael Bell | Registered representative | Jul 2025 (1y) | ||
| Derek Wayne Gerstner | Registered representative | CFP | Jul 2025 (1y) | |
| Desiree Elaine Batiste | Registered representative | Jul 2025 (1y) | ||
| Devin William Rodgers | Registered representative | Jul 2025 (1y) | ||
| Dillon Michael Rodgers | Registered representative | Jul 2025 (1y) | ||
| Dominic Anthony Fiorello | Registered representative | Jul 2025 (1y) | ||
| Dominick Ruiz | Registered representative | Jul 2025 (1y) | ||
| Donald Chris Hubert | Registered representative | Jul 2025 (1y) | ||
| Donald John Popovitch | Registered representative | CFP | Jul 2025 (1y) | |
| Donald Wayne Rifkin | Registered representative | CFP | Jul 2025 (1y) | |
| Donald William Elliott | Registered representative | Jul 2025 (1y) | ||
| Douglas John Faust | Registered representative | Jul 2025 (1y) | ||
| Daniel A Oschmann | Registered representative | Jul 2025 (1y) | ||
| David John Miles | Registered representative | Jul 2025 (1y) | ||
| David Waikit Fung | Registered representative | Jul 2025 (1y) | ||
| Donald William Michael | Registered representative | Jul 2025 (1y) | ||
| Donnas Edmond Landry | Registered representative | Jul 2025 (1y) | ||
| Douglas Wesley Greene | Registered representative | CFP | Jul 2025 (1y) | |
| Earl Eugene Newsome | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Edward Aron Sommer | Registered representative | Jul 2025 (1y) | ||
| Edward David Dipietro | Registered representative | Jul 2025 (1y) | ||
| Edwin Keith Milner | Registered representative | Jul 2025 (1y) | ||
| Eli Mann Saline | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Eric Allen Strickland | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Eric Christopher Hagen | Registered representative | Jul 2025 (1y) | ||
| Eric James Walters | Registered representative | Jul 2025 (1y) | ||
| Eric Lee Ferry | Registered representative | CFP | Jul 2025 (1y) | |
| Eric S Schod | Registered representative | Jul 2025 (1y) | ||
| Erin E Jones Briney | Registered representative | Jul 2025 (1y) | ||
| Ernest Burley | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Ethan Alexander William Quirin | Registered representative | Jul 2025 (1y) | ||
| Eugene Marciano Saulibio | Registered representative | Jul 2025 (1y) | ||
| Evan Levy Baskin Evans | Registered representative | Jul 2025 (1y) | ||
| Edward Francis Wright | Registered representative | CFP | Jul 2025 (1y) | |
| Erik Truxal | Registered representative | CFP | Jul 2025 (1y) | |
| Farid Farhoumand | Registered representative | Jul 2025 (1y) | ||
| Frank Erhard Kramer | Registered representative | Jul 2025 (1y) | ||
| Frank Kai Wang | Registered representative | Jul 2025 (1y) | ||
| Frank Llyod Davidson | Registered representative | Jul 2025 (1y) | ||
| Frank Michael Brown | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Frank Peter Diulus | Registered representative | Jul 2025 (1y) | ||
| Gary James Gorga | Registered representative | Jul 2025 (1y) | ||
| Gary Raymond Barnes | Registered representative | Jul 2025 (1y) | ||
| Geoffrey Mark Odonnell | Registered representative | Jul 2025 (1y) | ||
| George Edward Heathcote | Registered representative | Jul 2025 (1y) | ||
| George John Marshall | Registered representative | Jul 2025 (1y) | ||
| George Kostov Bidjov | Registered representative | CFP | Jul 2025 (1y) | |
| George Theodore Davis | Registered representative | Jul 2025 (1y) | ||
| Gerard Joseph Colistra | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| German A Cabrera | Registered representative | Jul 2025 (1y) | ||
| Gilberto Alejandro Paiz | Registered representative | Jul 2025 (1y) | ||
| Glenn Jay Tassey | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Glenn Philip Scharf | Registered representative | Jul 2025 (1y) | ||
| Graig Stephen Nickel | Registered representative | CFA | Jul 2025 (1y) | |
| Gregg William Nelsen | Registered representative | Jul 2025 (1y) | ||
| Gregory James Irwin | Registered representative | CFP | Jul 2025 (1y) | |
| Gregory Lloyd Daniel | Registered representative | CFP | Jul 2025 (1y) | |
| Gary Stuart Kokin | Registered representative | Jul 2025 (1y) | ||
| Giancarlo Antonio Foti | Registered representative | Jul 2025 (1y) | ||
| H Daniel Lovelace | Registered representative | Jul 2025 (1y) | ||
| Hal Mark Allen | Registered representative | Jul 2025 (1y) | ||
| Hamid Sasaninejad | Registered representative | Jul 2025 (1y) | ||
| Harold William Tomlinson | Registered representative | Jul 2025 (1y) | ||
| Harvey Lee Ford | Registered representative | Jul 2025 (1y) | ||
| Henry Thomas Petry | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Ha Nguyen | Registered representative | CFP | Jul 2025 (1y) | |
| Hunter J Dempsey | Registered representative | Jul 2025 (1y) | ||
| Hunter Robert Lowry | Registered representative | CFP | Jul 2025 (1y) | |
| Isaac Ygal Iny | Registered representative | Jul 2025 (1y) | ||
| Ivana Lotoshynski | Registered representative | CFP | Jul 2025 (1y) | |
| Ian Magor | Registered representative | CFP | Jul 2025 (1y) | |
| Jack Cupelli | Registered representative | Jul 2025 (1y) | ||
| Jacqueline Wearstler Marshall | Registered representative | Jul 2025 (1y) | ||
| James Bradley Sleeper | Registered representative | Jul 2025 (1y) | ||
| James Carlyle Blakely | Registered representative | Jul 2025 (1y) | ||
| James Daniel Mcaleese | Registered representative | CFP | Jul 2025 (1y) | |
| James Earl Broaddus | Registered representative | Jul 2025 (1y) | ||
| James Grant Varzal | Registered representative | Jul 2025 (1y) | ||
| James Gregory Goupil | Registered representative | Jul 2025 (1y) | ||
| James Michael Stahl | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| James Pasquale Nunciato | Registered representative | Jul 2025 (1y) | ||
| James Patrick Richardson | Registered representative | Jul 2025 (1y) | ||
| James Robert Hanson | Registered representative | Jul 2025 (1y) | ||
| Jason Mark Kurz | Registered representative | Jul 2025 (1y) | ||
| Jean M. Catanese | Registered representative | Jul 2025 (1y) | ||
| Jeffrey Alexander Stanek | Registered representative | Jul 2025 (1y) | ||
| Jeffrey D Snyder | Registered representative | Jul 2025 (1y) | ||
| Jeffrey Edward Boyea | Registered representative | Jul 2025 (1y) | ||
| Jeffrey Edwin Hahn | Registered representative | CFP | Jul 2025 (1y) | |
| Jeffrey Gordon Wrightson | Registered representative | Jul 2025 (1y) | ||
| Jeffrey Lawrence Jackson | Registered representative | CFP | Jul 2025 (1y) | |
| Jennifer M Valley | Registered representative | Jul 2025 (1y) | ||
| Jeremy Dwight Blewett | Registered representative | Jul 2025 (1y) | ||
| Jessica Bach | Registered representative | Jul 2025 (1y) | ||
| Jessica Marie Sullivan | Registered representative | Jul 2025 (1y) | ||
| Jing Sun | Registered representative | Jul 2025 (1y) | ||
| John Anthony Sobrinski | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| John Anthony Sobrinski | Registered representative | Jul 2025 (1y) | ||
| John Brian Mccarthy | Registered representative | Jul 2025 (1y) | ||
| John Charles L'abbate | Registered representative | CFP | Jul 2025 (1y) | |
| John David Danzer | Registered representative | Jul 2025 (1y) | ||
| John E Downing | Registered representative | CFP | Jul 2025 (1y) | |
| John Gattulli | Registered representative | Jul 2025 (1y) | ||
| John Harley Crow | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| John Kevin Mckenty | Registered representative | Jul 2025 (1y) | ||
| John Paul Bray | Registered representative | Jul 2025 (1y) | ||
| John Rodney Tarnow | Registered representative | Jul 2025 (1y) | ||
| John Stephen Stanek | Registered representative | CFP | Jul 2025 (1y) | |
| John W Messersmith | Registered representative | Jul 2025 (1y) | ||
| John Wyatt Williamson | Registered representative | CFP | Jul 2025 (1y) | |
| Jon Andrew Law | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Jon David Thomas | Registered representative | Jul 2025 (1y) | ||
| Jonathan David Weir | Registered representative | Jul 2025 (1y) | ||
| Jonathan Keith Jaeger | Registered representative | Jul 2025 (1y) | ||
| Jonathan Lorne Kravitz | Registered representative | Jul 2025 (1y) | ||
| Jonathon Daniel Mcfall | Registered representative | Jul 2025 (1y) | ||
| Joseph Andrew Gontarz | Registered representative | Jul 2025 (1y) | ||
| Joseph Anthony Bufalino | Registered representative | Jul 2025 (1y) | ||
| Joseph J Correia | Registered representative | Jul 2025 (1y) | ||
| Joseph Lee Stork | Registered representative | Jul 2025 (1y) | ||
| Joseph M. Gunning | Registered representative | Jul 2025 (1y) | ||
| Joseph Michael Murtagh | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Joseph Patrick Bohen | Registered representative | Jul 2025 (1y) | ||
| Joseph Paul Barrasse | Registered representative | Jul 2025 (1y) | ||
| Joseph Robert Calandra | Registered representative | CFP | Jul 2025 (1y) | |
| Joshua Michael Palmer | Registered representative | Jul 2025 (1y) | ||
| Jacob Aaron Strusa | Registered representative | Jul 2025 (1y) | ||
| James Anthony Delaney | Registered representative | Jul 2025 (1y) | ||
| James Christopher Slaughter | Registered representative | Jul 2025 (1y) | ||
| James Douglas Souslin | Registered representative | Jul 2025 (1y) | ||
| James H Mooney | Registered representative | Jul 2025 (1y) | ||
| James Richard Coupe | Registered representative | Jul 2025 (1y) | ||
| Jared Scott Mason | Registered representative | Jul 2025 (1y) | ||
| Jason Paul Moody | Registered representative | Jul 2025 (1y) | ||
| Jennifer S Cucinotta | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| John Edward Manne | Registered representative | Jul 2025 (1y) | ||
| Jonathan Scott Casebolt | Registered representative | CFP | Jul 2025 (1y) | |
| Jordan Colby Sandler | Registered representative | Jul 2025 (1y) | ||
| Joseph Constantine Bonacci | Registered representative | CFA | Jul 2025 (1y) | |
| Joseph Nestler | Registered representative | Jul 2025 (1y) | ||
| Joseph Patrick Fahey | Registered representative | CFP | Jul 2025 (1y) | |
| Joshua T Bergen | Registered representative | Jul 2025 (1y) | ||
| Jue Hua Rae Yau | Registered representative | Jul 2025 (1y) | ||
| Kaitlin Marie Eberhart | Registered representative | Jul 2025 (1y) | ||
| Kalvin Sid | Registered representative | CFP | Jul 2025 (1y) | |
| Karen Lea Vanleeuwen | Registered representative | Jul 2025 (1y) | ||
| Karl Ernst Klinger | Registered representative | CFP | Jul 2025 (1y) | |
| Kathleen Mary Healy Englehart | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Kathleen Mary Moore | Registered representative | Jul 2025 (1y) | ||
| Kathleen Teresa Kaffenberger | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Kathryn Swan | Registered representative | Jul 2025 (1y) | ||
| Keith Alan Bowers | Registered representative | Jul 2025 (1y) | ||
| Kenneth Joseph Noll | Registered representative | CFP | Jul 2025 (1y) | |
| Kenneth Owen Decker | Registered representative | Jul 2025 (1y) | ||
| Kevin Christopher Flood | Registered representative | Jul 2025 (1y) | ||
| Kevin Daniel Bayani | Registered representative | CFP | Jul 2025 (1y) | |
| Kevin Frawley O'connor | Registered representative | Jul 2025 (1y) | ||
| Kevin James Duke | Registered representative | Jul 2025 (1y) | ||
| Kevin Joseph Murphy | Registered representative | Jul 2025 (1y) | ||
| Kevin Lawrence Mahoney | Registered representative | CFP | Jul 2025 (1y) | |
| Kevin Thomas Curry | Registered representative | Jul 2025 (1y) | ||
| Kim Marie Fogle | Registered representative | Jul 2025 (1y) | ||
| Kinch Edward Meyer | Registered representative | Jul 2025 (1y) | ||
| Kristen Kyung Musich | Registered representative | Jul 2025 (1y) | ||
| Kaitlyn Nicole Pfluger | Registered representative | Jul 2025 (1y) | ||
| Karen Leigh Krolak | Registered representative | Jul 2025 (1y) | ||
| Kay Renneisen Hughes | Registered representative | CFP | Jul 2025 (1y) | |
| Kenneth Steven Nager | Registered representative | Jul 2025 (1y) | ||
| Kevin Scott Henderson | Registered representative | Jul 2025 (1y) | ||
| Kimberly Evelyn Kowalski | Registered representative | Jul 2025 (1y) | ||
| Larry Joseph Sklar | Registered representative | Jul 2025 (1y) | ||
| Laura Michelle Palacios | Registered representative | Jul 2025 (1y) | ||
| Laurence James Schnall | Registered representative | CFP | Jul 2025 (1y) | |
| Lawrence Kurt Weiss | Registered representative | CFP | Jul 2025 (1y) | |
| Lawrence William Mcgrath | Registered representative | CFP | Jul 2025 (1y) | |
| Lee Evan Rosenberg | Registered representative | CFP | Jul 2025 (1y) | |
| Lee Melvin Harp | Registered representative | Jul 2025 (1y) | ||
| Lee Warren Framer | Registered representative | Jul 2025 (1y) | ||
| Leena Bhojraj | Registered representative | Jul 2025 (1y) | ||
| Leo Patrick White | Registered representative | Jul 2025 (1y) | ||
| Leo Thomas Mcallister | Registered representative | Jul 2025 (1y) | ||
| Leslie Marie Troisi | Registered representative | Jul 2025 (1y) | ||
| Lester George Bostwick | Registered representative | Jul 2025 (1y) | ||
| Lester Joseph Robinson | Registered representative | Jul 2025 (1y) | ||
| Letitia Cordell | Registered representative | Jul 2025 (1y) | ||
| Linda R Burns | Registered representative | Jul 2025 (1y) | ||
| Lloyd George Fix | Registered representative | Jul 2025 (1y) | ||
| Louis Gerald Mammana | Registered representative | CFP | Jul 2025 (1y) | |
| Louis Nicholas Mancinelli | Registered representative | Jul 2025 (1y) | ||
| Liam Davis | Registered representative | Jul 2025 (1y) | ||
| Liyuan Lee | Registered representative | Jul 2025 (1y) | ||
| Luke Lawrence Van Meter | Registered representative | Jul 2025 (1y) | ||
| Mac Edward Cadaret | Registered representative | Jul 2025 (1y) | ||
| Marie Caldera | Registered representative | Jul 2025 (1y) | ||
| Mark Allen Davidson | Registered representative | Jul 2025 (1y) | ||
| Mark Anthony Catanese | Registered representative | Jul 2025 (1y) | ||
| Mark Anthony D'annunzio | Registered representative | Jul 2025 (1y) | ||
| Mark Anthony Saya | Registered representative | Jul 2025 (1y) | ||
| Mark David Rosenfeld | Registered representative | Personal Financial Specialist | Jul 2025 (1y) | |
| Mark David Vacca | Registered representative | Jul 2025 (1y) | ||
| Mark Dennis Wetterholm | Registered representative | Jul 2025 (1y) | ||
| Mark Edward Johnson | Registered representative | Jul 2025 (1y) | ||
| Mark Ernest Adam | Registered representative | Jul 2025 (1y) | ||
| Mark L Driscoll | Registered representative | Jul 2025 (1y) | ||
| Mark Michael Peterson | Registered representative | CFP | Jul 2025 (1y) | |
| Mark Stephen Stanley | Registered representative | Jul 2025 (1y) | ||
| Mark Thomas Maertzig | Registered representative | Jul 2025 (1y) | ||
| Marlena Elizabeth Anderson | Registered representative | Jul 2025 (1y) | ||
| Mary Elizabeth Quackenbush | Registered representative | Jul 2025 (1y) | ||
| Maryann Pierce | Registered representative | Jul 2025 (1y) | ||
| Marybeth Heslin Hofmeister | Registered representative | CFP | Jul 2025 (1y) | |
| Matthew Adam Matcovsky | Registered representative | Jul 2025 (1y) | ||
| Matthew Craig Kapanek | Registered representative | Jul 2025 (1y) | ||
| Matthew Glenn Medlock | Registered representative | Jul 2025 (1y) | ||
| Matthew John Wright | Registered representative | Jul 2025 (1y) | ||
| Matthew Michael Maertzig | Registered representative | CFP | Jul 2025 (1y) | |
| Matthew Ryan Holtz | Registered representative | Jul 2025 (1y) | ||
| Matthew S Giese | Registered representative | Jul 2025 (1y) | ||
| Matthew Smolsky | Registered representative | Jul 2025 (1y) | ||
| Matthew Thomas Lawson | Registered representative | Jul 2025 (1y) | ||
| Matthew Timothy Meagher | Registered representative | Jul 2025 (1y) | ||
| Mei Lyn Nelson | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Melanie Frank | Registered representative | Jul 2025 (1y) | ||
| Melinda Anciso Kaiser | Registered representative | Jul 2025 (1y) | ||
| Melissa Anne Bower | Registered representative | Jul 2025 (1y) | ||
| Micah L Saulibio | Registered representative | Jul 2025 (1y) | ||
| Michael Allen Triebwasser | Registered representative | Jul 2025 (1y) | ||
| Michael Andrew Bell | Registered representative | CFP | Jul 2025 (1y) | |
| Michael Anthony Milazzo | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Michael Bradford Cannon | Registered representative | Jul 2025 (1y) | ||
| Michael Christopher Polacek | Registered representative | Jul 2025 (1y) | ||
| Michael David Riorden | Registered representative | Jul 2025 (1y) | ||
| Michael Dean Anderson | Registered representative | Jul 2025 (1y) | ||
| Michael Douglas Matlock | Registered representative | Jul 2025 (1y) | ||
| Michael Edward Zivica | Registered representative | Jul 2025 (1y) | ||
| Michael Ernest Edwards | Registered representative | Jul 2025 (1y) | ||
| Michael Finn Coomes | Registered representative | Jul 2025 (1y) | ||
| Michael Gerard Mccabe | Registered representative | Jul 2025 (1y) | ||
| Michael Joseph Godfrey | Registered representative | CFP | Jul 2025 (1y) | |
| Michael Lis | Registered representative | Jul 2025 (1y) | ||
| Michael Lynn Guess | Registered representative | Jul 2025 (1y) | ||
| Michael Nobile | Registered representative | Jul 2025 (1y) | ||
| Michael Oleary | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Michael Todd Sassaman | Registered representative | Jul 2025 (1y) | ||
| Michelle Elizabeth Lyman | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Mitchell Alexander Jobe | Registered representative | Jul 2025 (1y) | ||
| Mitchell Owen Goldberg | Registered representative | Jul 2025 (1y) | ||
| Myles Raymond Firey | Registered representative | Jul 2025 (1y) | ||
| Mason Marshburn | Registered representative | Jul 2025 (1y) | ||
| Matthew Clouden | Registered representative | Jul 2025 (1y) | ||
| Matthew Newman | Registered representative | Jul 2025 (1y) | ||
| Matthew T Scheff | Registered representative | Jul 2025 (1y) | ||
| Michael Albert Mareno | Registered representative | Jul 2025 (1y) | ||
| Michael Allen Granica | Registered representative | CFP | Jul 2025 (1y) | |
| Michael David Lopez | Registered representative | CFP | Jul 2025 (1y) | |
| Michael James Supernault | Registered representative | Jul 2025 (1y) | ||
| Michael Ryan Kern | Registered representative | Jul 2025 (1y) | ||
| Michael Thomas Jones | Registered representative | Jul 2025 (1y) | ||
| Michael Zawadiwskyi | Registered representative | CFP | Jul 2025 (1y) | |
| Neil Olden Obrien | Registered representative | Jul 2025 (1y) | ||
| Nicholas Antonio Scammacca | Registered representative | Jul 2025 (1y) | ||
| Nikhil C Modi | Registered representative | Jul 2025 (1y) | ||
| Nathan Morris Kross | Registered representative | Jul 2025 (1y) | ||
| Nathaniel Turner Clark | Registered representative | Jul 2025 (1y) | ||
| Nicholas Joseph Scheibner | Registered representative | CFP | Jul 2025 (1y) | |
| Nicholas Kelley | Registered representative | Jul 2025 (1y) | ||
| Nicole Cardenas | Registered representative | Jul 2025 (1y) | ||
| Noah Kravitz | Registered representative | Jul 2025 (1y) | ||
| Patricia Ann Sargent | Registered representative | CFP | Jul 2025 (1y) | |
| Patrick David Mossman | Registered representative | Jul 2025 (1y) | ||
| Patrick Glenn Bennett | Registered representative | Jul 2025 (1y) | ||
| Paul Andrew Spero | Registered representative | Jul 2025 (1y) | ||
| Paul Anthony Levis | Registered representative | Jul 2025 (1y) | ||
| Paul Bennet Ondersma | Registered representative | Jul 2025 (1y) | ||
| Paul David Gaschen | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Paul Francis Jacobs | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Paul Scott Levis | Registered representative | CFP CFA | Jul 2025 (1y) | |
| Perry Keith Waring | Registered representative | Jul 2025 (1y) | ||
| Peter Gutschenritter | Registered representative | CFP | Jul 2025 (1y) | |
| Peter Joseph Hussey | Registered representative | CFP | Jul 2025 (1y) | |
| Peter Thomas Grimm | Registered representative | Jul 2025 (1y) | ||
| Philip Joseph Fulco | Registered representative | CFP | Jul 2025 (1y) | |
| Philip Kong | Registered representative | Jul 2025 (1y) | ||
| Philip Vincent Settembrino | Registered representative | Jul 2025 (1y) | ||
| Paul Lawrence Carr | Registered representative | Jul 2025 (1y) | ||
| Paul Nicholas Butler | Registered representative | Jul 2025 (1y) | ||
| Peter C Hafner | Registered representative | CFP | Jul 2025 (1y) | |
| Quentin Bradley White | Registered representative | Jul 2025 (1y) | ||
| R Patricia Grenier | Registered representative | CFP | Jul 2025 (1y) | |
| Rachel Olivia Minor | Registered representative | Jul 2025 (1y) | ||
| Ramon Maxton Mejia | Registered representative | Jul 2025 (1y) | ||
| Randal C Worden | Registered representative | Jul 2025 (1y) | ||
| Raymond John Beninato | Registered representative | Jul 2025 (1y) | ||
| Raymond M. Henri | Registered representative | Jul 2025 (1y) | ||
| Raymond Neil Bergen | Registered representative | CFP | Jul 2025 (1y) | |
| Reginald Bradley Stiles | Registered representative | Jul 2025 (1y) | ||
| Richard Brian Pombo | Registered representative | Jul 2025 (1y) | ||
| Richard J. Warner | Registered representative | Jul 2025 (1y) | ||
| Rikesha Ann Fuller Keen | Registered representative | Jul 2025 (1y) | ||
| Robert A Claros | Registered representative | Jul 2025 (1y) | ||
| Robert Bynum Miers | Registered representative | Jul 2025 (1y) | ||
| Robert Edward Edgecombe | Registered representative | Jul 2025 (1y) | ||
| Robert F. Schmocker | Registered representative | Jul 2025 (1y) | ||
| Robert Francis Caselli | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Robert Francis Fahey | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Robert Gerard Hurley | Registered representative | CFP | Jul 2025 (1y) | |
| Robert Paul Reichelt | Registered representative | Jul 2025 (1y) | ||
| Robert Scott Levine | Registered representative | Jul 2025 (1y) | ||
| Robin Ann Deflice | Registered representative | Jul 2025 (1y) | ||
| Rodney Jerard Derbigny | Registered representative | Jul 2025 (1y) | ||
| Rodney Roy Rollins | Registered representative | Jul 2025 (1y) | ||
| Roman George Jarosh | Registered representative | Jul 2025 (1y) | ||
| Ron Anthony Carboni | Registered representative | Jul 2025 (1y) | ||
| Ron Bednarz | Registered representative | Jul 2025 (1y) | ||
| Ronald Allen | Registered representative | CFP | Jul 2025 (1y) | |
| Ronald Gilbert Smith | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Ronald James Briggs | Registered representative | Jul 2025 (1y) | ||
| Ronald Joseph Capone | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Ronald Noel Ferguson | Registered representative | Jul 2025 (1y) | ||
| Rory Jacob Dale Hart | Registered representative | Jul 2025 (1y) | ||
| Roy Gerard Casper | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Russell Paul Saurbaugh | Registered representative | Jul 2025 (1y) | ||
| Ryan Bell | Registered representative | Jul 2025 (1y) | ||
| Ryan John Delcarlo | Registered representative | Jul 2025 (1y) | ||
| Ryan Keith Twogood | Registered representative | Jul 2025 (1y) | ||
| Ryan Peter Hussey | Registered representative | Jul 2025 (1y) | ||
| Ryan W York | Registered representative | Jul 2025 (1y) | ||
| Rachel Lynn Yost | Registered representative | Jul 2025 (1y) | ||
| Raymond Auman | Registered representative | Jul 2025 (1y) | ||
| Raymond John Zegger | Registered representative | CFP | Jul 2025 (1y) | |
| Ricardo Martin Cadena | Registered representative | Jul 2025 (1y) | ||
| Robert Francis Fahey | Registered representative | Jul 2025 (1y) | ||
| Robert T Bird | Registered representative | CFP | Jul 2025 (1y) | |
| Robert W Albert | Registered representative | Jul 2025 (1y) | ||
| Ronald Dean Segon | Registered representative | Jul 2025 (1y) | ||
| Russell Yamauchi | Registered representative | Jul 2025 (1y) | ||
| Ryan Douglas Moore | Registered representative | Jul 2025 (1y) | ||
| Ryan James Holtz | Registered representative | Jul 2025 (1y) | ||
| Samuel Matechak | Registered representative | Jul 2025 (1y) | ||
| Sandra Lynn Kobel | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Scott Alan Ferguson | Registered representative | Jul 2025 (1y) | ||
| Scott Allen Hansen | Registered representative | CFP | Jul 2025 (1y) | |
| Scott Clarkson Pandillo | Registered representative | Jul 2025 (1y) | ||
| Scott Clinton Weaver | Registered representative | CFP | Jul 2025 (1y) | |
| Scott Richard Onofry | Registered representative | CFP | Jul 2025 (1y) | |
| Scott Timothy Hinchey | Registered representative | Jul 2025 (1y) | ||
| Sean Caywood | Registered representative | Jul 2025 (1y) | ||
| Sean Huff | Registered representative | Jul 2025 (1y) | ||
| Sean P Mcallister | Registered representative | Jul 2025 (1y) | ||
| Seth Noah Greene | Registered representative | Jul 2025 (1y) | ||
| Shawn William Greenland | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Sherry Allyn Adler | Registered representative | Jul 2025 (1y) | ||
| Sloan Dylan Walters | Registered representative | Jul 2025 (1y) | ||
| Stefan Lamar Reddrick | Registered representative | Jul 2025 (1y) | ||
| Stephanie K. Bailey | Registered representative | Jul 2025 (1y) | ||
| Stephanie Marie Garlock | Registered representative | CFP | Jul 2025 (1y) | |
| Stephen Alexander Perove | Registered representative | Jul 2025 (1y) | ||
| Stephen Anthony Nappo | Registered representative | Jul 2025 (1y) | ||
| Stephen Edward Smith | Registered representative | Jul 2025 (1y) | ||
| Stephen J Carrione | Registered representative | Jul 2025 (1y) | ||
| Stephen Paul Aquilino | Registered representative | Jul 2025 (1y) | ||
| Stephen R Pratola | Registered representative | Jul 2025 (1y) | ||
| Steven Albert Mannato | Registered representative | Jul 2025 (1y) | ||
| Steven Lynn Nelson | Registered representative | Jul 2025 (1y) | ||
| Steven Scott Yezzo | Registered representative | Jul 2025 (1y) | ||
| Sarah Katherine Decker | Registered representative | Jul 2025 (1y) | ||
| Sean Nicholas Donovan | Registered representative | Jul 2025 (1y) | ||
| Steven Mac Near | Registered representative | Jul 2025 (1y) | ||
| Terri Aycock Hunter | Registered representative | Jul 2025 (1y) | ||
| Terry Dean Toman | Registered representative | Jul 2025 (1y) | ||
| Thierry Vincent Sommer | Registered representative | Jul 2025 (1y) | ||
| Thomas Anthony Ierna | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Thomas Edgar Stolberg | Registered representative | Jul 2025 (1y) | ||
| Thomas Gerard Heller | Registered representative | Jul 2025 (1y) | ||
| Thomas James Fiorelli | Registered representative | CFP | Jul 2025 (1y) | |
| Thomas Van Herndon | Registered representative | Jul 2025 (1y) | ||
| Thomas W Repass | Registered representative | Jul 2025 (1y) | ||
| Timothy James Holtz | Registered representative | Jul 2025 (1y) | ||
| Timothy James Warnett | Registered representative | Jul 2025 (1y) | ||
| Timothy John Mcmahon | Registered representative | Jul 2025 (1y) | ||
| Timothy Michael Pease | Registered representative | Jul 2025 (1y) | ||
| Todd Victor Giere | Registered representative | Jul 2025 (1y) | ||
| Tracy A Brown | Registered representative | Jul 2025 (1y) | ||
| Tracy K Baker | Registered representative | Jul 2025 (1y) | ||
| Travis Scott Cruger | Registered representative | Jul 2025 (1y) | ||
| Thavanh Clayton Xayarath | Registered representative | Jul 2025 (1y) | ||
| Thomas F Beers | Registered representative | Jul 2025 (1y) | ||
| Timothy Buchanan | Registered representative | Jul 2025 (1y) | ||
| Travis Edward Kellman | Registered representative | CFP | Jul 2025 (1y) | |
| Tristan Piper | Registered representative | Jul 2025 (1y) | ||
| Victor George Moffitt | Registered representative | Jul 2025 (1y) | ||
| Victor Lee Lombardi | Registered representative | Jul 2025 (1y) | ||
| Victor Vincent Valverde | Registered representative | Jul 2025 (1y) | ||
| Wallace Gerald Hicks | Registered representative | Jul 2025 (1y) | ||
| Wayne Charles Young | Registered representative | CFP | Jul 2025 (1y) | |
| Wayne Dwight Lampley | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Wesley Arthur Wright | Registered representative | Jul 2025 (1y) | ||
| William Alan Altneu | Registered representative | Jul 2025 (1y) | ||
| William David Abbott | Registered representative | Jul 2025 (1y) | ||
| William Edward Bulmer | Registered representative | CFP | Jul 2025 (1y) | |
| William George Barry | Registered representative | CFP | Jul 2025 (1y) | |
| William Gerard Decker | Registered representative | Jul 2025 (1y) | ||
| William Harry Odonnell | Registered representative | Jul 2025 (1y) | ||
| William Joseph Settembrino | Registered representative | Jul 2025 (1y) | ||
| William Keegan Rathkamp | Registered representative | Jul 2025 (1y) | ||
| William W Respess | Registered representative | Jul 2025 (1y) | ||
| Winifred Wai Yi Ryan | Registered representative | Jul 2025 (1y) | ||
| William Louie Holmes | Registered representative | Jul 2025 (1y) | ||
| Zachary Burdette Walton | Registered representative | Jul 2025 (1y) | ||
| Zachary Adam Holbert | Registered representative | Jul 2025 (1y) | ||
| Zachary Bowerman | Registered representative | Jul 2025 (1y) | ||
| Zachary Ryan Green | Registered representative | Jul 2025 (1y) | ||
| Zachary Ryan Landy | Registered representative | Jul 2025 (1y) | ||
| Charles Andrew Musil | Registered representative | Jul 2025 (1y) | ||
| Caleb Andrew Sanders Snider | Registered representative | Jul 2025 (1y) | ||
| Daniel Francis O'neill | Registered representative | Jul 2025 (1y) | ||
| Edgar David Guevara | Registered representative | Jul 2025 (1y) | ||
| Hunter Myron Bassett | Registered representative | Jul 2025 (1y) | ||
| Ilyssa Long Burke | Registered representative | Jul 2025 (1y) | ||
| John Gennaro Espinosa | Registered representative | CFP | Jul 2025 (1y) | |
| Kathleen Lynn Knapp | Registered representative | Jul 2025 (1y) | ||
| Kaitlyn Alexander Gallant | Registered representative | Jul 2025 (1y) | ||
| Mark David Vernick | Registered representative | CFP | Jul 2025 (1y) | |
| Philip Felix Dannunzio | Registered representative | Jul 2025 (1y) | ||
| Ronald Scott Goldberg | Registered representative | Jul 2025 (1y) | ||
| Ryan Michael Zimmerman | Registered representative | Jul 2025 (1y) | ||
| Victor Antonio Morales | Registered representative | Jul 2025 (1y) | ||
| Wes Taylor | Registered representative | Jul 2025 (1y) | ||
| Scott Takashi Matsumoto | Registered representative | Jul 2025 (1y) | ||
| Arthur Giovanni Atkins | Registered representative | Jul 2025 (1y) | ||
| Charles Scott | Registered representative | Jul 2025 (1y) | ||
| David M Wilson | Registered representative | Jul 2025 (1y) | ||
| Landon Eric Neuman | Registered representative | Jul 2025 (1y) | ||
| Michael James Reilly | Registered representative | CFP | Jul 2025 (1y) | |
| Stephen M Plackis | Registered representative | Jul 2025 (1y) | ||
| Thomas Dean Miller | Registered representative | Jul 2025 (1y) | ||
| Thomas Michael Sullivan | Registered representative | Jul 2025 (1y) | ||
| Armando M Bustamante | Registered representative | Jul 2025 (1y) | ||
| Eric Edward Davenport | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Holli Lee Radakovich | Registered representative | Jul 2025 (1y) | ||
| Jared Wayne Walker | Registered representative | Jul 2025 (1y) | ||
| Jason Roy Radakovich | Registered representative | Jul 2025 (1y) | ||
| Katie Isabel Byers | Registered representative | Jul 2025 (1y) | ||
| Kelsey Rochelle Abbott | Registered representative | Jul 2025 (1y) | ||
| Robert Elwood Donlan | Registered representative | Jul 2025 (1y) | ||
| Samuel Long | Registered representative | Jul 2025 (1y) | ||
| Walter J Sedlock | Registered representative | Jul 2025 (1y) | ||
| Alisha Anne Hill | Registered representative | Jul 2025 (1y) | ||
| Blake Allen Boyd | Registered representative | Jul 2025 (1y) | ||
| Craig M Kilmer | Registered representative | Jul 2025 (1y) | ||
| Craig Andrew Wait | Registered representative | Jul 2025 (1y) | ||
| Joseph Doss | Registered representative | Jul 2025 (1y) | ||
| Jennifer Catherine Hayes | Registered representative | Jul 2025 (1y) | ||
| Jonathan Martinez Cervantes | Registered representative | Jul 2025 (1y) | ||
| Myles David Mcpartland | Registered representative | Jul 2025 (1y) | ||
| Robert Charles Likus | Registered representative | Jul 2025 (1y) | ||
| Ryan Keapproth | Registered representative | Jul 2025 (1y) | ||
| Ted Leroy Spurgeon | Registered representative | Jul 2025 (1y) | ||
| Brandon Michael Miller | Registered representative | Jul 2025 (1y) | ||
| Christy L Moulton | Registered representative | Jul 2025 (1y) | ||
| Daniel Peoples | Registered representative | Jul 2025 (1y) | ||
| David Douglas Burson | Registered representative | Personal Financial Specialist | Jul 2025 (1y) | |
| Jason Lewis | Registered representative | Jul 2025 (1y) | ||
| Joel Howard Fiddle | Registered representative | Jul 2025 (1y) | ||
| Kadeem Griffith | Registered representative | Jul 2025 (1y) | ||
| Amanda J Dibble | Registered representative | CFP | Jul 2025 (1y) | |
| Andrew C. Kuo | Registered representative | Jul 2025 (1y) | ||
| Dillon Blankenship | Registered representative | Jul 2025 (1y) | ||
| George Paul Cumbest | Registered representative | Jul 2025 (1y) | ||
| Nicholas Edward Castoro | Registered representative | Jul 2025 (1y) | ||
| Clinton R. Louiso | Registered representative | CFP | Jul 2025 (1y) | |
| Dwight Dai Lee | Registered representative | Jul 2025 (1y) | ||
| Eric T Allen | Registered representative | CFP | Jul 2025 (1y) | |
| Jesse Lee Mullins | Registered representative | Jul 2025 (1y) | ||
| Justin Anthony Sheffield | Registered representative | Jul 2025 (1y) | ||
| Joel Daniel Elmore | Registered representative | Jul 2025 (1y) | ||
| Kimberly Diane Dunbar | Registered representative | Jul 2025 (1y) | ||
| Michael Sean Taylor | Registered representative | CFP | Jul 2025 (1y) | |
| Rex William Johnson | Registered representative | Jul 2025 (1y) | ||
| Robbin Narike Preciado | Registered representative | Jul 2025 (1y) | ||
| Aaron David Dietz | Registered representative | Jul 2025 (1y) | ||
| Andrea Ismene Rodriguez | Registered representative | Jul 2025 (1y) | ||
| Blake Curry | Registered representative | Jul 2025 (1y) | ||
| Chelsey Elizabeth Spiller | Registered representative | Jul 2025 (1y) | ||
| Edward Allen Maynard | Registered representative | Jul 2025 (1y) | ||
| Jean Marie Stefanov | Registered representative | Jul 2025 (1y) | ||
| Ruby S Bohra | Registered representative | Jul 2025 (1y) | ||
| Christine Beckey Sager | Registered representative | Jul 2025 (1y) | ||
| Joseph Dean Hasler | Registered representative | Jul 2025 (1y) | ||
| Kirk Yiu Choi Tang | Registered representative | Jul 2025 (1y) | ||
| Michael Joseph De Persia | Registered representative | Jul 2025 (1y) | ||
| Stephanie Ann Yoingco | Registered representative | Jul 2025 (1y) | ||
| Conor Francis Guillott | Registered representative | Jul 2025 (1y) | ||
| Kimberly Jill Fitzpatrick | Registered representative | Jul 2025 (1y) | ||
| Alexander James Kruser | Registered representative | Jul 2025 (1y) | ||
| Brian Shane Jacobus | Registered representative | Jul 2025 (1y) | ||
| Heidi Gum | Registered representative | Jul 2025 (1y) | ||
| John Joseph Yetman | Registered representative | Jul 2025 (1y) | ||
| Jeffrey De Wayne Halverson | Registered representative | Jul 2025 (1y) | ||
| Laura Elizabeth Berg | Registered representative | Jul 2025 (1y) | ||
| Manish Mukhi | Registered representative | Jul 2025 (1y) | ||
| Mark Felice | Registered representative | Jul 2025 (1y) | ||
| Philip Kerry Ludwig | Registered representative | Jul 2025 (1y) | ||
| Byron Keith Akers | Registered representative | Jul 2025 (1y) | ||
| Christopher Hardy Davis | Registered representative | Jul 2025 (1y) | ||
| Donna Irene Crocker | Registered representative | Jul 2025 (1y) | ||
| David R Carlson | Registered representative | Jul 2025 (1y) | ||
| Dylan Davenport Seibold | Registered representative | Jul 2025 (1y) | ||
| Jack Richard Davidson | Registered representative | Jul 2025 (1y) | ||
| Katheryne Kristina Mcmillan | Registered representative | Jul 2025 (1y) | ||
| Kurt Edwin Philion | Registered representative | Jul 2025 (1y) | ||
| Lizette Parada | Registered representative | Jul 2025 (1y) | ||
| Thomas Gilbert Herrin | Registered representative | CFP | Jul 2025 (1y) | |
| Annette Nolan Pejeau | Registered representative | Jul 2025 (1y) | ||
| David E. Spellman | Registered representative | Jul 2025 (1y) | ||
| Erin Christine Kunz | Registered representative | Jul 2025 (1y) | ||
| Helen Maria Scannapieco | Registered representative | CFP | Jul 2025 (1y) | |
| Joseph Anthony Moriarty | Registered representative | Jul 2025 (1y) | ||
| Kimberly Kay Vande Vusse | Registered representative | Jul 2025 (1y) | ||
| Lauren Elise Fairbanks | Registered representative | Jul 2025 (1y) | ||
| Laurel D Wilson | Registered representative | Jul 2025 (1y) | ||
| Megan Burdick | Registered representative | Jul 2025 (1y) | ||
| Todd Kally Baird | Registered representative | CFP | Jul 2025 (1y) | |
| Asa Ray Clark | Registered representative | Jul 2025 (1y) | ||
| Beau Perry Lapage | Registered representative | Jul 2025 (1y) | ||
| Kevin Charles Parisi | Registered representative | Jul 2025 (1y) | ||
| Michael Lewis Stanford | Registered representative | Jul 2025 (1y) | ||
| Saul Fernandez Juarez | Registered representative | Jul 2025 (1y) | ||
| Vernon Hughes Stockton | Registered representative | Jul 2025 (1y) | ||
| Daniel Francis Desmond | Registered representative | Jul 2025 (1y) | ||
| Eric Reale | Registered representative | Jul 2025 (1y) | ||
| Irene Gomez Ramirez | Registered representative | Jul 2025 (1y) | ||
| John Lohse | Registered representative | CFA | Jul 2025 (1y) | |
| Kevin Dean Enomoto | Registered representative | CFP | Jul 2025 (1y) | |
| Michelle Marie Schroeder | Registered representative | Jul 2025 (1y) | ||
| Richard James Devlin | Registered representative | CFP | Jul 2025 (1y) | |
| Sade Topps | Registered representative | Jul 2025 (1y) | ||
| Seth Allen Condon | Registered representative | Jul 2025 (1y) | ||
| Spencer Ryan Langweil Sr | Registered representative | Jul 2025 (1y) | ||
| Alexandria Alicia Rosa | Registered representative | Aug 2025 (1y) | ||
| Eric Gottesman | Registered representative | Aug 2025 (1y) | ||
| Eszter Klara Koch | Registered representative | Aug 2025 (1y) | ||
| Edward Connor Maruna | Registered representative | Aug 2025 (1y) | ||
| Gregory S Eastman | Registered representative | Aug 2025 (1y) | ||
| Gaylord Wesley Rohloff | Registered representative | CFP | Aug 2025 (1y) | |
| Jenna Chloey Vitosh | Registered representative | CFP | Aug 2025 (1y) | |
| Mark H Johnson | Registered representative | CFP | Aug 2025 (1y) | |
| Matthew Creel Anderson | Registered representative | Aug 2025 (1y) | ||
| Nicolas Alex Luxama | Registered representative | Aug 2025 (1y) | ||
| Dawson Mc Cain Bass | Registered representative | Aug 2025 (1y) | ||
| Joseph Thomas Casey | Registered representative | Aug 2025 (1y) | ||
| Bradley Gerard Sonnier | Registered representative | Aug 2025 (1y) | ||
| Crystal Lynn Broadus | Registered representative | Aug 2025 (1y) | ||
| David Hilliard Satterwhite | Registered representative | Aug 2025 (1y) | ||
| Genessis Aviles | Registered representative | Aug 2025 (1y) | ||
| James Joseph Rehak | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Jonathan Neil Sarf | Registered representative | Aug 2025 (1y) | ||
| Jonpaul Wesley Ursick | Registered representative | Aug 2025 (1y) | ||
| Joseph Henry Shaw Iii | Registered representative | Aug 2025 (1y) | ||
| Joseph Victor Curatolo | Registered representative | Aug 2025 (1y) | ||
| James Justin Towne | Registered representative | CFP | Aug 2025 (1y) | |
| James Patrick Rehak | Registered representative | Aug 2025 (1y) | ||
| Jeffrey Alan Maclean | Registered representative | Aug 2025 (1y) | ||
| Laura Ann Cooley | Registered representative | Aug 2025 (1y) | ||
| Matthew Joseph Anderson | Registered representative | Aug 2025 (1y) | ||
| Melissa Rose Mcisaac | Registered representative | Aug 2025 (1y) | ||
| Marcy Michele Mackless | Registered representative | Aug 2025 (1y) | ||
| Matthew J Siva | Registered representative | Aug 2025 (1y) | ||
| Owen Litzelman | Registered representative | Aug 2025 (1y) | ||
| Robert C Birch | Registered representative | Aug 2025 (1y) | ||
| Ryan Thomas Miller | Registered representative | CFP | Aug 2025 (1y) | |
| Stacey M Prowse | Registered representative | Aug 2025 (1y) | ||
| Stephen Michael Wzontek | Registered representative | Aug 2025 (1y) | ||
| Tarry William Burkhardt | Registered representative | Aug 2025 (1y) | ||
| Todd Michael Tevens | Registered representative | Aug 2025 (1y) | ||
| Thomas Brown | Registered representative | Aug 2025 (1y) | ||
| William Lief Collins | Registered representative | Aug 2025 (1y) | ||
| Aerin Elizabeth Sirow | Registered representative | Aug 2025 (1y) | ||
| Angela Michelle Graham West | Registered representative | Aug 2025 (1y) | ||
| Anna Laureys Squier | Registered representative | Aug 2025 (1y) | ||
| Jacob Bryan Dean | Registered representative | Aug 2025 (1y) | ||
| Johnathan P Lyon | Registered representative | Aug 2025 (1y) | ||
| Kaleb Lane Nortridge | Registered representative | Aug 2025 (1y) | ||
| Robert Park | Registered representative | CFP | Aug 2025 (1y) | |
| Seth Michael Sonnier | Registered representative | Aug 2025 (1y) | ||
| Trevor Scott Cochrane | Registered representative | Aug 2025 (1y) | ||
| Allison Devine | Registered representative | Aug 2025 (1y) | ||
| Angela Carol Neyman | Registered representative | Aug 2025 (1y) | ||
| Casey Hall | Registered representative | Aug 2025 (1y) | ||
| Erik Dirk Saunders | Registered representative | Aug 2025 (1y) | ||
| Grant John Kozak | Registered representative | Aug 2025 (1y) | ||
| Isaac Heard | Registered representative | Aug 2025 (1y) | ||
| John Tsampas | Registered representative | Aug 2025 (1y) | ||
| Justin Thomas De Luca | Registered representative | Aug 2025 (1y) | ||
| Kim Elizabeth Wawrzynowicz | Registered representative | Aug 2025 (1y) | ||
| Katie Michelle Moyer | Registered representative | Aug 2025 (1y) | ||
| Katie Phipps Smith | Registered representative | Aug 2025 (1y) | ||
| Tercel Cameron West | Registered representative | Aug 2025 (1y) | ||
| Uriah Deshawn Williams | Registered representative | Aug 2025 (1y) | ||
| Wendy Joan Richardson | Registered representative | Aug 2025 (1y) | ||
| Chantal Dupuy Blanchard | Registered representative | Aug 2025 (1y) | ||
| Robert James Schup | Registered representative | Aug 2025 (1y) | ||
| Susan Brooks Orourke | Registered representative | Aug 2025 (1y) | ||
| Shawn Arthur Ogawa | Registered representative | Aug 2025 (1y) | ||
| Amber Rose | Registered representative | Aug 2025 (1y) | ||
| Christopher Green | Registered representative | Aug 2025 (1y) | ||
| Ian R Mann | Registered representative | CFP | Aug 2025 (1y) | |
| Joseph Andrew Marton | Registered representative | Aug 2025 (1y) | ||
| Julian Armand Garcia | Registered representative | Aug 2025 (1y) | ||
| Patrick Mccray | Registered representative | Aug 2025 (1y) | ||
| Samantha Nicole Cimino | Registered representative | Aug 2025 (1y) | ||
| Vincent John Cacciatore | Registered representative | Aug 2025 (1y) | ||
| Jack Gregory Waters | Registered representative | Aug 2025 (1y) | ||
| Andrew Fischer | Registered representative | Aug 2025 (1y) | ||
| Brandon Alexander Donahue | Registered representative | Aug 2025 (1y) | ||
| Glenn William Wheelock | Registered representative | Aug 2025 (1y) | ||
| Jay Patrick Simpson | Registered representative | Aug 2025 (1y) | ||
| Laura J Richards | Registered representative | CFP | Aug 2025 (1y) | |
| Lynea Yee | Registered representative | CFP | Aug 2025 (1y) | |
| Melanie Rae Malone | Registered representative | Aug 2025 (1y) | ||
| Ryan Larrabee | Registered representative | CFP | Aug 2025 (1y) | |
| Scott Michael Farnsworth | Registered representative | Aug 2025 (1y) | ||
| Adam Nickolas Stork | Registered representative | Aug 2025 (1y) | ||
| Brian Youngs | Registered representative | Aug 2025 (1y) | ||
| Kari Middleton | Registered representative | Aug 2025 (1y) | ||
| Keaton Deiter | Registered representative | Aug 2025 (1y) | ||
| Ethan T Davanport | Registered representative | Aug 2025 (1y) | ||
| Heidi Reif Jones | Registered representative | Aug 2025 (1y) | ||
| Lisa Gaye Marcelli | Registered representative | CFP | Aug 2025 (1y) | |
| Matthew Salvador Houston | Registered representative | Aug 2025 (1y) | ||
| Michael Hayes Hamilton | Registered representative | Aug 2025 (1y) | ||
| Michael Yacoub | Registered representative | Aug 2025 (1y) | ||
| Thomas Ross Stripling | Registered representative | Aug 2025 (1y) | ||
| Thomas Wagner | Registered representative | Aug 2025 (1y) | ||
| Valencia Joyce Linton | Registered representative | Aug 2025 (1y) | ||
| Willi Walter Reif | Registered representative | Aug 2025 (1y) | ||
| Blayne Anderson | Registered representative | Aug 2025 (1y) | ||
| Christopher Fredrick Rueger | Registered representative | Aug 2025 (1y) | ||
| Cory Austin Nye | Registered representative | Aug 2025 (1y) | ||
| Dylan Campbell Furlong | Registered representative | Aug 2025 (1y) | ||
| Jason Matthew Sechrist | Registered representative | CFP | Aug 2025 (1y) | |
| John Patrick English | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Kyle Yuchin Chuang | Registered representative | CFP | Aug 2025 (1y) | |
| Megan R Krannig | Registered representative | Aug 2025 (1y) | ||
| Parker Hansen | Registered representative | Aug 2025 (1y) | ||
| Paul Matthew Schreier | Registered representative | CFP Chartered Financial Consultant | Aug 2025 (1y) | |
| Robert Joseph Sechrist | Registered representative | CFP | Aug 2025 (1y) | |
| Travis James Reap | Registered representative | Aug 2025 (1y) | ||
| Annie C Evans | Registered representative | Aug 2025 (1y) | ||
| Bailey Kathleen Byford | Registered representative | CFP | Aug 2025 (1y) | |
| Jeffrey J Carter | Registered representative | Aug 2025 (1y) | ||
| Justin N Gardiner | Registered representative | Aug 2025 (1y) | ||
| Justin Christmas | Registered representative | CFP | Aug 2025 (1y) | |
| Mark R Stein | Registered representative | Aug 2025 (1y) | ||
| Mason Lee Schuler | Registered representative | Aug 2025 (1y) | ||
| Mohit Nigam | Registered representative | Aug 2025 (1y) | ||
| Robert Joseph Bettermann | Registered representative | Aug 2025 (1y) | ||
| Shawna Terese Shevlin Partain | Registered representative | Aug 2025 (1y) | ||
| Steffen Karl Mc Caughtry | Registered representative | Aug 2025 (1y) | ||
| Braxton L Barbato | Registered representative | Aug 2025 (1y) | ||
| Andrew Coughlin | Registered representative | Aug 2025 (1y) | ||
| Anthony Michael Richardson | Registered representative | Aug 2025 (1y) | ||
| Connor Emery Anderson Makis | Registered representative | Aug 2025 (1y) | ||
| Corey Todd Myers | Registered representative | CFP | Aug 2025 (1y) | |
| Dennile Lynne Haddock | Registered representative | Aug 2025 (1y) | ||
| Dolores B Mitchell | Registered representative | Aug 2025 (1y) | ||
| David A Malinowsky | Registered representative | Aug 2025 (1y) | ||
| John Philip Williams | Registered representative | Aug 2025 (1y) | ||
| Kevin Colby Harvel | Registered representative | Aug 2025 (1y) | ||
| Kelsey Heinrich | Registered representative | Aug 2025 (1y) | ||
| Lance Edward Barnhardt | Registered representative | Aug 2025 (1y) | ||
| Matthew Fazendeiro | Registered representative | Aug 2025 (1y) | ||
| Nicholas Agnone | Registered representative | Aug 2025 (1y) | ||
| Nicholas Byars | Registered representative | Aug 2025 (1y) | ||
| Paul David Slaughter | Registered representative | Aug 2025 (1y) | ||
| Peter John Craig | Registered representative | CFP | Aug 2025 (1y) | |
| Scott William Davis | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Sergio Gabriel Garza | Registered representative | Aug 2025 (1y) | ||
| Sara C Heiligenthaler | Registered representative | Aug 2025 (1y) | ||
| Todd Andrew Rose | Registered representative | Aug 2025 (1y) | ||
| William Christopher Hawkins | Registered representative | Aug 2025 (1y) | ||
| Christopher Constant | Registered representative | Aug 2025 (1y) | ||
| Kenan Fazlic | Registered representative | Aug 2025 (1y) | ||
| Leslie Ann Coulson | Registered representative | Aug 2025 (1y) | ||
| Michael John Oresick | Registered representative | CFP | Aug 2025 (1y) | |
| Michael Tartarini | Registered representative | Aug 2025 (1y) | ||
| Preston Hayes Earle | Registered representative | Aug 2025 (1y) | ||
| Thomas Abildgaard | Registered representative | Aug 2025 (1y) | ||
| Angela Renna | Registered representative | Aug 2025 (1y) | ||
| Alexander Joseph Gruss | Registered representative | Aug 2025 (1y) | ||
| Brett James Clark | Registered representative | Aug 2025 (1y) | ||
| Curtis Clayton Bush | Registered representative | Aug 2025 (1y) | ||
| Gary Bruce Whittaker | Registered representative | Aug 2025 (1y) | ||
| Hannah Barnes | Registered representative | Aug 2025 (1y) | ||
| Kelvin Miguel Martinez Montes | Registered representative | Aug 2025 (1y) | ||
| Lawrence E Wall | Registered representative | CFP | Aug 2025 (1y) | |
| Leah Marie Ponce De Leon | Registered representative | Aug 2025 (1y) | ||
| Michelle E Garcia | Registered representative | Aug 2025 (1y) | ||
| Sarah Noella Santana | Registered representative | Aug 2025 (1y) | ||
| Aaron Norris Chesser | Registered representative | Aug 2025 (1y) | ||
| Adriel Darrell Mccord | Registered representative | Aug 2025 (1y) | ||
| Alexander Franklin Kenner | Registered representative | Aug 2025 (1y) | ||
| Andrew Peter Kintz | Registered representative | CFP | Aug 2025 (1y) | |
| Andrew Spence Holmes | Registered representative | Aug 2025 (1y) | ||
| Alana Yong Hu Perkovic | Registered representative | Aug 2025 (1y) | ||
| Alberto Garcia | Registered representative | Aug 2025 (1y) | ||
| Aleksandr Philip Pope | Registered representative | Aug 2025 (1y) | ||
| Alexandra Landis Schwarz | Registered representative | Aug 2025 (1y) | ||
| Andrew Lee Phillips | Registered representative | Aug 2025 (1y) | ||
| Anna Cook Embry | Registered representative | Aug 2025 (1y) | ||
| Arthur Elliott Hall | Registered representative | Aug 2025 (1y) | ||
| Avery Bowles | Registered representative | Aug 2025 (1y) | ||
| Bradley Michael Stafford | Registered representative | Aug 2025 (1y) | ||
| Brandon Drew Kizer | Registered representative | CFA | Aug 2025 (1y) | |
| Brandon Smith | Registered representative | Aug 2025 (1y) | ||
| Bryan Benjamin Bolton | Registered representative | Aug 2025 (1y) | ||
| Baker Whitfield | Registered representative | Aug 2025 (1y) | ||
| Bethany Dawn Noto | Registered representative | Aug 2025 (1y) | ||
| Cara Solimine Rhodes | Registered representative | Aug 2025 (1y) | ||
| Caralyn Vansice Balthrop | Registered representative | Aug 2025 (1y) | ||
| Carol Blade Yochem | Registered representative | Aug 2025 (1y) | ||
| Carrie Beisecker Sykes | Registered representative | Aug 2025 (1y) | ||
| Charles Patrick Huguenard | Registered representative | Aug 2025 (1y) | ||
| Charles Richard Watson | Registered representative | CFP CFA | Aug 2025 (1y) | |
| Chris Robertson Kimler | Registered representative | CFP | Aug 2025 (1y) | |
| Christine Naro Bland | Registered representative | Aug 2025 (1y) | ||
| Christopher Aiken Webb | Registered representative | Aug 2025 (1y) | ||
| Christopher Harold Bradberry | Registered representative | Aug 2025 (1y) | ||
| Christopher Michael Hicks | Registered representative | Aug 2025 (1y) | ||
| Christopher Scott Miesse | Registered representative | Aug 2025 (1y) | ||
| Christopher Thomas Slonecker | Registered representative | Aug 2025 (1y) | ||
| Clarence Edward Mcclain | Registered representative | Aug 2025 (1y) | ||
| Clay Kent Kaplan | Registered representative | Aug 2025 (1y) | ||
| Chaely Danylle Woods | Registered representative | Aug 2025 (1y) | ||
| Daniel Joseph Botto | Registered representative | Aug 2025 (1y) | ||
| Daniel Matthew Zitt | Registered representative | Aug 2025 (1y) | ||
| Daniel Scott Craig | Registered representative | Aug 2025 (1y) | ||
| Darby Wayne Dickenson | Registered representative | Aug 2025 (1y) | ||
| David Brian Vaikness | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| David Sverre Halvorsen | Registered representative | Aug 2025 (1y) | ||
| David Timothy Reynolds | Registered representative | Aug 2025 (1y) | ||
| Dean Drew Makinster | Registered representative | Aug 2025 (1y) | ||
| Debra M Hooper | Registered representative | Aug 2025 (1y) | ||
| Derek Charles Brown | Registered representative | Aug 2025 (1y) | ||
| Dustin Andrew Koufman | Registered representative | Aug 2025 (1y) | ||
| Derrick David La Garde | Registered representative | Aug 2025 (1y) | ||
| Elizabeth Hackney Whitsel | Registered representative | Aug 2025 (1y) | ||
| Eric John White | Registered representative | Aug 2025 (1y) | ||
| Ethan Craig Mashburn | Registered representative | Aug 2025 (1y) | ||
| Evin Taylor Edens | Registered representative | CFP | Aug 2025 (1y) | |
| Filippo Feoli | Registered representative | Aug 2025 (1y) | ||
| Gary Lee Parker | Registered representative | Aug 2025 (1y) | ||
| Gary Neal Parris | Registered representative | Aug 2025 (1y) | ||
| Glenn M Bradley | Registered representative | Aug 2025 (1y) | ||
| Gregory Brian Steisslinger | Registered representative | Aug 2025 (1y) | ||
| Gregory Blake Richards | Registered representative | Aug 2025 (1y) | ||
| Hannah Pettigrew Brock | Registered representative | Aug 2025 (1y) | ||
| Harriet Johnson Brackey | Registered representative | CFP | Aug 2025 (1y) | |
| Heath Elliott Pierce | Registered representative | Aug 2025 (1y) | ||
| Holly Wade Wallace | Registered representative | Aug 2025 (1y) | ||
| Haylee Dallas Edwards | Registered representative | Aug 2025 (1y) | ||
| Jacob Timothy | Registered representative | Aug 2025 (1y) | ||
| James Jeffrey Morgan | Registered representative | Aug 2025 (1y) | ||
| James Joseph Reiss | Registered representative | Aug 2025 (1y) | ||
| James Matthew Mayes | Registered representative | Aug 2025 (1y) | ||
| James Wilson Powell | Registered representative | Aug 2025 (1y) | ||
| Janette Judkins Lookadoo | Registered representative | Aug 2025 (1y) | ||
| Jared Vincent Labue | Registered representative | Aug 2025 (1y) | ||
| Jeremiah James Burns | Registered representative | CFP | Aug 2025 (1y) | |
| Jesse Michael Tharp | Registered representative | CFP | Aug 2025 (1y) | |
| John Eric Bergland | Registered representative | Aug 2025 (1y) | ||
| Jonathon Sebastian Ransom | Registered representative | CFP | Aug 2025 (1y) | |
| Joseph Edward Grenvicz | Registered representative | Aug 2025 (1y) | ||
| Justin Charles Barden | Registered representative | Aug 2025 (1y) | ||
| Jacob Henry Wharton | Registered representative | Aug 2025 (1y) | ||
| James Craig Sheets | Registered representative | Aug 2025 (1y) | ||
| James H Anderson | Registered representative | Aug 2025 (1y) | ||
| James Robert Bunting | Registered representative | Aug 2025 (1y) | ||
| Jared Michael Cox | Registered representative | Aug 2025 (1y) | ||
| Jennifer Otalora Esler | Registered representative | Aug 2025 (1y) | ||
| John Christian Scala | Registered representative | Aug 2025 (1y) | ||
| John Keene | Registered representative | Aug 2025 (1y) | ||
| John Michael Texada | Registered representative | Aug 2025 (1y) | ||
| John Robert Sergent | Registered representative | Aug 2025 (1y) | ||
| John William Slonecker | Registered representative | Aug 2025 (1y) | ||
| John William Weeden | Registered representative | Aug 2025 (1y) | ||
| Jon Adam Bourgeois | Registered representative | Aug 2025 (1y) | ||
| Jordan Macauley Camp | Registered representative | Aug 2025 (1y) | ||
| Julie Lynn Stout | Registered representative | Aug 2025 (1y) | ||
| Keaton Reid Williams | Registered representative | Aug 2025 (1y) | ||
| Kevin Robert Clunan | Registered representative | Aug 2025 (1y) | ||
| Kimberlie Celeste Jarrard | Registered representative | Aug 2025 (1y) | ||
| Keenen Darrell Leake | Registered representative | Aug 2025 (1y) | ||
| Kelly Burdick | Registered representative | Aug 2025 (1y) | ||
| Kevin Bellard | Registered representative | Aug 2025 (1y) | ||
| Lea Taylor Townes | Registered representative | CFP | Aug 2025 (1y) | |
| Leigh Anne Harrison | Registered representative | Aug 2025 (1y) | ||
| Leo Raymond Meany | Registered representative | Aug 2025 (1y) | ||
| Leslie Anne Logan | Registered representative | Aug 2025 (1y) | ||
| Lisa Moore Cook | Registered representative | Aug 2025 (1y) | ||
| Lonnie Leon Liston | Registered representative | Aug 2025 (1y) | ||
| Louis Ferree Allen | Registered representative | Aug 2025 (1y) | ||
| Lacey Flynt Hughes | Registered representative | Aug 2025 (1y) | ||
| Laura Taylor Upham | Registered representative | Aug 2025 (1y) | ||
| Martin Rene Delaureal | Registered representative | Aug 2025 (1y) | ||
| Matthew Kyle Renner | Registered representative | Aug 2025 (1y) | ||
| Melanie Craft Compton | Registered representative | Aug 2025 (1y) | ||
| Melissa Dawn Clark | Registered representative | Aug 2025 (1y) | ||
| Michael Brian Hollenbach | Registered representative | CFP | Aug 2025 (1y) | |
| Michael Mark Reeves | Registered representative | Aug 2025 (1y) | ||
| Michael Scott Jones | Registered representative | Aug 2025 (1y) | ||
| Madison Besaw | Registered representative | Aug 2025 (1y) | ||
| Madison Brooke Moua | Registered representative | Aug 2025 (1y) | ||
| Makayla Johnson Lemly | Registered representative | Aug 2025 (1y) | ||
| Mariah Joy Barrows | Registered representative | Aug 2025 (1y) | ||
| Mary Kathryn Farris | Registered representative | Aug 2025 (1y) | ||
| Mary Rebecca Crook Skinner | Registered representative | Aug 2025 (1y) | ||
| Matthew Bingham | Registered representative | Aug 2025 (1y) | ||
| Micah Nicole Dennis | Registered representative | Aug 2025 (1y) | ||
| Michael James Junior Bryant | Registered representative | Aug 2025 (1y) | ||
| Michael Patrick King | Registered representative | CFP Chartered Financial Consultant | Aug 2025 (1y) | |
| Michelle Kendall | Registered representative | Aug 2025 (1y) | ||
| Miriam Parker Kleine Kracht | Registered representative | CFP | Aug 2025 (1y) | |
| Mosi Akil Jones | Registered representative | Aug 2025 (1y) | ||
| Natalie Joelle Chamoun | Registered representative | Aug 2025 (1y) | ||
| Oliver Thomas Stephens | Registered representative | Aug 2025 (1y) | ||
| Patrick Sean Johnson | Registered representative | CFP | Aug 2025 (1y) | |
| Paul Allan Lankau | Registered representative | CFP | Aug 2025 (1y) | |
| Phillip Matthew Knight | Registered representative | CFP | Aug 2025 (1y) | |
| Phillip Wade Brooks | Registered representative | Aug 2025 (1y) | ||
| Parker R Smith | Registered representative | Aug 2025 (1y) | ||
| Paul Gerard Miller | Registered representative | Aug 2025 (1y) | ||
| Penny White Gordon | Registered representative | CFP | Aug 2025 (1y) | |
| Pete Abston | Registered representative | Aug 2025 (1y) | ||
| R Bryan Bell | Registered representative | Aug 2025 (1y) | ||
| Randy Dolph Myers | Registered representative | Aug 2025 (1y) | ||
| Reuben Eugene Coopwood | Registered representative | Aug 2025 (1y) | ||
| Richard Dennis Coleman | Registered representative | Aug 2025 (1y) | ||
| Richard H Buckley | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Robert Eugene Claytor | Registered representative | CFP | Aug 2025 (1y) | |
| Ronald Allan Robinson | Registered representative | Aug 2025 (1y) | ||
| Russell Dees Elmore | Registered representative | Aug 2025 (1y) | ||
| Rachel Smith Parker | Registered representative | Aug 2025 (1y) | ||
| Ransom Garris Stokes | Registered representative | Aug 2025 (1y) | ||
| Sarah Jane Mcbride | Registered representative | Aug 2025 (1y) | ||
| Scott Tracy Wettengel | Registered representative | Aug 2025 (1y) | ||
| Shari Lynn Lyle | Registered representative | Aug 2025 (1y) | ||
| Stacey King Haney | Registered representative | Aug 2025 (1y) | ||
| Stephanie Burleson Hawkins | Registered representative | Aug 2025 (1y) | ||
| Stephanie Davis Lovelace | Registered representative | Aug 2025 (1y) | ||
| Stephen Key Coker | Registered representative | Aug 2025 (1y) | ||
| Stephen Piacentini | Registered representative | Aug 2025 (1y) | ||
| Steven Dale Boles | Registered representative | CFP | Aug 2025 (1y) | |
| Steven Jay Mcnally | Registered representative | Aug 2025 (1y) | ||
| Stuart Lawrence Goss | Registered representative | CFP | Aug 2025 (1y) | |
| Susan Marie Fletcher | Registered representative | Aug 2025 (1y) | ||
| Sabrina Rae Bayless | Registered representative | Aug 2025 (1y) | ||
| Samuel Aaron Zuckerman | Registered representative | Aug 2025 (1y) | ||
| Sidney Chase Jones | Registered representative | Aug 2025 (1y) | ||
| Tara Byrne Findlay | Registered representative | CFP | Aug 2025 (1y) | |
| Terance Kermit Morgan | Registered representative | Aug 2025 (1y) | ||
| Teresa Ann Burns | Registered representative | Aug 2025 (1y) | ||
| Teresa Lynn Unick | Registered representative | CFP | Aug 2025 (1y) | |
| Thomas Brandon Matthew Osborne | Registered representative | Aug 2025 (1y) | ||
| Thor Eric Victorson | Registered representative | CFP | Aug 2025 (1y) | |
| Travis Rene Lemonte | Registered representative | Aug 2025 (1y) | ||
| Trevor Scott Smith | Registered representative | Aug 2025 (1y) | ||
| Troy Fredrick Sterba | Registered representative | CFP | Aug 2025 (1y) | |
| Tyler O Hicks | Registered representative | Aug 2025 (1y) | ||
| Tanna Leigh Rainey | Registered representative | Aug 2025 (1y) | ||
| Thomas Benton Webre | Registered representative | Aug 2025 (1y) | ||
| Thomas Lee Potts | Registered representative | Aug 2025 (1y) | ||
| Tyson Elijah Gillespie | Registered representative | Aug 2025 (1y) | ||
| Walton Wayne Driggers | Registered representative | CFP | Aug 2025 (1y) | |
| Ward Kimbrough Mcbee | Registered representative | Aug 2025 (1y) | ||
| William Gardner Karnes | Registered representative | Aug 2025 (1y) | ||
| William Timothy Morgan | Registered representative | Aug 2025 (1y) | ||
| William Lee Elliott | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Yvette Zdonowicz Bryan | Registered representative | Aug 2025 (1y) | ||
| Zachary Robert Bell | Registered representative | Aug 2025 (1y) | ||
| Anna J Rojas | Registered representative | Aug 2025 (1y) | ||
| Brian Kenneth Marois | Registered representative | Aug 2025 (1y) | ||
| Christopher Ryan Oberley | Registered representative | Aug 2025 (1y) | ||
| David Nathan Sterling | Registered representative | Aug 2025 (1y) | ||
| Dennis Francis Fingers | Registered representative | Aug 2025 (1y) | ||
| Donald Paul Johannes | Registered representative | Aug 2025 (1y) | ||
| Edward Easterling | Registered representative | Aug 2025 (1y) | ||
| Hailey Burge | Registered representative | Aug 2025 (1y) | ||
| Lawrence Alexander Hatch | Registered representative | Aug 2025 (1y) | ||
| Michael Joseph Uvenio | Registered representative | Aug 2025 (1y) | ||
| Matthew Dylan Zeigen | Registered representative | Aug 2025 (1y) | ||
| Seth Becker | Registered representative | Aug 2025 (1y) | ||
| Tina Louise Bodnar | Registered representative | Aug 2025 (1y) | ||
| Travis Lee Maraney | Registered representative | Aug 2025 (1y) | ||
| Courtney Paige Topham | Registered representative | Aug 2025 (1y) | ||
| Amy Soo Donk | Registered representative | Aug 2025 (1y) | ||
| Brandon Lang Kou | Registered representative | Aug 2025 (1y) | ||
| Brooke Jenne | Registered representative | Aug 2025 (1y) | ||
| Daniel R Figueiredo | Registered representative | Aug 2025 (1y) | ||
| Evan Nicholas Searles | Registered representative | Aug 2025 (1y) | ||
| Geneva Patricia Foster | Registered representative | Aug 2025 (1y) | ||
| Jared Everett Leslie | Registered representative | Aug 2025 (1y) | ||
| Mark Allen Scott | Registered representative | Aug 2025 (1y) | ||
| Philip Robert Sheridan | Registered representative | Aug 2025 (1y) | ||
| Ray Lee Laney | Registered representative | Aug 2025 (1y) | ||
| Sandra Esqueda | Registered representative | Aug 2025 (1y) | ||
| Scott William Yeomans | Registered representative | Aug 2025 (1y) | ||
| Bao Duong | Registered representative | Aug 2025 (1y) | ||
| David R Shively | Registered representative | Aug 2025 (1y) | ||
| Elias Pfeifer | Registered representative | Aug 2025 (1y) | ||
| James Michael Chapkis | Registered representative | Aug 2025 (1y) | ||
| Juliane Camille Rollon | Registered representative | Aug 2025 (1y) | ||
| Kelli Hamilton | Registered representative | Aug 2025 (1y) | ||
| Kevin Nguyen | Registered representative | Aug 2025 (1y) | ||
| Lauren Singletary Chandler | Registered representative | Aug 2025 (1y) | ||
| Tamara Jewel Renner | Registered representative | Aug 2025 (1y) | ||
| Arthur Ernest Baird | Registered representative | Aug 2025 (1y) | ||
| Andrew Cory Bird | Registered representative | Aug 2025 (1y) | ||
| Daniel J Morse | Registered representative | Aug 2025 (1y) | ||
| Jared C Nelson | Registered representative | Aug 2025 (1y) | ||
| Quinn J Wright | Registered representative | Aug 2025 (1y) | ||
| Robert Eugene Monroe | Registered representative | CFP | Aug 2025 (1y) | |
| Susan Dawson | Registered representative | Aug 2025 (1y) | ||
| Travis Justin Stolcis | Registered representative | Aug 2025 (1y) | ||
| Allan Gene Hancock | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Angela Yvonne Denna | Registered representative | Aug 2025 (1y) | ||
| Brian David Babb | Registered representative | Aug 2025 (1y) | ||
| Cameron Matthew Slicker | Registered representative | Aug 2025 (1y) | ||
| Christopher Lee Harris | Registered representative | Aug 2025 (1y) | ||
| Emma Elizabeth Hedeen | Registered representative | Aug 2025 (1y) | ||
| Grant Clinton Smith | Registered representative | Aug 2025 (1y) | ||
| John Joseph Cordeiro | Registered representative | Aug 2025 (1y) | ||
| Lynn Marie Widmann | Registered representative | Aug 2025 (1y) | ||
| Michael Allen Colvin | Registered representative | Aug 2025 (1y) | ||
| Michael Eugene Geitner | Registered representative | Aug 2025 (1y) | ||
| Michael Todd Thayer | Registered representative | Aug 2025 (1y) | ||
| Natalie Love King | Registered representative | Aug 2025 (1y) | ||
| Patrick J Mcgrady | Registered representative | Aug 2025 (1y) | ||
| Paula Christine Swain | Registered representative | CFP | Aug 2025 (1y) | |
| Ryan Schoenburg | Registered representative | Aug 2025 (1y) | ||
| Adam John Bos | Registered representative | Aug 2025 (1y) | ||
| Benjamin Taylor Jordan Worley | Registered representative | Aug 2025 (1y) | ||
| Christopher Anthony Paganelli | Registered representative | Aug 2025 (1y) | ||
| Colton Wolff Reading | Registered representative | Aug 2025 (1y) | ||
| James Walter Dimarco | Registered representative | Aug 2025 (1y) | ||
| John Robb Edgecomb | Registered representative | Aug 2025 (1y) | ||
| John Robb Edgecomb | Registered representative | CFP | Aug 2025 (1y) | |
| Joseph Eli Sidman | Registered representative | Aug 2025 (1y) | ||
| Jason P Hunter | Registered representative | Aug 2025 (1y) | ||
| Micheal Adisa Ajayi | Registered representative | Aug 2025 (1y) | ||
| Paul Hershenberg | Registered representative | Aug 2025 (1y) | ||
| Simha R Portnoy | Registered representative | Aug 2025 (1y) | ||
| William Patrick Ferry | Registered representative | Aug 2025 (1y) | ||
| Adam L Richwine | Registered representative | Sep 2025 (1y) | ||
| Alexander Ray Bacci | Registered representative | Sep 2025 (1y) | ||
| Carlos A Torresdey | Registered representative | Sep 2025 (1y) | ||
| Elisabeth Ann Keohane | Registered representative | Sep 2025 (1y) | ||
| Esther Gerber | Registered representative | CFP | Sep 2025 (1y) | |
| Jeremy Scott Harness | Registered representative | Sep 2025 (1y) | ||
| Muhammad Usman Khalid | Registered representative | Sep 2025 (1y) | ||
| Michael J Valentine Lujan | Registered representative | Sep 2025 (1y) | ||
| Nicolette Dal Porto | Registered representative | Sep 2025 (1y) | ||
| Preston Matthew Pickar | Registered representative | Sep 2025 (1y) | ||
| Alex Pittz | Registered representative | Sep 2025 (1y) | ||
| Andres Curiel | Registered representative | Sep 2025 (1y) | ||
| Brian James Gudgel | Registered representative | Sep 2025 (1y) | ||
| Clinton Wesley Moore | Registered representative | Sep 2025 (1y) | ||
| Colleen Marie Di Paola | Registered representative | Sep 2025 (1y) | ||
| Edward Frank Macha | Registered representative | Sep 2025 (1y) | ||
| Emily Rebekah Maldonado | Registered representative | Sep 2025 (1y) | ||
| Hunter Martin Rowand | Registered representative | Sep 2025 (1y) | ||
| Ivy Ranere | Registered representative | Sep 2025 (1y) | ||
| Jessica Ann Paretta | Registered representative | Sep 2025 (1y) | ||
| Kathryn Alyssa Mulhausen | Registered representative | CFP | Sep 2025 (1y) | |
| Mark Dragoslovich | Registered representative | CFP | Sep 2025 (1y) | |
| Melissa Danielle Frazier | Registered representative | Sep 2025 (1y) | ||
| Mary Elizabeth Blythe | Registered representative | CFP | Sep 2025 (1y) | |
| Nicholas Timothy Pistoresi | Registered representative | Sep 2025 (1y) | ||
| Ronald Bryan Ewing | Registered representative | Sep 2025 (1y) | ||
| Suzanne Heather Smith | Registered representative | Sep 2025 (1y) | ||
| Thomas Anthony Ochinero | Registered representative | Sep 2025 (1y) | ||
| Adam Dane Bennett | Registered representative | Sep 2025 (1y) | ||
| Allie Elizabeth Rowland | Registered representative | Sep 2025 (1y) | ||
| Christopher Wayne Kwame Clarke | Registered representative | Sep 2025 (1y) | ||
| David Sean Rich | Registered representative | Sep 2025 (1y) | ||
| Gina R Lee | Registered representative | Sep 2025 (1y) | ||
| James Polonsky | Registered representative | Sep 2025 (1y) | ||
| Jessica Smith | Registered representative | Sep 2025 (1y) | ||
| Julie Ann Martinez | Registered representative | Sep 2025 (1y) | ||
| Johnson Chikadibia Uwamanzu Nna | Registered representative | Sep 2025 (1y) | ||
| Lindsey Marie Bessant | Registered representative | Sep 2025 (1y) | ||
| Michael Fernandez | Registered representative | Sep 2025 (1y) | ||
| Peter Mindnich | Registered representative | Sep 2025 (1y) | ||
| Sean C Rausch | Registered representative | Sep 2025 (1y) | ||
| William Randolph Bower | Registered representative | Sep 2025 (1y) | ||
| Andrew Robert Rabichuk | Registered representative | Sep 2025 (1y) | ||
| Emily Jayne Capps | Registered representative | Sep 2025 (1y) | ||
| Emily R Robbins | Registered representative | Sep 2025 (1y) | ||
| Jeffery Scott Bracewell | Registered representative | Sep 2025 (1y) | ||
| Jim Gravgaard | Registered representative | Sep 2025 (1y) | ||
| Jason Robert Guffey | Registered representative | Sep 2025 (1y) | ||
| Kristopher Bryan Field | Registered representative | Sep 2025 (1y) | ||
| Michael Joseph Kane | Registered representative | Sep 2025 (1y) | ||
| Richard John Ferraro | Registered representative | Sep 2025 (1y) | ||
| Robert Rearden Nachtsheim | Registered representative | Sep 2025 (1y) | ||
| Rowdy Louis Spears | Registered representative | Sep 2025 (1y) | ||
| Tywan Demetrius Shanklin | Registered representative | Sep 2025 (1y) | ||
| Thomas Francis Russell | Registered representative | Sep 2025 (1y) | ||
| Darin Matthew Ely | Registered representative | Sep 2025 (1y) | ||
| Jessica Horst | Registered representative | Sep 2025 (1y) | ||
| Kenneth Edward Arnesen | Registered representative | Sep 2025 (1y) | ||
| Richard Laurin Mcmillan | Registered representative | Sep 2025 (1y) | ||
| Anne Frances Salick | Registered representative | Sep 2025 (1y) | ||
| Alid M Gonzalez | Registered representative | Sep 2025 (1y) | ||
| Billy Wayne Pierson | Registered representative | Sep 2025 (1y) | ||
| Douglas Paul Smith | Registered representative | CFP | Sep 2025 (1y) | |
| Gregory Michael Nelson | Registered representative | Sep 2025 (1y) | ||
| Hayley Lynn Besch | Registered representative | Sep 2025 (1y) | ||
| Jeffrey Orlouski | Registered representative | Sep 2025 (1y) | ||
| Janine Elise Bennis | Registered representative | Sep 2025 (1y) | ||
| Kendra Leeann Riconosciuto | Registered representative | Sep 2025 (1y) | ||
| Luke Alexander Humble | Registered representative | Sep 2025 (1y) | ||
| Melissa Ann Ray | Registered representative | Sep 2025 (1y) | ||
| Robert Melle | Registered representative | Sep 2025 (1y) | ||
| Taylor Roland Graves | Registered representative | CFP | Sep 2025 (1y) | |
| Tesia Sockow | Registered representative | Sep 2025 (1y) | ||
| Adam Thomas Larsen | Registered representative | Sep 2025 (1y) | ||
| Alfred Alexander Jackson | Registered representative | CFP | Sep 2025 (1y) | |
| Axel Louis Mendler | Registered representative | Sep 2025 (1y) | ||
| Bonita G Selwaeh | Registered representative | Sep 2025 (1y) | ||
| Brady Morgan Smith | Registered representative | Sep 2025 (1y) | ||
| Bruce Eugene Mccook | Registered representative | Sep 2025 (1y) | ||
| Bryson Joy | Registered representative | Sep 2025 (1y) | ||
| Cade Butterworth | Registered representative | Sep 2025 (1y) | ||
| Christopher Wilson Barnhill | Registered representative | Sep 2025 (1y) | ||
| Coleman Thomas Bryant | Registered representative | Sep 2025 (1y) | ||
| Edward Reamy Pittman | Registered representative | Sep 2025 (1y) | ||
| Ellen Mary Corrigan | Registered representative | Sep 2025 (1y) | ||
| Kevin Brian Doyle | Registered representative | Sep 2025 (1y) | ||
| Kelly J Ipjian | Registered representative | Sep 2025 (1y) | ||
| Kristina Hernandez | Registered representative | Sep 2025 (1y) | ||
| Logan N Jones | Registered representative | Sep 2025 (1y) | ||
| Matthew Lane Puckett Underwood | Registered representative | Sep 2025 (1y) | ||
| Wendy Jae Russell | Registered representative | Sep 2025 (1y) | ||
| Adam Nicholas Correa | Registered representative | CFP | Sep 2025 (1y) | |
| Andres Raymond Lovato Needham | Registered representative | Sep 2025 (1y) | ||
| Brandon Fourman | Registered representative | CFP | Sep 2025 (1y) | |
| Brandon Taylor Mills | Registered representative | Sep 2025 (1y) | ||
| Bryan Thomas | Registered representative | Sep 2025 (1y) | ||
| Jason Buckley Harness | Registered representative | Sep 2025 (1y) | ||
| Jeffrey Scott Allen | Registered representative | CFP | Sep 2025 (1y) | |
| Jennifer Lea Cook | Registered representative | Sep 2025 (1y) | ||
| Justin Richard Poore | Registered representative | Sep 2025 (1y) | ||
| Jarron S Fleming | Registered representative | Sep 2025 (1y) | ||
| Kyle Andrew Goff | Registered representative | Sep 2025 (1y) | ||
| Michael Steven Lee | Registered representative | Sep 2025 (1y) | ||
| Marley Stone Landrum | Registered representative | Sep 2025 (1y) | ||
| Nicholas Sangster Ray | Registered representative | Sep 2025 (1y) | ||
| Steve Nadeem Armaly | Registered representative | Sep 2025 (1y) | ||
| Travis Edward Lutz | Registered representative | Sep 2025 (1y) | ||
| Brian Andrew Blackburn | Registered representative | CFP | Sep 2025 (1y) | |
| Brenda Brooks Rocchio | Registered representative | Sep 2025 (1y) | ||
| Derek Anthony Beiter | Registered representative | CFA | Sep 2025 (1y) | |
| Ethan Kyle Mc Donald | Registered representative | Sep 2025 (1y) | ||
| Jeffrey William Grigg | Registered representative | Sep 2025 (1y) | ||
| Robert Lawrence Metz | Registered representative | CFP | Sep 2025 (1y) | |
| Rijo Abraham Reji | Registered representative | Sep 2025 (1y) | ||
| Stephanie Camille Dalton | Registered representative | Sep 2025 (1y) | ||
| William Shane Stephens | Registered representative | Sep 2025 (1y) | ||
| William Wallace Jelks | Registered representative | Sep 2025 (1y) | ||
| Bill Heart | Registered representative | Sep 2025 (1y) | ||
| Brandon Raymond Juodikis | Registered representative | CFP | Sep 2025 (1y) | |
| Brandon Boyd Call | Registered representative | Sep 2025 (1y) | ||
| Chihshang Fang | Registered representative | Sep 2025 (1y) | ||
| Colin Larsen | Registered representative | Sep 2025 (1y) | ||
| Dustin Steckler | Registered representative | Sep 2025 (1y) | ||
| Jarrett Duane Thompson Watson | Registered representative | Sep 2025 (1y) | ||
| Phillip Nuttall | Registered representative | CFP | Sep 2025 (1y) | |
| Angel Julian Cambron | Registered representative | Sep 2025 (1y) | ||
| Bruce Jay Friedman | Registered representative | Sep 2025 (1y) | ||
| Danielle Lyons | Registered representative | Sep 2025 (1y) | ||
| Eric Haar | Registered representative | Sep 2025 (1y) | ||
| Ecklyn Rhaelan Salazar | Registered representative | Sep 2025 (1y) | ||
| Emily Charlotte Provino | Registered representative | Sep 2025 (1y) | ||
| Emily Lanham | Registered representative | Sep 2025 (1y) | ||
| Joe P. Moore | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| John Patrick Cingel | Registered representative | Sep 2025 (1y) | ||
| Jason A Blair | Registered representative | Sep 2025 (1y) | ||
| Kimberly Jo Cooper | Registered representative | CFP | Sep 2025 (1y) | |
| Marc Hamilton Stone | Registered representative | CFP | Sep 2025 (1y) | |
| Matthew Michael Darcy | Registered representative | Sep 2025 (1y) | ||
| Mcrae Kirmse | Registered representative | Sep 2025 (1y) | ||
| Michael R. Bardwell | Registered representative | Sep 2025 (1y) | ||
| Nichole L King | Registered representative | Sep 2025 (1y) | ||
| Parisa Taheri Tafreshi | Registered representative | Sep 2025 (1y) | ||
| Peter Jay Van Houten | Registered representative | Sep 2025 (1y) | ||
| Robert John Engelhardt | Registered representative | Sep 2025 (1y) | ||
| Richard Allan Olsen | Registered representative | Sep 2025 (1y) | ||
| Ronald Charles Gascoyne | Registered representative | Sep 2025 (1y) | ||
| Steven Alan Tennant | Registered representative | CFP | Sep 2025 (1y) | |
| Stanislav Moiseev | Registered representative | Sep 2025 (1y) | ||
| Thomas Francis Dowd | Registered representative | CFP | Sep 2025 (1y) | |
| Tyler E Lesniewski | Registered representative | Sep 2025 (1y) | ||
| Tyler William Pence | Registered representative | Sep 2025 (1y) | ||
| Whitney Lotoya Walker | Registered representative | Sep 2025 (1y) | ||
| Anya Bilivsky | Registered representative | Sep 2025 (1y) | ||
| Arthur Clay Nicodemus | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Daniel Chigos Shanahan | Registered representative | Sep 2025 (1y) | ||
| Daniel Hamilton Bralliar | Registered representative | Sep 2025 (1y) | ||
| Dustin Lee Schlabach | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Dylan Mason | Registered representative | Sep 2025 (1y) | ||
| Eric James Heffke | Registered representative | Sep 2025 (1y) | ||
| Garrett Backus | Registered representative | Sep 2025 (1y) | ||
| Karen Frankino | Registered representative | Sep 2025 (1y) | ||
| Kristen Alice Mignogna | Registered representative | Sep 2025 (1y) | ||
| Maria Teresa Sikora | Registered representative | Sep 2025 (1y) | ||
| Mason Alexander Limm | Registered representative | Sep 2025 (1y) | ||
| Nicole Leann Barrett | Registered representative | CFP | Sep 2025 (1y) | |
| Robert Haycock Dowdle | Registered representative | CFP Chartered Financial Consultant | Sep 2025 (1y) | |
| Ryan P Wade | Registered representative | CFA | Sep 2025 (1y) | |
| Stephanie Elizabeth Stone | Registered representative | Sep 2025 (1y) | ||
| Stuart David Abrams | Registered representative | Sep 2025 (1y) | ||
| Samantha Nelson | Registered representative | Sep 2025 (1y) | ||
| Tanya Perkins Vess | Registered representative | Sep 2025 (1y) | ||
| Thomas Edward Gilbers | Registered representative | CFP | Sep 2025 (1y) | |
| Tina Marie Hallier | Registered representative | Sep 2025 (1y) | ||
| Torie Elizabeth Blakelock | Registered representative | Sep 2025 (1y) | ||
| William Edward Lourcey | Registered representative | Sep 2025 (1y) | ||
| William Philip Tyler | Registered representative | CFP | Sep 2025 (1y) | |
| Alexandra Riva Terista | Registered representative | Sep 2025 (1y) | ||
| Christopher Scott Meyer | Registered representative | CFP | Sep 2025 (1y) | |
| Daniel Robert Wilgenbusch | Registered representative | Sep 2025 (1y) | ||
| Denny John Totland | Registered representative | CFP | Sep 2025 (1y) | |
| David A Madway | Registered representative | Sep 2025 (1y) | ||
| Gene Alan Potes | Registered representative | Sep 2025 (1y) | ||
| James Lewis Jacobs | Registered representative | Sep 2025 (1y) | ||
| Jeffrey Brian Edwards | Registered representative | Sep 2025 (1y) | ||
| Julie Anne Saunders | Registered representative | Sep 2025 (1y) | ||
| Leonard Joseph Nelson | Registered representative | Sep 2025 (1y) | ||
| Ryan C. Walton | Registered representative | Sep 2025 (1y) | ||
| Ryan John Padden | Registered representative | Sep 2025 (1y) | ||
| Terrell Wallace Bradley | Registered representative | Sep 2025 (1y) | ||
| Brian James Thompson | Registered representative | CFP | Sep 2025 (1y) | |
| Blaine David Andreadis | Registered representative | CFP | Sep 2025 (1y) | |
| Caleb Matthew Blech | Registered representative | Sep 2025 (1y) | ||
| David Michael Gelman | Registered representative | Sep 2025 (1y) | ||
| Hollie Lynn Frazier | Registered representative | Sep 2025 (1y) | ||
| Jadon Engle | Registered representative | Sep 2025 (1y) | ||
| Jose Javier Medina | Registered representative | Sep 2025 (1y) | ||
| Katelin Marie Walker | Registered representative | Sep 2025 (1y) | ||
| Lauren Marie Rene | Registered representative | Sep 2025 (1y) | ||
| Ryan Fitzpatrick Burke | Registered representative | CFP | Sep 2025 (1y) | |
| William Justin Flowers | Registered representative | Sep 2025 (1y) | ||
| Jessica Sue Howard | Registered representative | Sep 2025 (1y) | ||
| Juan Ramon Nevarez | Registered representative | Sep 2025 (1y) | ||
| Matthew G Quintal | Registered representative | Sep 2025 (1y) | ||
| Maxwell Dennis Havens | Registered representative | Sep 2025 (1y) | ||
| Ross Garing | Registered representative | Sep 2025 (1y) | ||
| Scott Wiley | Registered representative | Sep 2025 (1y) | ||
| Stephen Connor Grandpre | Registered representative | Sep 2025 (1y) | ||
| Casey Carbaugh Moss | Registered representative | Sep 2025 (1y) | ||
| Christopher Mark Deshano | Registered representative | CFP | Sep 2025 (1y) | |
| Caitlyn Rose Parkhurst | Registered representative | Sep 2025 (1y) | ||
| Christian Testa | Registered representative | Sep 2025 (1y) | ||
| Edward Jerome Walawender | Registered representative | Sep 2025 (1y) | ||
| Jason Paul Cocilova | Registered representative | Sep 2025 (1y) | ||
| Jason Wright | Registered representative | CFP | Sep 2025 (1y) | |
| Kevin William Moran | Registered representative | Sep 2025 (1y) | ||
| Laura M Andersen | Registered representative | Sep 2025 (1y) | ||
| Michael Joseph Mildon | Registered representative | Sep 2025 (1y) | ||
| Michael Joseph Claus | Registered representative | Sep 2025 (1y) | ||
| Shaun Michael Mcdougall | Registered representative | Sep 2025 (1y) | ||
| Suzanne Marie Hart | Registered representative | Sep 2025 (1y) | ||
| Travis Jacobsen | Registered representative | Sep 2025 (1y) | ||
| Andrew Bettinson | Registered representative | Sep 2025 (1y) | ||
| James Edward Kossoff | Registered representative | Sep 2025 (1y) | ||
| Serena M Stauffer | Registered representative | Sep 2025 (1y) | ||
| Steven M Wyatt | Registered representative | Sep 2025 (1y) | ||
| Grant Gammon Archer | Registered representative | Sep 2025 (1y) | ||
| Gavin Joshua Tregoning | Registered representative | Sep 2025 (1y) | ||
| James Brian Hancock | Registered representative | Sep 2025 (1y) | ||
| Jeffrey Scott Richardson | Registered representative | Sep 2025 (1y) | ||
| Johnathan Bruce Works | Registered representative | Sep 2025 (1y) | ||
| Lawrence Scott Vandemark | Registered representative | Sep 2025 (1y) | ||
| Brittany Jennifer Amarillas | Registered representative | Sep 2025 (1y) | ||
| Christopher John Nicolosi | Registered representative | Sep 2025 (1y) | ||
| Hong Anh Mcgill | Registered representative | Sep 2025 (1y) | ||
| Jackson Albert Zagursky | Registered representative | Sep 2025 (1y) | ||
| Kevin Re Proceviat | Registered representative | Sep 2025 (1y) | ||
| Michael Short | Registered representative | Sep 2025 (1y) | ||
| Nicholas Joseph Engle | Registered representative | Sep 2025 (1y) | ||
| Austin Kinney | Registered representative | Sep 2025 (1y) | ||
| Christopher M Pellegrino | Registered representative | CFA | Sep 2025 (1y) | |
| Connor Michael Hollick | Registered representative | Sep 2025 (1y) | ||
| Haider Hasan Thamir | Registered representative | Sep 2025 (1y) | ||
| Jacob Hampton Eddington | Registered representative | Sep 2025 (1y) | ||
| Jennifer May Hatton | Registered representative | Sep 2025 (1y) | ||
| Jonathan Robert Schonfeld | Registered representative | Sep 2025 (1y) | ||
| James Coleman Gillis | Registered representative | Sep 2025 (1y) | ||
| John Stanton Rogers | Registered representative | Sep 2025 (1y) | ||
| Kyle Robert Pedersen | Registered representative | Sep 2025 (1y) | ||
| Larisa Marie Roth | Registered representative | Sep 2025 (1y) | ||
| Michael John Alessi | Registered representative | Sep 2025 (1y) | ||
| Michael Manfred | Registered representative | Sep 2025 (1y) | ||
| Richard S Reber | Registered representative | CFP | Sep 2025 (1y) | |
| Scott R Krysl | Registered representative | Sep 2025 (1y) | ||
| Tod Andrew Drury | Registered representative | Sep 2025 (1y) | ||
| Christopher Parker | Registered representative | Sep 2025 (1y) | ||
| Heather Noelle Odegaard | Registered representative | Sep 2025 (1y) | ||
| Jacob A Campbell | Registered representative | Sep 2025 (1y) | ||
| Nicole A Gillin | Registered representative | Sep 2025 (1y) | ||
| Charles Soukup | Registered representative | Sep 2025 (1y) | ||
| Charles Kent Dickens | Registered representative | Sep 2025 (1y) | ||
| Chris Talpas | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| David Andrew Jackson | Registered representative | Sep 2025 (1y) | ||
| Ethan Q Taylor | Registered representative | Sep 2025 (1y) | ||
| Gregory J Micco | Registered representative | CFP | Sep 2025 (1y) | |
| Jacky Phan | Registered representative | Sep 2025 (1y) | ||
| Nathaniel Allan Engstrom | Registered representative | Sep 2025 (1y) | ||
| Owen Kenji Yamamura | Registered representative | Sep 2025 (1y) | ||
| Amber Dawn Mc Gehee | Registered representative | Sep 2025 (1y) | ||
| Brandy M Martin | Registered representative | Sep 2025 (1y) | ||
| Cheryl Anne Giustiniano | Registered representative | CFP | Sep 2025 (1y) | |
| Cynthia Nowicki Moore | Registered representative | Sep 2025 (1y) | ||
| Israel Thomas Jacob | Registered representative | Sep 2025 (1y) | ||
| Joseph John Giangiulio | Registered representative | Sep 2025 (1y) | ||
| Jackson Harlon Degner | Registered representative | Sep 2025 (1y) | ||
| Jackson Reese Shubert | Registered representative | Sep 2025 (1y) | ||
| Jarryd Paul Killian | Registered representative | Sep 2025 (1y) | ||
| Lucas David Repp Jacob | Registered representative | Sep 2025 (1y) | ||
| Matthew Franken Kok | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Matthew Palmer | Registered representative | Sep 2025 (1y) | ||
| Nicola Albert Hanna | Registered representative | Sep 2025 (1y) | ||
| Nolan Glen Worley | Registered representative | Sep 2025 (1y) | ||
| Odis Earl White | Registered representative | Sep 2025 (1y) | ||
| Paul Adrien Brule | Registered representative | Sep 2025 (1y) | ||
| Robert Randall Oh | Registered representative | Sep 2025 (1y) | ||
| William Jasper Eddy | Registered representative | Sep 2025 (1y) | ||
| Adam Lattarulo | Registered representative | Oct 2025 (1y) | ||
| Benjamin Micah Wenzel | Registered representative | CFP | Oct 2025 (1y) | |
| Charles H Hawkins Iii | Registered representative | Oct 2025 (1y) | ||
| David Andrew Clark | Registered representative | Oct 2025 (1y) | ||
| Edmond M Dhemecourt Iii | Registered representative | Oct 2025 (1y) | ||
| James Thomas Shrader | Registered representative | Oct 2025 (1y) | ||
| Jesse Allan Oldfield | Registered representative | Oct 2025 (1y) | ||
| Joanna Rene St. Clair | Registered representative | Oct 2025 (1y) | ||
| John Floyd Olson | Registered representative | Oct 2025 (1y) | ||
| Lindsey Ann Henry | Registered representative | Oct 2025 (1y) | ||
| Ryan Thomas Lew | Registered representative | CFP | Oct 2025 (1y) | |
| Sean Joseph Cavanaugh | Registered representative | CFP Chartered Financial Consultant | Oct 2025 (1y) | |
| Shannon Marlene Sottile | Registered representative | CFP Chartered Financial Consultant | Oct 2025 (1y) | |
| Stephen Patrick Carleton | Registered representative | Oct 2025 (1y) | ||
| Shawn Michael Steffee | Registered representative | Oct 2025 (1y) | ||
| Thomas Francis Niles | Registered representative | Oct 2025 (1y) | ||
| Heather Rae Hinrichs | Registered representative | Oct 2025 (1y) | ||
| Jeffrey Eugene Keown | Registered representative | Oct 2025 (1y) | ||
| Jacob Ryan Gregson | Registered representative | Oct 2025 (1y) | ||
| John T Mickel | Registered representative | Oct 2025 (1y) | ||
| Julie Anne Hippe | Registered representative | Oct 2025 (1y) | ||
| Kevin James Senechalle | Registered representative | Oct 2025 (1y) | ||
| Lawrence Eugene Boyd | Registered representative | Oct 2025 (1y) | ||
| Peter Charles Goudeau | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Peter Charles Goudeau | Registered representative | CFP | Oct 2025 (1y) | |
| Robin L Colton | Registered representative | Oct 2025 (1y) | ||
| Samara J Eastman | Registered representative | Oct 2025 (1y) | ||
| Samuel Marlow Slaugh | Registered representative | Oct 2025 (1y) | ||
| Adam Alan Paal | Registered representative | Oct 2025 (1y) | ||
| Andrew Richard Brereton | Registered representative | CFP Chartered Financial Consultant | Oct 2025 (1y) | |
| Candice Landers Chandley | Registered representative | CFP | Oct 2025 (1y) | |
| Hayden Michael Mumbach | Registered representative | Oct 2025 (1y) | ||
| Kingsley Kevin Davis | Registered representative | Oct 2025 (1y) | ||
| Shawn Michael O'brien | Registered representative | Oct 2025 (1y) | ||
| Alexander H. Hamrick | Registered representative | Oct 2025 (1y) | ||
| Barbara Jean Webster | Registered representative | CFP | Oct 2025 (1y) | |
| Carter Allan Danke | Registered representative | Oct 2025 (1y) | ||
| Frank Price Phillips | Registered representative | Oct 2025 (1y) | ||
| Joel Williamson | Registered representative | CFP | Oct 2025 (1y) | |
| Melissa Norwicke | Registered representative | Oct 2025 (1y) | ||
| Michael Alexander Goldberg | Registered representative | Oct 2025 (1y) | ||
| Michael J Walsh | Registered representative | Oct 2025 (1y) | ||
| Maryann Diamond | Registered representative | CFP | Oct 2025 (1y) | |
| Matthew R. Madera | Registered representative | CFP | Oct 2025 (1y) | |
| Steven Marc Ravlin | Registered representative | CFP | Oct 2025 (1y) | |
| Samuel Hogue Audet | Registered representative | Oct 2025 (1y) | ||
| William Keith Phillips | Registered representative | Oct 2025 (1y) | ||
| Zachary L Brown | Registered representative | Oct 2025 (1y) | ||
| Amanda Bacon | Registered representative | Oct 2025 (1y) | ||
| Angela June Dillon | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Antoni Enrique Lucas | Registered representative | Oct 2025 (1y) | ||
| Anthony Tremblay | Registered representative | Oct 2025 (1y) | ||
| Avery Damon Keitt | Registered representative | Oct 2025 (1y) | ||
| Brandon Magro Torres | Registered representative | Oct 2025 (1y) | ||
| Cynthia Ilise Chilkuri | Registered representative | Oct 2025 (1y) | ||
| Christopher David Pieper | Registered representative | Oct 2025 (1y) | ||
| David Paul Pieper | Registered representative | Oct 2025 (1y) | ||
| Douglas Hodge | Registered representative | Oct 2025 (1y) | ||
| Emily R Berkenbile | Registered representative | Oct 2025 (1y) | ||
| Evyavan Tejaswi Patel | Registered representative | Oct 2025 (1y) | ||
| Gerald J Dougherty | Registered representative | Oct 2025 (1y) | ||
| John R Slonaker | Registered representative | Oct 2025 (1y) | ||
| Julio Rodriguez | Registered representative | Oct 2025 (1y) | ||
| Kathryn Mary Nollette | Registered representative | Oct 2025 (1y) | ||
| Sean Patrick O'shea | Registered representative | CFP | Oct 2025 (1y) | |
| Samuel P Clarke | Registered representative | Oct 2025 (1y) | ||
| Samuel Thomas Donk | Registered representative | Oct 2025 (1y) | ||
| Ciara M Wickham | Registered representative | Oct 2025 (1y) | ||
| Casey Hunter Mirabile | Registered representative | Oct 2025 (1y) | ||
| Chris Telezyn | Registered representative | Oct 2025 (1y) | ||
| Gregory E Hyde | Registered representative | Oct 2025 (1y) | ||
| John Gary Kennedy | Registered representative | CFA | Oct 2025 (1y) | |
| Kyle Smith | Registered representative | Oct 2025 (1y) | ||
| Lars Olson | Registered representative | Oct 2025 (1y) | ||
| Logan Marie Blunt | Registered representative | Oct 2025 (1y) | ||
| Melissa Riven Mirabile | Registered representative | Oct 2025 (1y) | ||
| Michael Christopher Sharrett | Registered representative | Oct 2025 (1y) | ||
| Alondra Robles | Registered representative | Oct 2025 (1y) | ||
| Benjamin W Kline | Registered representative | CFP | Oct 2025 (1y) | |
| Cassra Mashkouri | Registered representative | Oct 2025 (1y) | ||
| Emillian Udekigbo | Registered representative | CFP | Oct 2025 (1y) | |
| Helen Ruth Alexander | Registered representative | CFP Chartered Financial Consultant | Oct 2025 (1y) | |
| Jason Jakubasz | Registered representative | Oct 2025 (1y) | ||
| Matthew Edmund Ferrua | Registered representative | Oct 2025 (1y) | ||
| Matthew William Diers | Registered representative | Oct 2025 (1y) | ||
| Nuri Gunes | Registered representative | CFP | Oct 2025 (1y) | |
| Trenton Larsen | Registered representative | CFP | Oct 2025 (1y) | |
| Ashton Roane | Registered representative | Oct 2025 (1y) | ||
| Chelsea Babcock Nelson | Registered representative | CFA | Oct 2025 (1y) | |
| Eric Thomas Norman | Registered representative | Oct 2025 (1y) | ||
| Gabriel Alfonzo Martinez Rivera | Registered representative | Oct 2025 (1y) | ||
| Isabella Kowalczyk | Registered representative | Oct 2025 (1y) | ||
| John Patrick Lederer | Registered representative | Oct 2025 (1y) | ||
| Kara T Scott | Registered representative | Oct 2025 (1y) | ||
| Meridith Thorne Bihuniak | Registered representative | Oct 2025 (1y) | ||
| Michelle Jayne Feland | Registered representative | Oct 2025 (1y) | ||
| Peter Holm | Registered representative | Oct 2025 (1y) | ||
| Thomas Daniel Walker | Registered representative | Oct 2025 (1y) | ||
| John Scott Froidl | Registered representative | Oct 2025 (1y) | ||
| Gilbert Ralph Hawkins | Registered representative | Oct 2025 (1y) | ||
| Benjamin Steven Long | Registered representative | Oct 2025 (1y) | ||
| Bradley Michael Simonsen | Registered representative | Oct 2025 (1y) | ||
| Christian Burns | Registered representative | CFP | Oct 2025 (1y) | |
| Christian R Anthony Giardina | Registered representative | Oct 2025 (1y) | ||
| Cody Law | Registered representative | Oct 2025 (1y) | ||
| Eric Ernest Lederman | Registered representative | Oct 2025 (1y) | ||
| James Daniel Carrion | Registered representative | Oct 2025 (1y) | ||
| Jeremy Shawn Gentle | Registered representative | Oct 2025 (1y) | ||
| Mason David Bercaw | Registered representative | Oct 2025 (1y) | ||
| Matthew John Healy | Registered representative | Oct 2025 (1y) | ||
| Michael Joseph Reiterman | Registered representative | Oct 2025 (1y) | ||
| Robert Byron Stokes | Registered representative | Oct 2025 (1y) | ||
| Alexis Michelle Firment | Registered representative | Oct 2025 (1y) | ||
| Amy M Hawkins | Registered representative | Oct 2025 (1y) | ||
| Bradley Earle Hughs | Registered representative | Oct 2025 (1y) | ||
| Brian Scott Kuefler | Registered representative | CFP Chartered Financial Consultant | Oct 2025 (1y) | |
| Brennan Harrington | Registered representative | CFP | Oct 2025 (1y) | |
| Christopher S Spear | Registered representative | Oct 2025 (1y) | ||
| Jerome John Wojnicki | Registered representative | Oct 2025 (1y) | ||
| John Joseph Anderson | Registered representative | CFP | Oct 2025 (1y) | |
| Macauley Beloney | Registered representative | Oct 2025 (1y) | ||
| Mark James Lucaccioni | Registered representative | CFP | Oct 2025 (1y) | |
| Michael J Hastings | Registered representative | Oct 2025 (1y) | ||
| Michael Richard Cason | Registered representative | CFP Chartered Financial Consultant | Oct 2025 (1y) | |
| Michael Thomas Langenberg | Registered representative | Oct 2025 (1y) | ||
| Paul Raymond Burns | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Robert Eric Bishop | Registered representative | Oct 2025 (1y) | ||
| Victoria Robin Marks | Registered representative | Oct 2025 (1y) | ||
| Brandon John Valentine | Registered representative | Oct 2025 (1y) | ||
| Clark Douglas Stevens | Registered representative | Oct 2025 (1y) | ||
| Katarzyna Diamond | Registered representative | Oct 2025 (1y) | ||
| Kurt Engelhardt | Registered representative | Oct 2025 (1y) | ||
| Kolin Hayes | Registered representative | Oct 2025 (1y) | ||
| Mark Robert Barenbaum | Registered representative | Oct 2025 (1y) | ||
| Riley Patrick Cavanaugh | Registered representative | Oct 2025 (1y) | ||
| Scott Harris Rose | Registered representative | Oct 2025 (1y) | ||
| Tina Christine Potasinski | Registered representative | Oct 2025 (1y) | ||
| Vernon Robert Reinike | Registered representative | Oct 2025 (1y) | ||
| Zackery Aaron Mollett | Registered representative | Oct 2025 (1y) | ||
| Andrew P Graser | Registered representative | Oct 2025 (1y) | ||
| Christopher Allen Feland | Registered representative | Oct 2025 (1y) | ||
| Darren Keith Heisler | Registered representative | Oct 2025 (1y) | ||
| Elizabeth Ramos | Registered representative | Oct 2025 (1y) | ||
| Joshua Michael Ripley | Registered representative | Oct 2025 (1y) | ||
| Leann R Burkholder | Registered representative | Oct 2025 (1y) | ||
| Nathaniel J Cundiff | Registered representative | Oct 2025 (1y) | ||
| Ryan David Alberson | Registered representative | Oct 2025 (1y) | ||
| Trevor Peter Lacz | Registered representative | Oct 2025 (1y) | ||
| Wesley Foster Peltzer | Registered representative | Oct 2025 (1y) | ||
| Kristen Kay Beckstead | Registered representative | CFP Chartered Financial Consultant | Oct 2025 (1y) | |
| Richard Lee Bassett | Registered representative | Oct 2025 (1y) | ||
| Steven W Shirley | Registered representative | Oct 2025 (1y) | ||
| Tyler Gregory | Registered representative | Oct 2025 (1y) | ||
| Brian W Suttle | Registered representative | Oct 2025 (1y) | ||
| Daniel S Tam | Registered representative | Oct 2025 (1y) | ||
| Dmitriy Gusev | Registered representative | Oct 2025 (1y) | ||
| Jacob Hunter Lebaron | Registered representative | Oct 2025 (1y) | ||
| Kenneth C Chan | Registered representative | Oct 2025 (1y) | ||
| Nicholas Paul Schneider | Registered representative | Oct 2025 (1y) | ||
| Richard Delbert Newcomb | Registered representative | Oct 2025 (1y) | ||
| Sean Connor Turner | Registered representative | Oct 2025 (1y) | ||
| William Louis Selig | Registered representative | Oct 2025 (1y) | ||
| Bard Chance Powell | Registered representative | CFP | Oct 2025 (1y) | |
| Bryan Rhondal Stockwell | Registered representative | Oct 2025 (1y) | ||
| Carlton Hewes Ward | Registered representative | Oct 2025 (1y) | ||
| Dana Nicole Trowbridge Mette | Registered representative | CFP | Oct 2025 (1y) | |
| Joel Edward Mattix | Registered representative | CFP | Oct 2025 (1y) | |
| Jason Lee Seifert | Registered representative | Oct 2025 (1y) | ||
| Mark Thomas Schneider | Registered representative | Oct 2025 (1y) | ||
| Patricia Lynn Davies | Registered representative | Oct 2025 (1y) | ||
| Sydney Marlene Carvotta | Registered representative | Oct 2025 (1y) | ||
| Alexis C Gaspard | Registered representative | CFP | Oct 2025 (1y) | |
| Andrew J Mc Rill | Registered representative | Oct 2025 (1y) | ||
| Devin Daniel Rohner | Registered representative | CFP | Oct 2025 (1y) | |
| Elissa Jill Fraipont | Registered representative | Oct 2025 (1y) | ||
| Justin Burch Jones | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Jessica Ann Lambert | Registered representative | Oct 2025 (1y) | ||
| John Dalton Donaldson | Registered representative | Oct 2025 (1y) | ||
| Jonathan Scott Winkler | Registered representative | Oct 2025 (1y) | ||
| Spencer Adam Hill | Registered representative | Oct 2025 (1y) | ||
| Courtney Nicole Doerfler | Registered representative | Oct 2025 (1y) | ||
| Cason Arric Crenshaw | Registered representative | Oct 2025 (1y) | ||
| David Greg Birrell | Registered representative | Oct 2025 (1y) | ||
| John Webster Biteman | Registered representative | Oct 2025 (1y) | ||
| Joseph M Jaszemski | Registered representative | Oct 2025 (1y) | ||
| Joseph Michael Vitale | Registered representative | Oct 2025 (1y) | ||
| Justin Brown | Registered representative | Oct 2025 (1y) | ||
| Kevin Michael Flynn | Registered representative | Oct 2025 (1y) | ||
| Scott William Daniel | Registered representative | Oct 2025 (1y) | ||
| Timothy Daniel Mattern | Registered representative | Oct 2025 (1y) | ||
| Zachary James Huppert | Registered representative | Oct 2025 (1y) | ||
| Adam Michael Schilawski | Registered representative | Oct 2025 (1y) | ||
| Bryan Edward Reed | Registered representative | Oct 2025 (1y) | ||
| Daniel Robert De Milo | Registered representative | Oct 2025 (1y) | ||
| Justin Anthony Baierl | Registered representative | CFP | Oct 2025 (1y) | |
| Josiah William Behm | Registered representative | Oct 2025 (1y) | ||
| Nicholas Freeman Sheppard | Registered representative | Oct 2025 (1y) | ||
| Paul Iver Jepson | Registered representative | CFP | Oct 2025 (1y) | |
| Randy Michael Penkwitz | Registered representative | Oct 2025 (1y) | ||
| Reed Christopher Hicks | Registered representative | Oct 2025 (1y) | ||
| Yvonne Kimberly Plachy | Registered representative | CFP | Oct 2025 (1y) | |
| Heather Anne Carey | Registered representative | Oct 2025 (1y) | ||
| Stockton C Johnson | Registered representative | Oct 2025 (1y) | ||
| Aaron James Hill | Registered representative | Oct 2025 (1y) | ||
| Alexander Augenstein | Registered representative | Oct 2025 (1y) | ||
| Cynthia Jean Cannon | Registered representative | CFP | Oct 2025 (1y) | |
| Cade Roque | Registered representative | Oct 2025 (1y) | ||
| Daniel Dominick Rappa | Registered representative | Oct 2025 (1y) | ||
| Ethan Che Montalvo | Registered representative | Oct 2025 (1y) | ||
| Gavriel Hershkop | Registered representative | Oct 2025 (1y) | ||
| Joseph Carl Hurlimann | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Jimmy Lawrence Trotter | Registered representative | Oct 2025 (1y) | ||
| Joseph Larraga | Registered representative | Oct 2025 (1y) | ||
| Kelly Lyn Zito | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Loree Anne Harpole | Registered representative | Oct 2025 (1y) | ||
| Michael Sean Johnson | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Matthew Baker | Registered representative | Oct 2025 (1y) | ||
| Steven John Krueger | Registered representative | Oct 2025 (1y) | ||
| Thomas John Snyder | Registered representative | CFA | Oct 2025 (1y) | |
| William Casey Johnson | Registered representative | Oct 2025 (1y) | ||
| York Aparicio Mendoza | Registered representative | Oct 2025 (1y) | ||
| Anthony Del Ghingaro | Registered representative | Oct 2025 (1y) | ||
| Christopher Wayne Worley | Registered representative | Oct 2025 (1y) | ||
| Cameron Alan Murray Forde | Registered representative | Oct 2025 (1y) | ||
| David Lee Cook | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Gregory Jason Bell | Registered representative | Oct 2025 (1y) | ||
| Jake Volo | Registered representative | Oct 2025 (1y) | ||
| Keith L Wood | Registered representative | Oct 2025 (1y) | ||
| Mackenzey Smith | Registered representative | Oct 2025 (1y) | ||
| Adam David Kaplan | Registered representative | Oct 2025 (1y) | ||
| Charles Judson Goldman | Registered representative | Oct 2025 (1y) | ||
| Charles Judson Goldman | Registered representative | Oct 2025 (1y) | ||
| Dewey Alan Engelsma | Registered representative | CFP Chartered Financial Consultant | Oct 2025 (1y) | |
| Jeffrey Alan Pratt | Registered representative | CFP | Oct 2025 (1y) | |
| Jeffrey B Julander | Registered representative | Oct 2025 (1y) | ||
| Michael Paul Harris | Registered representative | Oct 2025 (1y) | ||
| Paige Franklin Crisp | Registered representative | Oct 2025 (1y) | ||
| Robert London | Registered representative | Oct 2025 (1y) | ||
| Thomas Edward Dewitt | Registered representative | Oct 2025 (1y) | ||
| Thomas James Brown | Registered representative | CFP | Oct 2025 (1y) | |
| Troy Ashley Gentry | Registered representative | Oct 2025 (1y) | ||
| William Cranston Fenwick | Registered representative | Oct 2025 (1y) | ||
| Zachary Tyler Wasson | Registered representative | Oct 2025 (1y) | ||
| Aaron Jacob Burleson | Registered representative | Oct 2025 (1y) | ||
| Alfred West | Registered representative | Oct 2025 (1y) | ||
| Brandon Eric Wallis | Registered representative | CFP | Oct 2025 (1y) | |
| Christopher Alpers | Registered representative | CFP | Oct 2025 (1y) | |
| Colin Thomas Bowman | Registered representative | Oct 2025 (1y) | ||
| Jeffrey Robert Huber | Registered representative | Oct 2025 (1y) | ||
| Jordan P Rider | Registered representative | Oct 2025 (1y) | ||
| Jared Wesley Heinen | Registered representative | Oct 2025 (1y) | ||
| Joshua Jones | Registered representative | Oct 2025 (1y) | ||
| Kayla Connelly | Registered representative | Oct 2025 (1y) | ||
| Rene Michel | Registered representative | Oct 2025 (1y) | ||
| Seth Adam Turner | Registered representative | Oct 2025 (1y) | ||
| Tiffany Diaz | Registered representative | Oct 2025 (1y) | ||
| Vincent A Melillo | Registered representative | Oct 2025 (1y) | ||
| Benjamin Rueff Williams | Registered representative | Oct 2025 (1y) | ||
| Cassandra Lavon Hergott | Registered representative | Oct 2025 (1y) | ||
| Jamil Dada | Registered representative | Oct 2025 (1y) | ||
| Lloyd Thomas Church | Registered representative | Oct 2025 (1y) | ||
| Meghan Townsend Mills | Registered representative | Oct 2025 (1y) | ||
| Marcelo Eduardo Rendon | Registered representative | Oct 2025 (1y) | ||
| Sandra Jean Halliburton | Registered representative | Oct 2025 (1y) | ||
| Zachary J Ewing | Registered representative | Oct 2025 (1y) | ||
| Peter Lawrence Graham | Registered representative | Nov 2025 (1y) | ||
| Adam J Newman | Registered representative | Nov 2025 (1y) | ||
| Barry Joseph Lockard | Registered representative | Nov 2025 (1y) | ||
| Blake Bruce Calligaro | Registered representative | CFP Chartered Financial Consultant | Nov 2025 (1y) | |
| Christopher Michael Lowe | Registered representative | Nov 2025 (1y) | ||
| Curtis William Howard | Registered representative | Nov 2025 (1y) | ||
| Derek W Mcgee | Registered representative | Nov 2025 (1y) | ||
| Joshua Kampbell | Registered representative | Nov 2025 (1y) | ||
| Jacob Allen Jones | Registered representative | Nov 2025 (1y) | ||
| James Robert Quigley | Registered representative | Nov 2025 (1y) | ||
| Kelly M. Morris | Registered representative | Nov 2025 (1y) | ||
| Miyuki K Oh | Registered representative | Nov 2025 (1y) | ||
| Philip Lawrence Emchick | Registered representative | Nov 2025 (1y) | ||
| Phillip Anthony Hogan | Registered representative | Nov 2025 (1y) | ||
| Ryan P Hansen | Registered representative | Nov 2025 (1y) | ||
| Suzanne Christiansen De Graw | Registered representative | Nov 2025 (1y) | ||
| Thomas Kalbaugh | Registered representative | Nov 2025 (1y) | ||
| Yolanda Franco | Registered representative | Nov 2025 (1y) | ||
| Clinton Michael Howard | Registered representative | Nov 2025 (1y) | ||
| Chelsea Anne Le Moine | Registered representative | Nov 2025 (1y) | ||
| Darryl Gregory Duerbusch | Registered representative | CFP | Nov 2025 (1y) | |
| Henry Kwok Jung | Registered representative | CFP | Nov 2025 (1y) | |
| Jared Alan High | Registered representative | Nov 2025 (1y) | ||
| Jake Samuel Hayes | Registered representative | CFP CFA | Nov 2025 (1y) | |
| Kalin D Mcclure | Registered representative | CFP | Nov 2025 (1y) | |
| Loren Shane Fields | Registered representative | Nov 2025 (1y) | ||
| Michael Edward Kiefer | Registered representative | Nov 2025 (1y) | ||
| Mabel J Hirst | Registered representative | Nov 2025 (1y) | ||
| Nathaniel Jacob Heilig | Registered representative | Nov 2025 (1y) | ||
| Robert James Dee | Registered representative | Nov 2025 (1y) | ||
| Robin Nicole Scarborough | Registered representative | Nov 2025 (1y) | ||
| Sarah M Zirbel Nowak | Registered representative | Nov 2025 (1y) | ||
| Sean Stockman | Registered representative | Nov 2025 (1y) | ||
| Zachary Michael Carr | Registered representative | Nov 2025 (1y) | ||
| Eric O'brien | Registered representative | Nov 2025 (1y) | ||
| Jagruti Makwana | Registered representative | Nov 2025 (1y) | ||
| Marc Connor Harrell | Registered representative | Nov 2025 (1y) | ||
| Mark Jay Napolin | Registered representative | Chartered Financial Consultant | Nov 2025 (1y) | |
| Matthew Robert Stahl | Registered representative | Nov 2025 (1y) | ||
| Michael Benson Koskuba | Registered representative | Nov 2025 (1y) | ||
| Michelle Otts Bailey | Registered representative | Nov 2025 (1y) | ||
| Richard Andrew Dougherty | Registered representative | Nov 2025 (1y) | ||
| Richard Colvin Crumpler | Registered representative | Nov 2025 (1y) | ||
| Robert P Philpott | Registered representative | Nov 2025 (1y) | ||
| Ryan Evan Cordova | Registered representative | Nov 2025 (1y) | ||
| Ryan Keith Boudreaux | Registered representative | Nov 2025 (1y) | ||
| Steven Michael Jendrusina | Registered representative | Nov 2025 (1y) | ||
| Steven Alan Rogers | Registered representative | Nov 2025 (1y) | ||
| Benard Verrico | Registered representative | Nov 2025 (1y) | ||
| Brady Jones Clark | Registered representative | Nov 2025 (1y) | ||
| Eric Richard Majka | Registered representative | Nov 2025 (1y) | ||
| John Anthony Mundell | Registered representative | Nov 2025 (1y) | ||
| Joseph Denson Biggerstaff | Registered representative | Nov 2025 (1y) | ||
| Lawrence Anthony Faretta | Registered representative | CFP | Nov 2025 (1y) | |
| Richard Hunter | Registered representative | Nov 2025 (1y) | ||
| Stacy Erin Braun | Registered representative | Nov 2025 (1y) | ||
| Steven Dull | Registered representative | Nov 2025 (1y) | ||
| Steven Thomson Gutke | Registered representative | Nov 2025 (1y) | ||
| Andrew Stephen Jankowiak | Registered representative | Nov 2025 (1y) | ||
| Annette Kay Thompson | Registered representative | Nov 2025 (1y) | ||
| Aaron Carl Meyer | Registered representative | Nov 2025 (1y) | ||
| Bradley Mark Schroeder | Registered representative | CFP | Nov 2025 (1y) | |
| Christina A Sarazin | Registered representative | Nov 2025 (1y) | ||
| Christopher Carmen Auwarter | Registered representative | Nov 2025 (1y) | ||
| David Jon Berg | Registered representative | Nov 2025 (1y) | ||
| Holley Gordon Cary | Registered representative | CFP | Nov 2025 (1y) | |
| Jon Jerome Douvier | Registered representative | Nov 2025 (1y) | ||
| Jason Maynard Barta | Registered representative | Nov 2025 (1y) | ||
| Matthew Maskarinec | Registered representative | Nov 2025 (1y) | ||
| Nathan Kistler | Registered representative | Nov 2025 (1y) | ||
| Paul Kenneth Cook | Registered representative | Nov 2025 (1y) | ||
| Ryan Randy Serreyn | Registered representative | Nov 2025 (1y) | ||
| Roger Jon Anderson | Registered representative | Nov 2025 (1y) | ||
| Ross Douglas Olson | Registered representative | Nov 2025 (1y) | ||
| Ryan James Andert | Registered representative | Nov 2025 (1y) | ||
| Scott Joseph Kragh | Registered representative | Nov 2025 (1y) | ||
| Adam Turnquist | Registered representative | Nov 2025 (1y) | ||
| James Leonard Peterson | Registered representative | Nov 2025 (1y) | ||
| Michael Eric Monson | Registered representative | Nov 2025 (1y) | ||
| Matthew Ask | Registered representative | Nov 2025 (1y) | ||
| Michelle Grace Swenson | Registered representative | Nov 2025 (1y) | ||
| Nathaniel Jon Hitch | Registered representative | Nov 2025 (1y) | ||
| Sherri Jean Munkelwitz | Registered representative | Nov 2025 (1y) | ||
| Theodore Michael Elliott | Registered representative | Nov 2025 (1y) | ||
| Anthony Michael Coyne | Registered representative | Nov 2025 (1y) | ||
| Austin Williams Ayers | Registered representative | Nov 2025 (1y) | ||
| Bryce Carroll Morley | Registered representative | Nov 2025 (1y) | ||
| David A Mohammed | Registered representative | Nov 2025 (1y) | ||
| David Scott Weiss | Registered representative | Chartered Financial Consultant | Nov 2025 (1y) | |
| Giovanni Marchizza | Registered representative | Nov 2025 (1y) | ||
| John Anderson Larson | Registered representative | CFP | Nov 2025 (1y) | |
| John Dermot Dempsey | Registered representative | Chartered Financial Consultant | Nov 2025 (1y) | |
| Joshua John Potter | Registered representative | Nov 2025 (1y) | ||
| Jeffrey Lord | Registered representative | Nov 2025 (1y) | ||
| John Patrick Gillespie | Registered representative | Nov 2025 (1y) | ||
| Michael Scott Mcdonald | Registered representative | Nov 2025 (1y) | ||
| Stephanie Morgan Hohenshell | Registered representative | Nov 2025 (1y) | ||
| Tevin Thomas Shackelford | Registered representative | Nov 2025 (1y) | ||
| Vaughan Edwin Meiss | Registered representative | Nov 2025 (1y) | ||
| Avery Fisher | Registered representative | Nov 2025 (1y) | ||
| Christopher David Bausback | Registered representative | Nov 2025 (1y) | ||
| George Daniel Mcavoy | Registered representative | Nov 2025 (1y) | ||
| Jacob M Mischke | Registered representative | Nov 2025 (1y) | ||
| Kimberly Pospisil Eubanks | Registered representative | Nov 2025 (1y) | ||
| Lisa Marie Wagerer | Registered representative | Nov 2025 (1y) | ||
| Mark James Mischke | Registered representative | Nov 2025 (1y) | ||
| Megan Elizabeth Pecherek | Registered representative | CFP | Nov 2025 (1y) | |
| Richard Andrew Tomisman | Registered representative | Nov 2025 (1y) | ||
| Steven Blaine Cunningham | Registered representative | Nov 2025 (1y) | ||
| Brunai Alia Johnson | Registered representative | Nov 2025 (1y) | ||
| Edwin Lee Peters | Registered representative | Chartered Financial Consultant | Nov 2025 (1y) | |
| Edwin Lee Peters | Registered representative | Nov 2025 (1y) | ||
| Jill Kathleen Arbogast | Registered representative | Nov 2025 (1y) | ||
| Joe Michael Hilton Paulus | Registered representative | Nov 2025 (1y) | ||
| Kelly Erin Mc Carthy | Registered representative | Nov 2025 (1y) | ||
| Lynn Meredith Braban | Registered representative | Nov 2025 (1y) | ||
| Timothy C Hoynes | Registered representative | Nov 2025 (1y) | ||
| Zubeen Tukina | Registered representative | Nov 2025 (1y) | ||
| Cheri Clark Evans | Registered representative | Nov 2025 (1y) | ||
| Glenn Allen Baker | Registered representative | Nov 2025 (1y) | ||
| Julia Marie Mc Daniel | Registered representative | Nov 2025 (1y) | ||
| Lacie Burnett Witherspoon | Registered representative | Nov 2025 (1y) | ||
| Lidia Leach | Registered representative | CFP | Nov 2025 (1y) | |
| Lisa Ann Yoest | Registered representative | CFP | Nov 2025 (1y) | |
| Matthew S Aber | Registered representative | Nov 2025 (1y) | ||
| Ryan Jason Menker | Registered representative | Nov 2025 (1y) | ||
| Stephen Minicucci | Registered representative | Nov 2025 (1y) | ||
| Bryson Mitchell Shook | Registered representative | Nov 2025 (1y) | ||
| Clay Wallace Hershey | Registered representative | Nov 2025 (1y) | ||
| Elizabeth Sabu Pattarettu | Registered representative | Nov 2025 (1y) | ||
| Glenn Depalma | Registered representative | Nov 2025 (1y) | ||
| Huilin Liu | Registered representative | Nov 2025 (1y) | ||
| Matthew Joseph Greenan | Registered representative | Nov 2025 (1y) | ||
| Mitchell Ashley Tomlinson | Registered representative | Nov 2025 (1y) | ||
| Nicole Raquel Granato | Registered representative | Nov 2025 (1y) | ||
| Steven Neal Blanton | Registered representative | Nov 2025 (1y) | ||
| William Mc Donald | Registered representative | Nov 2025 (1y) | ||
| Bethanie Lynn Gore | Registered representative | Nov 2025 (1y) | ||
| Brooke Haley Woodall | Registered representative | Nov 2025 (1y) | ||
| Christopher Joe Dever | Registered representative | Nov 2025 (1y) | ||
| Craig Weyenberg | Registered representative | Nov 2025 (1y) | ||
| Cole Winbauer | Registered representative | Nov 2025 (1y) | ||
| David Gerard Lutsch | Registered representative | CFP | Nov 2025 (1y) | |
| Donna Marie Williams | Registered representative | Nov 2025 (1y) | ||
| Edward Leo Bayarski | Registered representative | CFP Chartered Financial Consultant | Nov 2025 (1y) | |
| Emilia Taylor Victoria | Registered representative | Nov 2025 (1y) | ||
| Garrett Joseph Greco | Registered representative | Nov 2025 (1y) | ||
| Garrett Tait | Registered representative | Nov 2025 (1y) | ||
| Jayme Bolt Orullian | Registered representative | Nov 2025 (1y) | ||
| Jeffrey V Jones | Registered representative | Nov 2025 (1y) | ||
| John Bayarski | Registered representative | CFP | Nov 2025 (1y) | |
| Matt E Ball | Registered representative | Nov 2025 (1y) | ||
| Michael Paul Hughes | Registered representative | CFP | Nov 2025 (1y) | |
| Matthew Charles Koziol | Registered representative | Nov 2025 (1y) | ||
| Melissa Therese Thomas | Registered representative | Nov 2025 (1y) | ||
| Michael Patrick Spielvogel | Registered representative | Nov 2025 (1y) | ||
| Michael Zatchey | Registered representative | Nov 2025 (1y) | ||
| Peggine Troy Tellez | Registered representative | Nov 2025 (1y) | ||
| Steven Moyer | Registered representative | Nov 2025 (1y) | ||
| Valerie Cynthia Krebs | Registered representative | Nov 2025 (1y) | ||
| Cole Hunter Sixkiller | Registered representative | Nov 2025 (1y) | ||
| Damian L Halstad | Registered representative | Nov 2025 (1y) | ||
| Dorian Scott Holmes | Registered representative | CFP | Nov 2025 (1y) | |
| Emma Nelson Jenkins Long | Registered representative | Nov 2025 (1y) | ||
| Garrett Frazier | Registered representative | Nov 2025 (1y) | ||
| Grace Montgomery Freund | Registered representative | Nov 2025 (1y) | ||
| Joseph Nicholas Azevedo | Registered representative | Nov 2025 (1y) | ||
| Juan A Guerrero | Registered representative | CFP | Nov 2025 (1y) | |
| Mark Steven Rathjen | Registered representative | Nov 2025 (1y) | ||
| Ahmed Y Stephens | Registered representative | Nov 2025 (1y) | ||
| Caleb Parsley | Registered representative | Nov 2025 (1y) | ||
| Kenneth Edward Norkus | Registered representative | Nov 2025 (1y) | ||
| Maria E Horne | Registered representative | Nov 2025 (1y) | ||
| Matthew Stephen Delzingaro | Registered representative | Nov 2025 (1y) | ||
| Rowan Sylvia | Registered representative | Nov 2025 (1y) | ||
| Brennen Carlsen | Registered representative | Nov 2025 (1y) | ||
| Chase Nobu Hondo Morinaka | Registered representative | Nov 2025 (1y) | ||
| Clayton Howard Wright | Registered representative | Nov 2025 (1y) | ||
| Chandler Drake Ferguson | Registered representative | Nov 2025 (1y) | ||
| Dustin Payne | Registered representative | Nov 2025 (1y) | ||
| Gino Esposito | Registered representative | Nov 2025 (1y) | ||
| Corey Nicholas Hudak | Registered representative | Nov 2025 (1y) | ||
| Dana Michael Dunn | Registered representative | Nov 2025 (1y) | ||
| David Alan Friello | Registered representative | Nov 2025 (1y) | ||
| Daniel Channing Love | Registered representative | Nov 2025 (1y) | ||
| Francesca Annetta Debonis | Registered representative | Nov 2025 (1y) | ||
| Jennifer Christine Pascal | Registered representative | Nov 2025 (1y) | ||
| Joseph A Gunn | Registered representative | Nov 2025 (1y) | ||
| Michael Ethan Spiller | Registered representative | Nov 2025 (1y) | ||
| Morgan Lawrence Gemondo | Registered representative | Nov 2025 (1y) | ||
| Rickey Del Thomas | Registered representative | Nov 2025 (1y) | ||
| John Bernard Anzaldua | Registered representative | Nov 2025 (1y) | ||
| Christopher Michael Collins | Registered representative | CFP | Nov 2025 (1y) | |
| Andrew A Neal | Registered representative | Nov 2025 (1y) | ||
| Chad Leon Stafford | Registered representative | Nov 2025 (1y) | ||
| Donny Hiroyuki Takemoto | Registered representative | Nov 2025 (1y) | ||
| Daniel Augustine Leyva | Registered representative | Nov 2025 (1y) | ||
| Jack Lubischer | Registered representative | Nov 2025 (1y) | ||
| Jon Christopher Dudkowski | Registered representative | Nov 2025 (1y) | ||
| Jordan T Parkin | Registered representative | Nov 2025 (1y) | ||
| Joseph Tomas Vidarte | Registered representative | Nov 2025 (1y) | ||
| Kathryn S Wunderlich | Registered representative | Nov 2025 (1y) | ||
| Kevin Michael Schmitz | Registered representative | Nov 2025 (1y) | ||
| Luis Alfredo Morales Montanez | Registered representative | Nov 2025 (1y) | ||
| Luke Kenton Prill | Registered representative | Nov 2025 (1y) | ||
| Peggy Ann Winbauer | Registered representative | Nov 2025 (1y) | ||
| Steven Lane Nartker | Registered representative | CFP Personal Financial Specialist | Nov 2025 (1y) | |
| Susan Jean Sturm Bailey | Registered representative | Nov 2025 (1y) | ||
| Amanda Barton Reeher | Registered representative | Nov 2025 (1y) | ||
| Bethany Goodrich | Registered representative | CFP | Nov 2025 (1y) | |
| Bo James Fisher | Registered representative | Nov 2025 (1y) | ||
| Casey M Reimer | Registered representative | Nov 2025 (1y) | ||
| Erica Marie Clark | Registered representative | Nov 2025 (1y) | ||
| Harrison Xu | Registered representative | Nov 2025 (1y) | ||
| James P Fazio | Registered representative | Nov 2025 (1y) | ||
| Juan Carlos Mendez Castro | Registered representative | Nov 2025 (1y) | ||
| Kamran Sadr Mahalati | Registered representative | Nov 2025 (1y) | ||
| Michael Thomas Field | Registered representative | CFA | Nov 2025 (1y) | |
| Ryan C Anger | Registered representative | Nov 2025 (1y) | ||
| Ryan Toro | Registered representative | Nov 2025 (1y) | ||
| William De Santis | Registered representative | Nov 2025 (1y) | ||
| Cameron Michael Fisher | Registered representative | Nov 2025 (1y) | ||
| Donald G. Chastain | Registered representative | Nov 2025 (1y) | ||
| Jeffrey David Cary | Registered representative | Nov 2025 (1y) | ||
| Laile Neal Landauer | Registered representative | Nov 2025 (1y) | ||
| Michael Anthony Mcclain | Registered representative | CFA | Nov 2025 (1y) | |
| Matthew Philip Short | Registered representative | Nov 2025 (1y) | ||
| Matthew Scott Grohocki | Registered representative | Nov 2025 (1y) | ||
| Paul E Hurlburt | Registered representative | Nov 2025 (1y) | ||
| Steven Leroy Douglass | Registered representative | CFP | Nov 2025 (1y) | |
| Xinqing Lai | Registered representative | Nov 2025 (1y) | ||
| Bonnie Marie Sweeten | Registered representative | Nov 2025 (1y) | ||
| Jack Christopher Crawshaw | Registered representative | Nov 2025 (1y) | ||
| Jake Calvin Foreman | Registered representative | Nov 2025 (1y) | ||
| Juan Gabriel Gonzalez Robles | Registered representative | Nov 2025 (1y) | ||
| Scott A Henderson | Registered representative | Nov 2025 (1y) | ||
| Bruce Gregory Pienton | Registered representative | Dec 2025 (1y) | ||
| Bruce James Block | Registered representative | Chartered Financial Consultant | Dec 2025 (1y) | |
| Cody Reid Flesher | Registered representative | Dec 2025 (1y) | ||
| Connor James Nowe | Registered representative | Dec 2025 (1y) | ||
| Connor David Ziegler | Registered representative | Dec 2025 (1y) | ||
| Darin Allan Dequardo | Registered representative | Dec 2025 (1y) | ||
| Jenna Michele Kaplan | Registered representative | Dec 2025 (1y) | ||
| Julio Christian Marrero | Registered representative | Dec 2025 (1y) | ||
| Landon Jack Winn | Registered representative | Dec 2025 (1y) | ||
| Michael John Williams | Registered representative | CFP | Dec 2025 (1y) | |
| Michael Sadowski | Registered representative | CFP | Dec 2025 (1y) | |
| Marian Crawford | Registered representative | CFP | Dec 2025 (1y) | |
| Matthew R Ward | Registered representative | Dec 2025 (1y) | ||
| Natalie Sorensen | Registered representative | Dec 2025 (1y) | ||
| Nathan Michael Daugherty | Registered representative | Dec 2025 (1y) | ||
| Robert Thomas Nowe | Registered representative | Dec 2025 (1y) | ||
| Robert Todd Seibert | Registered representative | CFP | Dec 2025 (1y) | |
| Steven Banta Ulrichs | Registered representative | Dec 2025 (1y) | ||
| Timothy C Hutton | Registered representative | Dec 2025 (1y) | ||
| Troy Anthony Cody | Registered representative | Dec 2025 (1y) | ||
| William Mercer Savage | Registered representative | Dec 2025 (1y) | ||
| Alexander Scott Brueske | Registered representative | CFP | Dec 2025 (1y) | |
| Benjamin Rhett Fordham | Registered representative | Dec 2025 (1y) | ||
| Bruce Alan Horvitz | Registered representative | Chartered Financial Consultant | Dec 2025 (1y) | |
| Colin Matthew Brewington | Registered representative | Dec 2025 (1y) | ||
| David Alan Ray | Registered representative | Dec 2025 (1y) | ||
| Jeffrey Wilson | Registered representative | CFP | Dec 2025 (1y) | |
| John George Ulshafer | Registered representative | Dec 2025 (1y) | ||
| John Jacob Burke | Registered representative | Dec 2025 (1y) | ||
| Jesse Michael Plunkett | Registered representative | Dec 2025 (1y) | ||
| Jonathan David Boone | Registered representative | Dec 2025 (1y) | ||
| Jonathon Hollins | Registered representative | Dec 2025 (1y) | ||
| Karen Patricia Scinto | Registered representative | Dec 2025 (1y) | ||
| Nicholas Steven Sabo | Registered representative | Dec 2025 (1y) | ||
| Rachel Pierson | Registered representative | Dec 2025 (1y) | ||
| Robert Leonard Brood | Registered representative | CFP | Dec 2025 (1y) | |
| Samuel Branch Laneave | Registered representative | Dec 2025 (1y) | ||
| Scott Alan Brueske | Registered representative | CFP | Dec 2025 (1y) | |
| Spencer Alan Brueske | Registered representative | CFP | Dec 2025 (1y) | |
| Spencer William Rand | Registered representative | CFP | Dec 2025 (1y) | |
| Thomas Dexter Lenci | Registered representative | Chartered Financial Consultant | Dec 2025 (1y) | |
| Brandon Jay Wolvington | Registered representative | Dec 2025 (1y) | ||
| Chad Miller | Registered representative | Dec 2025 (1y) | ||
| Christopher Patrick Warhol | Registered representative | Dec 2025 (1y) | ||
| Gilbert V Little | Registered representative | Dec 2025 (1y) | ||
| Jannet Mildred Davis | Registered representative | Dec 2025 (1y) | ||
| John Michael Provinsal | Registered representative | Dec 2025 (1y) | ||
| Joseph E Shea | Registered representative | Dec 2025 (1y) | ||
| Jacob C Adams | Registered representative | Dec 2025 (1y) | ||
| Jessica Nuhaj | Registered representative | Dec 2025 (1y) | ||
| Joseph Matthew Cover | Registered representative | Dec 2025 (1y) | ||
| Manuel Rosas Chavez | Registered representative | Dec 2025 (1y) | ||
| Todd Alan Dussex | Registered representative | Dec 2025 (1y) | ||
| Tanisha N Crump | Registered representative | Dec 2025 (1y) | ||
| Teddy Alvarado Figueroa | Registered representative | Dec 2025 (1y) | ||
| Bethany Nicole Davis | Registered representative | Dec 2025 (1y) | ||
| Justin Richard Steele | Registered representative | Dec 2025 (1y) | ||
| Jacob Scott Luce | Registered representative | Dec 2025 (1y) | ||
| Joseph Licht | Registered representative | Dec 2025 (1y) | ||
| Kevin J. Sercia | Registered representative | Dec 2025 (1y) | ||
| Kristian Pavlov | Registered representative | Dec 2025 (1y) | ||
| Madelynn Nacke | Registered representative | Dec 2025 (1y) | ||
| Randall James Reinagel | Registered representative | Dec 2025 (1y) | ||
| Wesley J. Garner | Registered representative | Dec 2025 (1y) | ||
| William Donald Portanova | Registered representative | Dec 2025 (1y) | ||
| James Peter Muchard | Registered representative | Dec 2025 (1y) | ||
| Jeffrey George Muchard | Registered representative | Dec 2025 (1y) | ||
| Johannes Willem De Waal | Registered representative | Dec 2025 (1y) | ||
| Kevin Thomas Sheffield | Registered representative | Dec 2025 (1y) | ||
| Randall Robert Murphy | Registered representative | CFP | Dec 2025 (1y) | |
| Ryan Jeffrey Muchard | Registered representative | Dec 2025 (1y) | ||
| Shelbey Jordan Lyons | Registered representative | Dec 2025 (1y) | ||
| Tiffany Elise Cote | Registered representative | Dec 2025 (1y) | ||
| Tasha Marguerite Williams | Registered representative | CFP Chartered Financial Consultant | Dec 2025 (1y) | |
| Austin M Beshuk | Registered representative | Dec 2025 (1y) | ||
| Nathan Scott Spangler | Registered representative | Dec 2025 (1y) | ||
| Brennan Molin | Registered representative | Dec 2025 (1y) | ||
| Christopher Adam Stockert | Registered representative | Dec 2025 (1y) | ||
| Dennis Ray Horr | Registered representative | Dec 2025 (1y) | ||
| Howard Roy Verfaillie | Registered representative | Dec 2025 (1y) | ||
| Jack Mackenzie Miceli | Registered representative | Dec 2025 (1y) | ||
| Korsa Nzidee | Registered representative | Dec 2025 (1y) | ||
| Luis Ponce | Registered representative | Dec 2025 (1y) | ||
| Mauro Agustin Parra | Registered representative | Dec 2025 (1y) | ||
| Norman Getsinger | Registered representative | Dec 2025 (1y) | ||
| Richard Addison Steele | Registered representative | CFP | Dec 2025 (1y) | |
| Ryan Patrick Hoover | Registered representative | Dec 2025 (1y) | ||
| Robert Andrew Yarbrough | Registered representative | Dec 2025 (1y) | ||
| Robert F Butler | Registered representative | Dec 2025 (1y) | ||
| Robert Scott Kreischer | Registered representative | Dec 2025 (1y) | ||
| Ryan Patrick O'connor | Registered representative | CFP | Dec 2025 (1y) | |
| Ryan Steven Dyrr | Registered representative | Dec 2025 (1y) | ||
| Thomas Dwight Eldred | Registered representative | Dec 2025 (1y) | ||
| Caimen Mc Donough | Registered representative | Dec 2025 (1y) | ||
| Derek Jay Drege | Registered representative | Dec 2025 (1y) | ||
| David Frederick Weigand | Registered representative | Dec 2025 (1y) | ||
| Eric Lance Guetterman | Registered representative | Dec 2025 (1y) | ||
| Jamison Dale Edlin | Registered representative | Dec 2025 (1y) | ||
| Micah Duane Larson | Registered representative | CFP | Dec 2025 (1y) | |
| Ryan Najar Valenzuela | Registered representative | Dec 2025 (1y) | ||
| Trace Quinton Lentz | Registered representative | Dec 2025 (1y) | ||
| Victoria Osorio Fitzmorris | Registered representative | Dec 2025 (1y) | ||
| Aidan Glynn | Registered representative | Dec 2025 (1y) | ||
| Blake Steven Behunin | Registered representative | Dec 2025 (1y) | ||
| Mark Andrew Poitras | Registered representative | Dec 2025 (1y) | ||
| Mason Sova | Registered representative | Dec 2025 (1y) | ||
| Randi Derene | Registered representative | Dec 2025 (1y) | ||
| Robert Steven Behunin | Registered representative | Dec 2025 (1y) | ||
| Richard Stephen Mullin | Registered representative | Dec 2025 (1y) | ||
| Samantha Welsh | Registered representative | Dec 2025 (1y) | ||
| Bryan D Hoffman | Registered representative | Dec 2025 (1y) | ||
| Emmanuel Martinez Jauregui | Registered representative | Dec 2025 (1y) | ||
| Gustavo Arce | Registered representative | Dec 2025 (1y) | ||
| Jacob Andrew Van Lenten | Registered representative | Dec 2025 (1y) | ||
| Kevin Broderick | Registered representative | Dec 2025 (1y) | ||
| Margaret J Paddock | Registered representative | Dec 2025 (1y) | ||
| Pablo Martin Serna | Registered representative | Dec 2025 (1y) | ||
| Roland Cuellar | Registered representative | Dec 2025 (1y) | ||
| Sean Kieran Larkin | Registered representative | CFP | Dec 2025 (1y) | |
| Colby D Chapman | Registered representative | Dec 2025 (1y) | ||
| Hye Joung Lee | Registered representative | Dec 2025 (1y) | ||
| Jessica G Perry | Registered representative | CFP | Dec 2025 (1y) | |
| Jordan Swanson | Registered representative | Dec 2025 (1y) | ||
| Krisha Anne Ashton | Registered representative | Dec 2025 (1y) | ||
| Richard William Rose | Registered representative | CFP | Dec 2025 (1y) | |
| Thomas E Hobin | Registered representative | Dec 2025 (1y) | ||
| Timothy James Beschner | Registered representative | Dec 2025 (1y) | ||
| Anne Williamson Van Demark | Registered representative | Dec 2025 (1y) | ||
| Christina Faye Zins | Registered representative | CFP | Dec 2025 (1y) | |
| Christina S Payne | Registered representative | Dec 2025 (1y) | ||
| Faith T Kieninger | Registered representative | Dec 2025 (1y) | ||
| Jay Scott Calhoun | Registered representative | Dec 2025 (1y) | ||
| Jennifer Broughton | Registered representative | Dec 2025 (1y) | ||
| Jordan Price | Registered representative | Dec 2025 (1y) | ||
| Justin James Vance | Registered representative | Dec 2025 (1y) | ||
| Kenneth Hullings | Registered representative | Dec 2025 (1y) | ||
| Laura Parasida | Registered representative | Dec 2025 (1y) | ||
| Nathaniel Robert Mccabe | Registered representative | Dec 2025 (1y) | ||
| Robert Louis Lassek | Registered representative | Dec 2025 (1y) | ||
| Thomas H Lambert | Registered representative | Dec 2025 (1y) | ||
| Angela Beth Fogleman | Registered representative | Dec 2025 (1y) | ||
| Hunter Garrison Risbeck | Registered representative | Dec 2025 (1y) | ||
| John Hartley Howard | Registered representative | CFP Chartered Financial Consultant | Dec 2025 (1y) | |
| Jordan Laws | Registered representative | Dec 2025 (1y) | ||
| Justin Elia | Registered representative | Dec 2025 (1y) | ||
| Mason Anthony Brown | Registered representative | Dec 2025 (1y) | ||
| Melissa Dawn Mckinney | Registered representative | Dec 2025 (1y) | ||
| Michael Tapolci | Registered representative | Dec 2025 (1y) | ||
| Nicholas Brinkman | Registered representative | Dec 2025 (1y) | ||
| Susan M Davies | Registered representative | CFP | Dec 2025 (1y) | |
| Maggie Watson | Registered representative | Dec 2025 (1y) | ||
| Maida M Talens | Registered representative | Dec 2025 (1y) | ||
| Blake L Birdsall | Registered representative | Dec 2025 (1y) | ||
| Sara Ann Kerry | Registered representative | Dec 2025 (1y) | ||
| Bradley Gene Pagliaro | Registered representative | Dec 2025 (1y) | ||
| Demi A Bollinger | Registered representative | Dec 2025 (1y) | ||
| Iverson Qiu | Registered representative | Dec 2025 (1y) | ||
| Jennifer M Antoniadis | Registered representative | Dec 2025 (1y) | ||
| Jacob John Ritchie | Registered representative | Dec 2025 (1y) | ||
| John Riley Davis | Registered representative | Dec 2025 (1y) | ||
| Kathryn Olson Hoyle | Registered representative | CFP | Dec 2025 (1y) | |
| Luke Charles Popp | Registered representative | Dec 2025 (1y) | ||
| Michael David Ruzek | Registered representative | Dec 2025 (1y) | ||
| William Robert Byars | Registered representative | Dec 2025 (1y) | ||
| William Wesley Truett | Registered representative | Dec 2025 (1y) | ||
| Charles Robert Davee | Registered representative | CFP | Dec 2025 (1y) | |
| Charles Edwin Pieper | Registered representative | Dec 2025 (1y) | ||
| Avery Dean Jacobs | Registered representative | Dec 2025 (1y) | ||
| Adam John Wieberg | Registered representative | Dec 2025 (1y) | ||
| John Michael Duke | Registered representative | Chartered Financial Consultant | Dec 2025 (1y) | |
| Kevin Banks | Registered representative | Dec 2025 (1y) | ||
| Shannon Edward Gillis | Registered representative | Dec 2025 (1y) | ||
| Terri Misako Ichinose | Registered representative | Dec 2025 (1y) | ||
| Trevor Jurlina | Registered representative | Dec 2025 (1y) | ||
| Brady M Classen | Registered representative | Dec 2025 (1y) | ||
| Emily L Cevera | Registered representative | Dec 2025 (1y) | ||
| Hannah Gracie Hunt | Registered representative | Dec 2025 (1y) | ||
| Hassan Al Kadhimi | Registered representative | Dec 2025 (1y) | ||
| Matthew Jacob Bronson | Registered representative | Dec 2025 (1y) | ||
| Neil Hubacker | Registered representative | Dec 2025 (1y) | ||
| Xiaoju Zhang | Registered representative | Dec 2025 (1y) | ||
| Zachary Zane Rentzel | Registered representative | Dec 2025 (1y) | ||
| Blake Austin Kossl | Registered representative | Dec 2025 (1y) | ||
| James Matthew Dekota Boling | Registered representative | Dec 2025 (1y) | ||
| Charles Vincent Sommer | Registered representative | Dec 2025 (1y) | ||
| Clayton Shackelford | Registered representative | Dec 2025 (1y) | ||
| Ethan Adkins | Registered representative | Dec 2025 (1y) | ||
| Katherine Lee Fratone | Registered representative | Dec 2025 (1y) | ||
| Michael James Lepore | Registered representative | CFP | Dec 2025 (1y) | |
| Alex Choi | Registered representative | Jan 2026 (1y) | ||
| Anthony Wayne Sheffield | Registered representative | Jan 2026 (1y) | ||
| Alexandria E Davis | Registered representative | CFP | Jan 2026 (1y) | |
| Amanda Rose Kennedy | Registered representative | Jan 2026 (1y) | ||
| Andrew J. Lais | Registered representative | Jan 2026 (1y) | ||
| Bradley Wallington Lewis | Registered representative | Jan 2026 (1y) | ||
| Brian Hugh Mckeever | Registered representative | CFP | Jan 2026 (1y) | |
| Britney Lundgren | Registered representative | Jan 2026 (1y) | ||
| Bradford C Corbett | Registered representative | Jan 2026 (1y) | ||
| Bradley Jacob Laczny | Registered representative | Jan 2026 (1y) | ||
| Chad Michael Anderson | Registered representative | Jan 2026 (1y) | ||
| Christopher James Siverson | Registered representative | Jan 2026 (1y) | ||
| Christy N Siphonekham | Registered representative | Jan 2026 (1y) | ||
| Corbyn Lucas Hightower | Registered representative | Jan 2026 (1y) | ||
| Cameron Mohamad Reid | Registered representative | Jan 2026 (1y) | ||
| Corey Matthew Suchocki | Registered representative | Jan 2026 (1y) | ||
| David Allen Evans | Registered representative | Jan 2026 (1y) | ||
| David Riley | Registered representative | Jan 2026 (1y) | ||
| Donald Francis Codori | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| Deena Michelle Kobrin | Registered representative | Jan 2026 (1y) | ||
| Dustin Cain Myers | Registered representative | Jan 2026 (1y) | ||
| Elizabeth R Knight | Registered representative | CFP | Jan 2026 (1y) | |
| Erin Geraldine Caldwell | Registered representative | Jan 2026 (1y) | ||
| Ernest Bernard Arnold | Registered representative | Jan 2026 (1y) | ||
| Eugene Yin Wang | Registered representative | Jan 2026 (1y) | ||
| Gary Robert Lordi (Sr) | Registered representative | Jan 2026 (1y) | ||
| Gregory Allen Tonnon | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| Gregory Lambesis | Registered representative | Jan 2026 (1y) | ||
| Gregory Lewis Von Berg | Registered representative | Jan 2026 (1y) | ||
| Greg Castelnuovo Tedesco | Registered representative | Jan 2026 (1y) | ||
| Hassan Davis | Registered representative | Jan 2026 (1y) | ||
| Ian Ananda Lucas | Registered representative | Jan 2026 (1y) | ||
| Jaimie Sebastian Collier | Registered representative | Jan 2026 (1y) | ||
| Joe J Aguirre | Registered representative | Jan 2026 (1y) | ||
| John James Petit | Registered representative | Jan 2026 (1y) | ||
| John Louis Hawkins | Registered representative | Jan 2026 (1y) | ||
| John Mark Case | Registered representative | Jan 2026 (1y) | ||
| Jonathan James Miles | Registered representative | CFP | Jan 2026 (1y) | |
| Justin Miles Haynes Watkins | Registered representative | Jan 2026 (1y) | ||
| Japjit Perumalla | Registered representative | Jan 2026 (1y) | ||
| Jeffrey Evans Skogsbergh | Registered representative | CFP | Jan 2026 (1y) | |
| Jeffrey Paul Clarke | Registered representative | Jan 2026 (1y) | ||
| Justin Bryan Raines | Registered representative | Jan 2026 (1y) | ||
| Kenneth Masaharu Fujita | Registered representative | Jan 2026 (1y) | ||
| Kevin Lewis Von Tungeln | Registered representative | Jan 2026 (1y) | ||
| Kimberly Cheyenne Nelson | Registered representative | Jan 2026 (1y) | ||
| Kwame Ronald Smith | Registered representative | Jan 2026 (1y) | ||
| Kathryn Mc Leod Lancaster | Registered representative | Jan 2026 (1y) | ||
| Larry Irwin Levenstone | Registered representative | Jan 2026 (1y) | ||
| Lars Henrikson | Registered representative | CFP | Jan 2026 (1y) | |
| Lawrence Gillum | Registered representative | CFA | Jan 2026 (1y) | |
| Linda Anne Wenker | Registered representative | Jan 2026 (1y) | ||
| Lynn Marie Le Goy | Registered representative | Jan 2026 (1y) | ||
| Marc Andrew Zabicki | Registered representative | CFA | Jan 2026 (1y) | |
| Michelle Marie Rafferty | Registered representative | Jan 2026 (1y) | ||
| Matthew Joseph Lenhardt | Registered representative | Jan 2026 (1y) | ||
| Mengying Lu Espel | Registered representative | CFP | Jan 2026 (1y) | |
| Nathan Andrew Kraynack | Registered representative | Jan 2026 (1y) | ||
| Nancy J Ungarino | Registered representative | Jan 2026 (1y) | ||
| Paul Catlow Crawford | Registered representative | Jan 2026 (1y) | ||
| Paul David Sussman | Registered representative | Jan 2026 (1y) | ||
| Pablo Alberto Davila | Registered representative | Jan 2026 (1y) | ||
| Race Alan Walker | Registered representative | Jan 2026 (1y) | ||
| Rodney Kent Wilson | Registered representative | Jan 2026 (1y) | ||
| Roy Jonathan Nazaroff | Registered representative | Jan 2026 (1y) | ||
| Rinaldo Ritonga | Registered representative | Jan 2026 (1y) | ||
| Robert Steven Wilkinson | Registered representative | Jan 2026 (1y) | ||
| Scott Wesley Charboneau | Registered representative | Jan 2026 (1y) | ||
| Sean Michael Hurley | Registered representative | Jan 2026 (1y) | ||
| Shafik Samir Tadros | Registered representative | Jan 2026 (1y) | ||
| Sharon Yvonne Peters | Registered representative | Jan 2026 (1y) | ||
| Stephanie Marie Ficucell | Registered representative | CFP | Jan 2026 (1y) | |
| Sara Oppenheimer | Registered representative | Jan 2026 (1y) | ||
| Spencer James Johnston | Registered representative | Jan 2026 (1y) | ||
| Tyler Roy Goode | Registered representative | CFP | Jan 2026 (1y) | |
| Amanda Robinson Solomon | Registered representative | Jan 2026 (1y) | ||
| Annika Maria Polanco | Registered representative | Jan 2026 (1y) | ||
| Aaron Dearl Dunda | Registered representative | Jan 2026 (1y) | ||
| Alec Cronin | Registered representative | Jan 2026 (1y) | ||
| Alex Christopher Watkins | Registered representative | Jan 2026 (1y) | ||
| Christoper George Cevasco | Registered representative | Jan 2026 (1y) | ||
| Codi Lee Pepera | Registered representative | Jan 2026 (1y) | ||
| David L Ballantyne | Registered representative | Jan 2026 (1y) | ||
| Dray L Henderson | Registered representative | Jan 2026 (1y) | ||
| Edwin Parra | Registered representative | Jan 2026 (1y) | ||
| Grant Masami Hashiba | Registered representative | CFP | Jan 2026 (1y) | |
| Jacqueline Lynn Keith | Registered representative | Jan 2026 (1y) | ||
| James Myron Myers | Registered representative | Jan 2026 (1y) | ||
| Joanna Ping Chan Mui | Registered representative | Jan 2026 (1y) | ||
| Kathryn Hodge | Registered representative | Jan 2026 (1y) | ||
| Lars Thure Anderson | Registered representative | Jan 2026 (1y) | ||
| Laura Flores | Registered representative | Jan 2026 (1y) | ||
| Lee Gonzalez | Registered representative | Jan 2026 (1y) | ||
| Mark John O'connell | Registered representative | Jan 2026 (1y) | ||
| Mark Philip Skibbie | Registered representative | Jan 2026 (1y) | ||
| Paul Jason Landry | Registered representative | Jan 2026 (1y) | ||
| Ryan Alec Beamon | Registered representative | Jan 2026 (1y) | ||
| Steven A Helling | Registered representative | Jan 2026 (1y) | ||
| Tyler Michael Kozelka | Registered representative | Jan 2026 (1y) | ||
| Todd D Brase | Registered representative | Jan 2026 (1y) | ||
| William Ryan Barbieri Reis | Registered representative | Jan 2026 (1y) | ||
| Abraham Guzman | Registered representative | Jan 2026 (1y) | ||
| Amara Elise Lumsey Camy | Registered representative | Jan 2026 (1y) | ||
| Bradley Slaughter | Registered representative | Jan 2026 (1y) | ||
| Christopher Michael Ganoe | Registered representative | Jan 2026 (1y) | ||
| Carolynn Bridget Bridges | Registered representative | CFP | Jan 2026 (1y) | |
| Chi Hye Quichocho Guerrero | Registered representative | CFP | Jan 2026 (1y) | |
| Ellen Theresa Leboeuf | Registered representative | Jan 2026 (1y) | ||
| Gary Michael Wright | Registered representative | Jan 2026 (1y) | ||
| Gabriel Patrick Swan | Registered representative | Jan 2026 (1y) | ||
| Jeffrey I Bedell | Registered representative | Jan 2026 (1y) | ||
| Jared Goodin | Registered representative | Jan 2026 (1y) | ||
| Jeffrey Lee Mayes | Registered representative | Jan 2026 (1y) | ||
| Michael Scott Martin | Registered representative | Jan 2026 (1y) | ||
| Michael Bins | Registered representative | CFP | Jan 2026 (1y) | |
| Michael Patrick Bale | Registered representative | Jan 2026 (1y) | ||
| Scott Andrew Phelps | Registered representative | Jan 2026 (1y) | ||
| William Anthony Rossitto | Registered representative | Jan 2026 (1y) | ||
| William Conway Frye | Registered representative | Jan 2026 (1y) | ||
| Anthony Rex Mason | Registered representative | Jan 2026 (1y) | ||
| Brett Allen Machtig | Registered representative | Jan 2026 (1y) | ||
| Branden J Collins | Registered representative | Jan 2026 (1y) | ||
| Cleveland Ashley | Registered representative | Jan 2026 (1y) | ||
| Darren Carter Kinsey | Registered representative | CFP | Jan 2026 (1y) | |
| David Collier Butz | Registered representative | Jan 2026 (1y) | ||
| Elijah Levi Sammons Sheffield | Registered representative | CFP | Jan 2026 (1y) | |
| Esteban Luis Flores | Registered representative | Jan 2026 (1y) | ||
| Erica Leigh Jennings | Registered representative | Jan 2026 (1y) | ||
| Joseph Alfeo Dombro | Registered representative | Jan 2026 (1y) | ||
| Jacquelyn Cook | Registered representative | Jan 2026 (1y) | ||
| John David Newton | Registered representative | Jan 2026 (1y) | ||
| Keith Thompson | Registered representative | Jan 2026 (1y) | ||
| Khiet D Vo | Registered representative | Jan 2026 (1y) | ||
| L Ray Burns | Registered representative | Jan 2026 (1y) | ||
| Lee Wesley Wadkins | Registered representative | Jan 2026 (1y) | ||
| Mark Alan Foreman | Registered representative | Jan 2026 (1y) | ||
| Marlene Ann Burns | Registered representative | Jan 2026 (1y) | ||
| Michael Joseph Ruggieri | Registered representative | Jan 2026 (1y) | ||
| Mark Tincher | Registered representative | Jan 2026 (1y) | ||
| Michael A Jungwirth | Registered representative | Jan 2026 (1y) | ||
| Nigelenn Estrella Holman | Registered representative | Jan 2026 (1y) | ||
| Owen William Galipeau | Registered representative | Jan 2026 (1y) | ||
| Ronald Paul Obernolte | Registered representative | Jan 2026 (1y) | ||
| Scott Joseph Lickteig | Registered representative | Jan 2026 (1y) | ||
| Steve Fang | Registered representative | Jan 2026 (1y) | ||
| Todd Mitchell Utecht | Registered representative | CFP CFA | Jan 2026 (1y) | |
| Tyler Mitchell Friesen | Registered representative | Jan 2026 (1y) | ||
| Annie Dolan Mclaughlin | Registered representative | Jan 2026 (1y) | ||
| Carissa Wallin Palm | Registered representative | Jan 2026 (1y) | ||
| Chad Micheal Babin | Registered representative | Jan 2026 (1y) | ||
| Craig Michael Matherne | Registered representative | Jan 2026 (1y) | ||
| Isabella Lauren Gingrich | Registered representative | Jan 2026 (1y) | ||
| James Robert Kline | Registered representative | Jan 2026 (1y) | ||
| John Charles Reynolds | Registered representative | Jan 2026 (1y) | ||
| Joshua Moses Hernandez | Registered representative | Jan 2026 (1y) | ||
| Louis Martin Wargo | Registered representative | Jan 2026 (1y) | ||
| Patrick Minskey | Registered representative | Jan 2026 (1y) | ||
| Thomas J Weber | Registered representative | Jan 2026 (1y) | ||
| Austin Gray | Registered representative | Jan 2026 (1y) | ||
| Christopher David Emery | Registered representative | Jan 2026 (1y) | ||
| Daniel Joseph Harvey | Registered representative | Jan 2026 (1y) | ||
| David Alexander Hager | Registered representative | Jan 2026 (1y) | ||
| Dane M Braunecker | Registered representative | Jan 2026 (1y) | ||
| Derrick Anthony Petry | Registered representative | CFA | Jan 2026 (1y) | |
| Duncan Mc Cormick Sullivan | Registered representative | CFP | Jan 2026 (1y) | |
| John Paul Conners | Registered representative | Jan 2026 (1y) | ||
| Laurence Donald Brown | Registered representative | Jan 2026 (1y) | ||
| Robert Ernest Howell | Registered representative | Jan 2026 (1y) | ||
| Arthur King Francis | Registered representative | Jan 2026 (1y) | ||
| Alton Noble Palmer | Registered representative | Jan 2026 (1y) | ||
| Brian Patrick Kent | Registered representative | Jan 2026 (1y) | ||
| Casey Reyna | Registered representative | Jan 2026 (1y) | ||
| Cliff Apostol Bacorro | Registered representative | Jan 2026 (1y) | ||
| Darrell Horace Strickland | Registered representative | Jan 2026 (1y) | ||
| Kenji Carroll | Registered representative | Jan 2026 (1y) | ||
| Matthew Connor Johnson | Registered representative | Jan 2026 (1y) | ||
| Shaun William Heimann | Registered representative | Jan 2026 (1y) | ||
| Steven Matthew Ellsworth | Registered representative | Jan 2026 (1y) | ||
| Bethany Rose Hennen | Registered representative | Jan 2026 (1y) | ||
| Brady William Mistler | Registered representative | Jan 2026 (1y) | ||
| Antoine R Harris | Registered representative | Jan 2026 (1y) | ||
| Breanne Romeo Bovara | Registered representative | Jan 2026 (1y) | ||
| Elizabeth Sawyer Estrade | Registered representative | Jan 2026 (1y) | ||
| Michael Anthony Petrosian | Registered representative | Jan 2026 (1y) | ||
| Michael Werner Keller | Registered representative | Jan 2026 (1y) | ||
| Mark Ryan Sieverkropp | Registered representative | Jan 2026 (1y) | ||
| Michael Ryan Busse | Registered representative | Jan 2026 (1y) | ||
| Pandelis Philip Chryssostomides | Registered representative | Jan 2026 (1y) | ||
| Pandelis Philip Chryssostomides | Registered representative | CFP Chartered Financial Consultant | Jan 2026 (1y) | |
| Raana Rae Ann Grant | Registered representative | Jan 2026 (1y) | ||
| Rachel Helen Chryssostomides | Registered representative | CFP | Jan 2026 (1y) | |
| Rebecca Jean Marshall | Registered representative | Jan 2026 (1y) | ||
| Robert Peyton Haley | Registered representative | Jan 2026 (1y) | ||
| Scott Joseph Ast | Registered representative | CFP | Jan 2026 (1y) | |
| Scott Ryan Jackson | Registered representative | CFP Chartered Financial Consultant | Jan 2026 (1y) | |
| Victor Allen Lancaster | Registered representative | Jan 2026 (1y) | ||
| Zachary Ryan Bailey | Registered representative | Jan 2026 (1y) | ||
| Adam J Morgan | Registered representative | CFA | Jan 2026 (1y) | |
| Andrew Lawrence Fritts | Registered representative | Jan 2026 (1y) | ||
| Abigail Louann Lindsay | Registered representative | Jan 2026 (1y) | ||
| Austin James Gilmore | Registered representative | Jan 2026 (1y) | ||
| Connor Alexander Fiorenzo | Registered representative | Jan 2026 (1y) | ||
| Charles Keegan Powers | Registered representative | Jan 2026 (1y) | ||
| David Scott Steinfeld | Registered representative | Jan 2026 (1y) | ||
| Emmanuel D Harris | Registered representative | Jan 2026 (1y) | ||
| Eric William Haines | Registered representative | CFP | Jan 2026 (1y) | |
| Griffin Fairchild | Registered representative | Jan 2026 (1y) | ||
| Kelly Michelle Baker | Registered representative | Jan 2026 (1y) | ||
| Samuel Francis Grant | Registered representative | Jan 2026 (1y) | ||
| Timothy James Giacoletti | Registered representative | Jan 2026 (1y) | ||
| Zachary F Volinsky | Registered representative | Jan 2026 (1y) | ||
| Anil Kumar Madhyanam | Registered representative | Jan 2026 (1y) | ||
| Catherine Mary Deutsch | Registered representative | Jan 2026 (1y) | ||
| Christopher Ginger | Registered representative | Jan 2026 (1y) | ||
| Debra Lou Stein | Registered representative | Jan 2026 (1y) | ||
| Dimitri Stanley | Registered representative | Jan 2026 (1y) | ||
| Douglas Frank | Registered representative | Jan 2026 (1y) | ||
| Franklin Neil Boley | Registered representative | CFP CFA | Jan 2026 (1y) | |
| Grant Mitchell Cholley | Registered representative | Jan 2026 (1y) | ||
| Howard M Skillrud | Registered representative | Jan 2026 (1y) | ||
| Hunter Wells Robertson | Registered representative | CFP | Jan 2026 (1y) | |
| Jared Christopher Russ | Registered representative | CFP | Jan 2026 (1y) | |
| Joshua David Sowards | Registered representative | Jan 2026 (1y) | ||
| Jagger Reid Newton | Registered representative | Jan 2026 (1y) | ||
| John Thomas Miller | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| Olivia Danielle Koltiska | Registered representative | Jan 2026 (1y) | ||
| Richard Edward Ackerman | Registered representative | Jan 2026 (1y) | ||
| Robert John Sawyer | Registered representative | Jan 2026 (1y) | ||
| Ryan Edward Starling | Registered representative | CFP | Jan 2026 (1y) | |
| Suzie P Sawyer | Registered representative | Jan 2026 (1y) | ||
| Susan S. Garber Johnson | Registered representative | Jan 2026 (1y) | ||
| Brittinie Saylor | Registered representative | Jan 2026 (1y) | ||
| Curt Anthony Pederson | Registered representative | Jan 2026 (1y) | ||
| Elizabeth Dye | Registered representative | Jan 2026 (1y) | ||
| Thomas Clark Frame | Registered representative | Jan 2026 (1y) | ||
| Esai O'mea Easley | Registered representative | Jan 2026 (1y) | ||
| Kristopher Angelo Klontzaris | Registered representative | Jan 2026 (1y) | ||
| Leticia Miranda Mendoza | Registered representative | Jan 2026 (1y) | ||
| Matthew James Holbrook | Registered representative | Jan 2026 (1y) | ||
| Matthew Sugg | Registered representative | Jan 2026 (1y) | ||
| Samuel Emmett Newton | Registered representative | Jan 2026 (1y) | ||
| Steven D Privette | Registered representative | CFP | Jan 2026 (1y) | |
| Terry Lavon Geter | Registered representative | Jan 2026 (1y) | ||
| Alan L Robinson | Registered representative | Jan 2026 (1y) | ||
| Stephen Michael Hackman | Registered representative | Jan 2026 (1y) | ||
| Brian Cobian | Registered representative | Jan 2026 (1y) | ||
| Blake Danna | Registered representative | Jan 2026 (1y) | ||
| Brandon Giorgetta | Registered representative | Jan 2026 (1y) | ||
| David A. Adams | Registered representative | Jan 2026 (1y) | ||
| Hana B Cuartelon | Registered representative | Jan 2026 (1y) | ||
| Janet Ann Waller | Registered representative | Jan 2026 (1y) | ||
| Jason Mochi | Registered representative | Jan 2026 (1y) | ||
| Jacob River Conley | Registered representative | CFP | Jan 2026 (1y) | |
| John R G B Crawford | Registered representative | Jan 2026 (1y) | ||
| Michael Jon Lewis | Registered representative | Jan 2026 (1y) | ||
| Nathan Daniel Tournahu | Registered representative | Jan 2026 (1y) | ||
| Rosemarie May | Registered representative | Jan 2026 (1y) | ||
| Robert Kevan Seibert | Registered representative | Jan 2026 (1y) | ||
| Thomas J Joseph Madigan | Registered representative | Jan 2026 (1y) | ||
| Troy Prober | Registered representative | Jan 2026 (1y) | ||
| Adeline Jasmine Bellot | Registered representative | Jan 2026 (1y) | ||
| An Thu Le | Registered representative | Jan 2026 (1y) | ||
| Brady Joseph Doe | Registered representative | Jan 2026 (1y) | ||
| Bruce Robert Parmenter | Registered representative | Jan 2026 (1y) | ||
| Charles Joseph Brown | Registered representative | Jan 2026 (1y) | ||
| Divyesh Sharma | Registered representative | Jan 2026 (1y) | ||
| Heidi Ericksen Knight | Registered representative | CFP | Jan 2026 (1y) | |
| John N Joseph | Registered representative | Jan 2026 (1y) | ||
| Lindsey Christine Cameron | Registered representative | Jan 2026 (1y) | ||
| Letitia Wall | Registered representative | Jan 2026 (1y) | ||
| Michael Jay Dworetsky | Registered representative | Jan 2026 (1y) | ||
| Max Paul Murphy | Registered representative | Jan 2026 (1y) | ||
| Nicole E Bondellio | Registered representative | Jan 2026 (1y) | ||
| Peter Thomas Mooney | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| Stephen Michel Horvath | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| Wyatt Evan Lewis | Registered representative | Jan 2026 (1y) | ||
| Alexander Jeffrey Worhacz | Registered representative | Jan 2026 (1y) | ||
| Andrew Duhovic | Registered representative | Jan 2026 (1y) | ||
| Cassandra Leigh Weigel | Registered representative | Jan 2026 (1y) | ||
| Colin Daniel Hindman | Registered representative | Jan 2026 (1y) | ||
| Gavin Jase Anthony Baker | Registered representative | Jan 2026 (1y) | ||
| Jonathan Lee Whitver | Registered representative | Jan 2026 (1y) | ||
| Landen Dean Mays | Registered representative | Jan 2026 (1y) | ||
| Matt Allen Rizor | Registered representative | Jan 2026 (1y) | ||
| Nathaniel John Zawadzki | Registered representative | Jan 2026 (1y) | ||
| Peter Fitch Keating | Registered representative | Jan 2026 (1y) | ||
| Timothy P Stamps | Registered representative | Jan 2026 (1y) | ||
| Andrew M Walts | Registered representative | Jan 2026 (1y) | ||
| James E Casey | Registered representative | Jan 2026 (1y) | ||
| John Jaime Valencia | Registered representative | Jan 2026 (1y) | ||
| Joseph Lawrence Bowen | Registered representative | Jan 2026 (1y) | ||
| Joseph William Parker | Registered representative | Jan 2026 (1y) | ||
| Mario Landa | Registered representative | Jan 2026 (1y) | ||
| Roberto Villalpando | Registered representative | Jan 2026 (1y) | ||
| Scott Windsor | Registered representative | CFP | Jan 2026 (1y) | |
| Sara Jaurequi | Registered representative | Jan 2026 (1y) | ||
| William Stanley Campbell | Registered representative | CFP | Jan 2026 (1y) | |
| Kathryn Marie Carter | Registered representative | CFP | Jan 2026 (1y) | |
| Andrew Jay Greene | Registered representative | Jan 2026 (1y) | ||
| Andrew Michael Goodrich | Registered representative | Jan 2026 (1y) | ||
| Austin R Taylor | Registered representative | Jan 2026 (1y) | ||
| Brock Romero Scigliano | Registered representative | Jan 2026 (1y) | ||
| Bruce Alan Mazo | Registered representative | Jan 2026 (1y) | ||
| Bao Pham | Registered representative | Jan 2026 (1y) | ||
| Blake Stahl | Registered representative | Jan 2026 (1y) | ||
| Coltyn Michael Sanderson | Registered representative | Jan 2026 (1y) | ||
| Enrique Riveros Valle | Registered representative | Jan 2026 (1y) | ||
| Jesse Lee Hilyard | Registered representative | Jan 2026 (1y) | ||
| John Lee Barker | Registered representative | Jan 2026 (1y) | ||
| Jordan Darnell Ellerbe | Registered representative | Jan 2026 (1y) | ||
| Jordan William Pence | Registered representative | Jan 2026 (1y) | ||
| Joseph Morgan Donaldson | Registered representative | Jan 2026 (1y) | ||
| Kyle Gene Horsley | Registered representative | CFP | Jan 2026 (1y) | |
| Morgan Drew Atkinson | Registered representative | Jan 2026 (1y) | ||
| Nicholas Govola | Registered representative | CFP | Jan 2026 (1y) | |
| Roberto De Leon Gonzalez | Registered representative | Jan 2026 (1y) | ||
| Tyler M Miller | Registered representative | Jan 2026 (1y) | ||
| Timothy James Rodney | Registered representative | Jan 2026 (1y) | ||
| Anil Gurmukh Ratnani | Registered representative | Jan 2026 (1y) | ||
| Alex Caratelli | Registered representative | CFP | Jan 2026 (1y) | |
| Danial Matthew Khan | Registered representative | Jan 2026 (1y) | ||
| Daniel Paul Biviano | Registered representative | Jan 2026 (1y) | ||
| Daniel Scott Karlsberg | Registered representative | Jan 2026 (1y) | ||
| John Michael Skelton | Registered representative | Jan 2026 (1y) | ||
| Joshua James Mcanally | Registered representative | Jan 2026 (1y) | ||
| Jonathan Randall Vernacchio | Registered representative | Jan 2026 (1y) | ||
| Mark Stephens Blakeney | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| Michael Frank Bellapianta | Registered representative | Jan 2026 (1y) | ||
| Rebecca Ruth Greenwood | Registered representative | Jan 2026 (1y) | ||
| Richard Joseph Dowdle | Registered representative | Jan 2026 (1y) | ||
| Ryan D Taylor | Registered representative | Jan 2026 (1y) | ||
| Samuel Phillip Vogelbacher | Registered representative | Jan 2026 (1y) | ||
| Stephanie Moreno Hernandez | Registered representative | Jan 2026 (1y) | ||
| Taylor Paul Collins | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| Brian Davis | Registered representative | Jan 2026 (1y) | ||
| Emerald Jimenez | Registered representative | Jan 2026 (1y) | ||
| Grant Gohmann | Registered representative | Jan 2026 (1y) | ||
| Jake Spano | Registered representative | Jan 2026 (1y) | ||
| Terance Takyi | Registered representative | Jan 2026 (1y) | ||
| Andrew Wellington Walseman | Registered representative | Jan 2026 (1y) | ||
| David Scott Hermann | Registered representative | Jan 2026 (1y) | ||
| Evan Cole Cantalupo | Registered representative | Jan 2026 (1y) | ||
| Fawn Fang Yang | Registered representative | Jan 2026 (1y) | ||
| Halina Yevtukh | Registered representative | Jan 2026 (1y) | ||
| Isaac Thomas Yates | Registered representative | Jan 2026 (1y) | ||
| Jennifer Lee Lingad | Registered representative | Jan 2026 (1y) | ||
| Jim Cooper | Registered representative | Jan 2026 (1y) | ||
| Leigh Anne Szeman | Registered representative | Jan 2026 (1y) | ||
| Melissa Marie Mooneydomingue | Registered representative | Jan 2026 (1y) | ||
| Warren Christian Williams | Registered representative | Jan 2026 (1y) | ||
| Adam John Lymath | Registered representative | Jan 2026 (1y) | ||
| Brian Joseph Casey | Registered representative | Jan 2026 (1y) | ||
| Benjamin James Sowards | Registered representative | Jan 2026 (1y) | ||
| Dekker Jag Stebel | Registered representative | Jan 2026 (1y) | ||
| Isabella Kathryn Clark | Registered representative | Jan 2026 (1y) | ||
| John P. Briley | Registered representative | Jan 2026 (1y) | ||
| James Hayden Fleming | Registered representative | Jan 2026 (1y) | ||
| Katelyn Marie Matsuda | Registered representative | Jan 2026 (1y) | ||
| Ryan Jude Raynis | Registered representative | Jan 2026 (1y) | ||
| Tracy Neal Adams | Registered representative | Jan 2026 (1y) | ||
| Alexander Turner Thomas Iv | Registered representative | Feb 2026 (0y) | ||
| Brett Thompson Weldon | Registered representative | Feb 2026 (0y) | ||
| Catherine Cagle Harris | Registered representative | Feb 2026 (0y) | ||
| David Allen Smith | Registered representative | Feb 2026 (0y) | ||
| Gregory Neil Mayes | Registered representative | Feb 2026 (0y) | ||
| Jacob Lee Hartke | Registered representative | Feb 2026 (0y) | ||
| Jacob Scott Anderson | Registered representative | Feb 2026 (0y) | ||
| Jewels Agustin Oliquiano | Registered representative | CFP | Feb 2026 (0y) | |
| Michael Francis Gacek | Registered representative | Feb 2026 (0y) | ||
| Nicholas Ignatzio Quartarano | Registered representative | CFP | Feb 2026 (0y) | |
| Nolan Christopher Glenn | Registered representative | Feb 2026 (0y) | ||
| Robert Jon Fiondella | Registered representative | Feb 2026 (0y) | ||
| Robert Jon Fiondella | Registered representative | Feb 2026 (0y) | ||
| Ryan J Montanari | Registered representative | Feb 2026 (0y) | ||
| Sarah Owens Denley | Registered representative | Feb 2026 (0y) | ||
| Sean R Lavelle | Registered representative | Feb 2026 (0y) | ||
| Stephen Carl Peterson | Registered representative | Feb 2026 (0y) | ||
| Thomas Martin Romanac | Registered representative | Feb 2026 (0y) | ||
| Valerie Jeanne Smits | Registered representative | Feb 2026 (0y) | ||
| Yves Beltran Antonio | Registered representative | Feb 2026 (0y) | ||
| Anthony Allen Mogle | Registered representative | Feb 2026 (0y) | ||
| Bradley Alan Forrider | Registered representative | Feb 2026 (0y) | ||
| Brooke N Zasadny | Registered representative | Feb 2026 (0y) | ||
| Christopher Russell Svacina | Registered representative | Feb 2026 (0y) | ||
| Codie Tiffin | Registered representative | Feb 2026 (0y) | ||
| Dale Lawrence Cebert | Registered representative | Feb 2026 (0y) | ||
| Darla Errin Miller | Registered representative | Feb 2026 (0y) | ||
| Deanna M Dahl | Registered representative | Feb 2026 (0y) | ||
| Denton Whitney | Registered representative | Feb 2026 (0y) | ||
| Erik Scott Herron | Registered representative | Feb 2026 (0y) | ||
| Eli Louis Lassiter | Registered representative | Feb 2026 (0y) | ||
| Georgiy Krasnopolskiy | Registered representative | Feb 2026 (0y) | ||
| Jason S Dillenbeck | Registered representative | Feb 2026 (0y) | ||
| Jacob David Dziubek | Registered representative | Feb 2026 (0y) | ||
| Joseph K Patterson | Registered representative | Feb 2026 (0y) | ||
| Kevin Michael Nemoir | Registered representative | CFP | Feb 2026 (0y) | |
| Kevin Matthew Smith | Registered representative | Feb 2026 (0y) | ||
| Mark Lee Dickerson | Registered representative | CFP | Feb 2026 (0y) | |
| Nicholas John Bloomhuff | Registered representative | Feb 2026 (0y) | ||
| Paula C Ferreira Soares | Registered representative | CFP | Feb 2026 (0y) | |
| Scott A Dziubek | Registered representative | CFP | Feb 2026 (0y) | |
| Alton Tran Nguyen | Registered representative | Feb 2026 (0y) | ||
| Barry Robert Cynowiec | Registered representative | CFP | Feb 2026 (0y) | |
| Delio Arturo Jaramillo | Registered representative | Feb 2026 (0y) | ||
| David Markham De Santis | Registered representative | Feb 2026 (0y) | ||
| James Lawrence Jack | Registered representative | Feb 2026 (0y) | ||
| Johnston Stamford Kelso | Registered representative | Feb 2026 (0y) | ||
| Kevin Dale Engebretson | Registered representative | Feb 2026 (0y) | ||
| Paul Nowak | Registered representative | Feb 2026 (0y) | ||
| Vincent Joseph Sbano | Registered representative | Feb 2026 (0y) | ||
| Derek Edward Blair | Registered representative | Feb 2026 (0y) | ||
| Jimmy Sherrod Holland | Registered representative | Feb 2026 (0y) | ||
| Kelly A Lawrence | Registered representative | Feb 2026 (0y) | ||
| Ricky Anthony Boone | Registered representative | Feb 2026 (0y) | ||
| Travis Monroe Sheldon | Registered representative | CFP Chartered Financial Consultant | Feb 2026 (0y) | |
| Bradley Palmer | Registered representative | Feb 2026 (0y) | ||
| Callie M Just | Registered representative | Feb 2026 (0y) | ||
| Elizabeth Anne Kilmer | Registered representative | Feb 2026 (0y) | ||
| Grace C Jaehnen | Registered representative | CFP | Feb 2026 (0y) | |
| Justin Michael Wainwright | Registered representative | Feb 2026 (0y) | ||
| Jelecia Beverley | Registered representative | Feb 2026 (0y) | ||
| Kirk Mitchell Balin | Registered representative | Chartered Financial Consultant | Feb 2026 (0y) | |
| Lauren Ann Ricca | Registered representative | CFP | Feb 2026 (0y) | |
| Andre Mangano | Registered representative | Feb 2026 (0y) | ||
| Cole Edward Teague | Registered representative | Feb 2026 (0y) | ||
| Eric Reinhardt | Registered representative | Feb 2026 (0y) | ||
| Judy Margaret Rubin | Registered representative | Feb 2026 (0y) | ||
| Jack Anthony Cowette | Registered representative | Feb 2026 (0y) | ||
| Jacob Uhlenhopp | Registered representative | Feb 2026 (0y) | ||
| Kim Erik Qvistorff | Registered representative | CFP | Feb 2026 (0y) | |
| Marguerite Jordan Berizzi | Registered representative | Feb 2026 (0y) | ||
| Phoebe Christine Glemba | Registered representative | Feb 2026 (0y) | ||
| Terrington Myles | Registered representative | Feb 2026 (0y) | ||
| Anthony Unger | Registered representative | Feb 2026 (0y) | ||
| Christopher J Kemp | Registered representative | Feb 2026 (0y) | ||
| David Clay Rouse | Registered representative | CFP | Feb 2026 (0y) | |
| David Joel Stearns | Registered representative | Feb 2026 (0y) | ||
| David Dziubek | Registered representative | Feb 2026 (0y) | ||
| Ronald Gahleong Kam | Registered representative | Chartered Financial Consultant | Feb 2026 (0y) | |
| Ryan P Plentzas | Registered representative | Feb 2026 (0y) | ||
| Reynaldo Arceno | Registered representative | Feb 2026 (0y) | ||
| Chloe Benzin | Registered representative | Feb 2026 (0y) | ||
| Cecily Berry | Registered representative | Feb 2026 (0y) | ||
| Daniel Paschasius Van Meter | Registered representative | Feb 2026 (0y) | ||
| Patrick David Meister | Registered representative | Feb 2026 (0y) | ||
| Sabrina Carlson | Registered representative | CFP | Feb 2026 (0y) | |
| Benjamin Bernard Haase | Registered representative | Feb 2026 (0y) | ||
| Cedric Bertrell Edwards | Registered representative | Feb 2026 (0y) | ||
| Jack Pappas | Registered representative | Feb 2026 (0y) | ||
| Kenneth Scott Dyer | Registered representative | Feb 2026 (0y) | ||
| Kassandra Lynn Tetley | Registered representative | Feb 2026 (0y) | ||
| Margaret Guzman | Registered representative | Feb 2026 (0y) | ||
| Marites De Leon Velena | Registered representative | Feb 2026 (0y) | ||
| Nikolas Allen Lundgren | Registered representative | Feb 2026 (0y) | ||
| Chad M Mueller | Registered representative | Feb 2026 (0y) | ||
| Cortnie Brooke Beaver | Registered representative | CFP | Feb 2026 (0y) | |
| Ethan Garrety | Registered representative | Feb 2026 (0y) | ||
| Kenley Varghese George | Registered representative | Feb 2026 (0y) | ||
| Matthew Aaron Krier | Registered representative | Feb 2026 (0y) | ||
| Natasha Nasha Allen | Registered representative | Feb 2026 (0y) | ||
| Scott Jay Sumner | Registered representative | Feb 2026 (0y) | ||
| Steven Daniel Hough | Registered representative | Feb 2026 (0y) | ||
| Edward Lewis Bennett | Registered representative | Feb 2026 (0y) | ||
| Matthew Abold | Registered representative | Feb 2026 (0y) | ||
| Amanda Ann Giesen | Registered representative | Feb 2026 (0y) | ||
| Alexander Gates Johnson | Registered representative | Feb 2026 (0y) | ||
| Dana Brayshaw | Registered representative | Feb 2026 (0y) | ||
| David Peay | Registered representative | Feb 2026 (0y) | ||
| Jay Maurice Hinkel | Registered representative | Feb 2026 (0y) | ||
| Kimberly Nicole Romo | Registered representative | Feb 2026 (0y) | ||
| Laura Rodriguez | Registered representative | Feb 2026 (0y) | ||
| Matthew Cotton | Registered representative | CFP | Feb 2026 (0y) | |
| Marc Gomberg | Registered representative | Feb 2026 (0y) | ||
| Matthew Gregory Falcon | Registered representative | Feb 2026 (0y) | ||
| Melanie Shober Stone | Registered representative | Feb 2026 (0y) | ||
| Susan Morton | Registered representative | Feb 2026 (0y) | ||
| Trenton Hinely | Registered representative | Feb 2026 (0y) | ||
| Zachary Allen Ross | Registered representative | CFP | Feb 2026 (0y) | |
| Alexa Nicole Reiniger | Registered representative | Feb 2026 (0y) | ||
| Bryan Edward Beatty | Registered representative | CFP | Feb 2026 (0y) | |
| Eric Wayne Moore | Registered representative | Feb 2026 (0y) | ||
| Glenn Howard Ankenbrand | Registered representative | Feb 2026 (0y) | ||
| Joseph Scott Jones | Registered representative | Feb 2026 (0y) | ||
| Jay Koski | Registered representative | Feb 2026 (0y) | ||
| Owen Arn | Registered representative | Feb 2026 (0y) | ||
| Rodney Russell Kee | Registered representative | Feb 2026 (0y) | ||
| Stephen D Austin | Registered representative | Feb 2026 (0y) | ||
| William George Egan | Registered representative | Feb 2026 (0y) | ||
| Audrey Mickiewicz Jones | Registered representative | Feb 2026 (0y) | ||
| Christopher Pacheco | Registered representative | Feb 2026 (0y) | ||
| Danial Luis Lopez | Registered representative | Feb 2026 (0y) | ||
| Emanuel David Perez | Registered representative | Feb 2026 (0y) | ||
| Ethan Vincent Gilbert | Registered representative | CFP | Feb 2026 (0y) | |
| Giang Thanh Tran | Registered representative | Feb 2026 (0y) | ||
| Garrison Crown | Registered representative | Feb 2026 (0y) | ||
| Jonathan Lien | Registered representative | CFP | Feb 2026 (0y) | |
| Mandy Colleen Savage | Registered representative | Feb 2026 (0y) | ||
| Maylene Dawn Poulsen | Registered representative | Feb 2026 (0y) | ||
| Natalia Alishia Naylor | Registered representative | CFP | Feb 2026 (0y) | |
| Sarah Lynn Noble | Registered representative | Feb 2026 (0y) | ||
| Sydney Johnson | Registered representative | Feb 2026 (0y) | ||
| Brent Voeller | Registered representative | CFP | Feb 2026 (0y) | |
| Chantel Williams | Registered representative | CFP | Feb 2026 (0y) | |
| Chaston Reed Horelka | Registered representative | Feb 2026 (0y) | ||
| Colton Alexander Florio Dahlenburg | Registered representative | Feb 2026 (0y) | ||
| Corey Boerner | Registered representative | Feb 2026 (0y) | ||
| Davis Edward Parrish | Registered representative | Feb 2026 (0y) | ||
| Kyle William Rhoades | Registered representative | Feb 2026 (0y) | ||
| Maurice Jean Stouse | Registered representative | Feb 2026 (0y) | ||
| Morgan Allen | Registered representative | Feb 2026 (0y) | ||
| Natasha Lynn Thomas | Registered representative | Feb 2026 (0y) | ||
| Qaadir T Williams | Registered representative | Feb 2026 (0y) | ||
| Ryan Crane | Registered representative | Feb 2026 (0y) | ||
| Stosh E Beeler | Registered representative | Feb 2026 (0y) | ||
| Zach J Bolden | Registered representative | Feb 2026 (0y) | ||
| Ann Baker Ronn | Registered representative | Chartered Financial Consultant | Feb 2026 (0y) | |
| Amy Smith Parrish | Registered representative | Feb 2026 (0y) | ||
| Matthew Chase Needham | Registered representative | Feb 2026 (0y) | ||
| Thomas Lorenzo Bausley | Registered representative | Feb 2026 (0y) | ||
| Christian Robert Tompkins | Registered representative | Feb 2026 (0y) | ||
| Joshua Paul Caro | Registered representative | Feb 2026 (0y) | ||
| Marcello J Sobrinho | Registered representative | Feb 2026 (0y) | ||
| Rachel Leigh Arata | Registered representative | Feb 2026 (0y) | ||
| Robert Brian Watson | Registered representative | CFP | Feb 2026 (0y) | |
| Roy David Gawlick | Registered representative | CFP | Feb 2026 (0y) | |
| Steven Robert Thomas Jones | Registered representative | Feb 2026 (0y) | ||
| Brian Scott Allred | Registered representative | Feb 2026 (0y) | ||
| Craig James Freund | Registered representative | Feb 2026 (0y) | ||
| Lukas Arnold Bergstrom | Registered representative | Feb 2026 (0y) | ||
| Lorraine Ann Myers | Registered representative | Feb 2026 (0y) | ||
| Martin Alexander Smith | Registered representative | Feb 2026 (0y) | ||
| Melissa Nicole Robles | Registered representative | Feb 2026 (0y) | ||
| Ryan Maurice Ferriter | Registered representative | Feb 2026 (0y) | ||
| Charles Leon Fuller | Registered representative | Feb 2026 (0y) | ||
| Daniel W Goggins | Registered representative | Feb 2026 (0y) | ||
| Jason Devere Bays | Registered representative | CFP | Feb 2026 (0y) | |
| Joel E Salazar | Registered representative | Feb 2026 (0y) | ||
| James Bradley Watt | Registered representative | Feb 2026 (0y) | ||
| Joseph Anthony Talty | Registered representative | Feb 2026 (0y) | ||
| Paul Ognenovski | Registered representative | Feb 2026 (0y) | ||
| Ronald Dean Dawson | Registered representative | Chartered Financial Consultant | Feb 2026 (0y) | |
| Brayden Kurtz | Registered representative | Feb 2026 (0y) | ||
| Danny Thomas | Registered representative | Feb 2026 (0y) | ||
| Jason Bradley Johnson | Registered representative | Feb 2026 (0y) | ||
| Jack Thomas Metz | Registered representative | Feb 2026 (0y) | ||
| Jordan Richard Smith | Registered representative | Feb 2026 (0y) | ||
| Matthew Fliss | Registered representative | CFP | Feb 2026 (0y) | |
| Hannah Bruskin | Registered representative | Feb 2026 (0y) | ||
| Joseph Patrick Flynn | Registered representative | Feb 2026 (0y) | ||
| Riley Joel Davis | Registered representative | Feb 2026 (0y) | ||
| Ronald Mark Chakler | Registered representative | Feb 2026 (0y) | ||
| Scott Edward Halliwell | Registered representative | Chartered Financial Consultant | Feb 2026 (0y) | |
| Spencer Lam | Registered representative | Feb 2026 (0y) | ||
| Garrett Andrew Pany | Registered representative | Feb 2026 (0y) | ||
| Benjamin Erramouspe Mossman | Registered representative | Mar 2026 (0y) | ||
| Blake Ryan Stawarz | Registered representative | Mar 2026 (0y) | ||
| Derek Ryan Lussier | Registered representative | CFP | Mar 2026 (0y) | |
| Grant Andrew Fossum | Registered representative | Mar 2026 (0y) | ||
| James Alfred Sommerfield | Registered representative | Mar 2026 (0y) | ||
| James J Anderson | Registered representative | Mar 2026 (0y) | ||
| John Michael Comer | Registered representative | CFP | Mar 2026 (0y) | |
| Katheryn Elizabeth Powell Larson | Registered representative | Mar 2026 (0y) | ||
| Kyle A Moffitt | Registered representative | Mar 2026 (0y) | ||
| Michael James Kelly | Registered representative | CFP CFA | Mar 2026 (0y) | |
| Mitchell Kyser | Registered representative | Mar 2026 (0y) | ||
| Trenton James Fletcher | Registered representative | Mar 2026 (0y) | ||
| William Bramlet | Registered representative | Mar 2026 (0y) | ||
| Blake Daniel Willis | Registered representative | Mar 2026 (0y) | ||
| Emily Sui Ling Medrek | Registered representative | Mar 2026 (0y) | ||
| Jessica Rivera | Registered representative | Mar 2026 (0y) | ||
| Kenneth Rode | Registered representative | Mar 2026 (0y) | ||
| Lucas Cole Walker | Registered representative | Mar 2026 (0y) | ||
| Samuel B Girouard | Registered representative | Mar 2026 (0y) | ||
| Ujala Tajammal | Registered representative | Mar 2026 (0y) | ||
| Andre Duplessis | Registered representative | Mar 2026 (0y) | ||
| Austin Matthew Mall | Registered representative | CFP | Mar 2026 (0y) | |
| Clark Cannon Pingree | Registered representative | Mar 2026 (0y) | ||
| Douglas Morgan Rathbun | Registered representative | Mar 2026 (0y) | ||
| George Conley Thornhill | Registered representative | CFP | Mar 2026 (0y) | |
| Jonathan Jed Meyers | Registered representative | Mar 2026 (0y) | ||
| Kane Karl Brolin | Registered representative | CFP | Mar 2026 (0y) | |
| Kelly Kitchens Castle | Registered representative | Mar 2026 (0y) | ||
| Lesley Nicole Rathbun | Registered representative | Mar 2026 (0y) | ||
| Madhusudan Nambrath Nair | Registered representative | Mar 2026 (0y) | ||
| Paul Nadeau | Registered representative | Mar 2026 (0y) | ||
| Stewart Mcfarland Dove | Registered representative | Mar 2026 (0y) | ||
| Sydney Bornstein | Registered representative | Mar 2026 (0y) | ||
| Amanda Marie Salcedo | Registered representative | Mar 2026 (0y) | ||
| Abraham Tawil | Registered representative | Mar 2026 (0y) | ||
| Henry Chau | Registered representative | Mar 2026 (0y) | ||
| Jeffrey Lee Blum | Registered representative | Mar 2026 (0y) | ||
| Joseph William Kolad | Registered representative | Mar 2026 (0y) | ||
| Robert Clifton Fell | Registered representative | Mar 2026 (0y) | ||
| William Frederick Martin | Registered representative | CFP | Mar 2026 (0y) | |
| Alejandro Jose Herrera | Registered representative | Mar 2026 (0y) | ||
| Cadry Raine Gibbs | Registered representative | Mar 2026 (0y) | ||
| Mark Cronin Ettinger | Registered representative | Mar 2026 (0y) | ||
| Matthew Eugene Tomich | Registered representative | Mar 2026 (0y) | ||
| Jay Stanley Mathis | Registered representative | Mar 2026 (0y) | ||
| Justin Marcos Cappadona | Registered representative | Mar 2026 (0y) | ||
| Andrew B Chou | Registered representative | CFP | Mar 2026 (0y) | |
| Brandon T Preece | Registered representative | Mar 2026 (0y) | ||
| Benjamin Allan Salaba | Registered representative | Mar 2026 (0y) | ||
| Douglas Anthony Potash | Registered representative | Mar 2026 (0y) | ||
| Erin Gay Willis | Registered representative | Mar 2026 (0y) | ||
| Frank Louis Francis | Registered representative | Mar 2026 (0y) | ||
| Jared Gerger | Registered representative | Mar 2026 (0y) | ||
| Kacy Lyn Allen | Registered representative | Mar 2026 (0y) | ||
| Luke E Krmpotich | Registered representative | Mar 2026 (0y) | ||
| Lauren A Duffy | Registered representative | Mar 2026 (0y) | ||
| Michelle Elizabeth Fenton | Registered representative | Mar 2026 (0y) | ||
| Mitchell Erway Eady | Registered representative | Mar 2026 (0y) | ||
| Monica L Harsha | Registered representative | Mar 2026 (0y) | ||
| Robert Steven Fenton | Registered representative | CFP | Mar 2026 (0y) | |
| Robert Alan Pope | Registered representative | Mar 2026 (0y) | ||
| Sheree Dorothy Reeling | Registered representative | Mar 2026 (0y) | ||
| Teresa Marie Toyama | Registered representative | Mar 2026 (0y) | ||
| William Zimdar | Registered representative | Mar 2026 (0y) | ||
| Yusef Lovette | Registered representative | Mar 2026 (0y) | ||
| Anthony Edward Buford | Registered representative | Mar 2026 (0y) | ||
| Benjamin Jeschke Gilmore | Registered representative | Mar 2026 (0y) | ||
| Bridget Lee Houser | Registered representative | Mar 2026 (0y) | ||
| Chad Lee Hartman | Registered representative | Mar 2026 (0y) | ||
| Cavan M Metzler | Registered representative | CFP | Mar 2026 (0y) | |
| Dionne Michelle Terzoli | Registered representative | Mar 2026 (0y) | ||
| Hayden G Hass | Registered representative | Mar 2026 (0y) | ||
| Jack Kenneth Caudle | Registered representative | Mar 2026 (0y) | ||
| John Mack | Registered representative | Mar 2026 (0y) | ||
| Ramiro Martinez | Registered representative | Mar 2026 (0y) | ||
| Reese Elliott Curtis | Registered representative | Mar 2026 (0y) | ||
| Todd Kenneth Caudle | Registered representative | Mar 2026 (0y) | ||
| Andrea M Sig | Registered representative | Mar 2026 (0y) | ||
| Austin Hall | Registered representative | Mar 2026 (0y) | ||
| Allen Chen | Registered representative | Mar 2026 (0y) | ||
| Bobi Celeski | Registered representative | Mar 2026 (0y) | ||
| Benjamin James Kaul | Registered representative | Mar 2026 (0y) | ||
| Brandon Hugh Bennett | Registered representative | Mar 2026 (0y) | ||
| Bryan W Mc Inerney | Registered representative | Mar 2026 (0y) | ||
| Earl Randall Banks | Registered representative | Mar 2026 (0y) | ||
| Erly Cornejo | Registered representative | CFP Chartered Financial Consultant | Mar 2026 (0y) | |
| Gabriel Martinez | Registered representative | Mar 2026 (0y) | ||
| Heather Ann Walter | Registered representative | Mar 2026 (0y) | ||
| Kevin Robert Frank | Registered representative | Mar 2026 (0y) | ||
| Kiairra C Dixon | Registered representative | Mar 2026 (0y) | ||
| Lucas Dimitri Andraos | Registered representative | Mar 2026 (0y) | ||
| Michael Robert Illenberger | Registered representative | Mar 2026 (0y) | ||
| Tiffany Fath | Registered representative | Mar 2026 (0y) | ||
| William Ospina Torres | Registered representative | Mar 2026 (0y) | ||
| Andrew John Falce | Registered representative | Mar 2026 (0y) | ||
| Matthew Dean Waldron | Registered representative | Mar 2026 (0y) | ||
| Michael James Reinsch | Registered representative | Mar 2026 (0y) | ||
| Michael Keith Napier | Registered representative | Mar 2026 (0y) | ||
| Nicholas N Dunham | Registered representative | Personal Financial Specialist | Mar 2026 (0y) | |
| Rushang Desai | Registered representative | CFA | Mar 2026 (0y) | |
| Spencer M Rogers | Registered representative | Mar 2026 (0y) | ||
| Christopher Michael Schank | Registered representative | Mar 2026 (0y) | ||
| Colby Shinholser | Registered representative | Mar 2026 (0y) | ||
| Daniel Lee Chory | Registered representative | CFP | Mar 2026 (0y) | |
| Preston David Watts | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Sava Dukic | Registered representative | Mar 2026 (0y) | ||
| Shea Cornelison Meehan | Registered representative | Mar 2026 (0y) | ||
| Cayman Michael Menard | Registered representative | Mar 2026 (0y) | ||
| Giovanni Stefano Blanchette | Registered representative | Mar 2026 (0y) | ||
| Kade Michael Bacon | Registered representative | Mar 2026 (0y) | ||
| Blake Anthony Maly | Registered representative | Mar 2026 (0y) | ||
| Daniel Edward Ruble | Registered representative | Mar 2026 (0y) | ||
| Gary Michael Cowles | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Gregory Thomas Soto | Registered representative | Mar 2026 (0y) | ||
| James Joseph Tapia | Registered representative | Mar 2026 (0y) | ||
| Matthew Ryan Watson | Registered representative | Mar 2026 (0y) | ||
| Magda Skowron | Registered representative | Mar 2026 (0y) | ||
| Mark P Maloney | Registered representative | CFP | Mar 2026 (0y) | |
| Quincy Flanagan | Registered representative | Mar 2026 (0y) | ||
| Robert Lewallen Porter | Registered representative | Mar 2026 (0y) | ||
| Serria Tawan Rego | Registered representative | Mar 2026 (0y) | ||
| Timothy Todd Katusha | Registered representative | Mar 2026 (0y) | ||
| Tanya Pramod | Registered representative | Mar 2026 (0y) | ||
| Thomas Scott Bevington | Registered representative | Mar 2026 (0y) | ||
| Alexa Gill | Registered representative | Mar 2026 (0y) | ||
| Brandon Burdett Porter | Registered representative | Mar 2026 (0y) | ||
| David Bunim Rosenthal | Registered representative | Mar 2026 (0y) | ||
| Gregory Todd Ehlers | Registered representative | Mar 2026 (0y) | ||
| June David Caalaman | Registered representative | Mar 2026 (0y) | ||
| Mark Lawrence Tunkel | Registered representative | Mar 2026 (0y) | ||
| Mustapha Fawal | Registered representative | Mar 2026 (0y) | ||
| Rebecca Ardis Eastom | Registered representative | Mar 2026 (0y) | ||
| Robert Jason Lankin | Registered representative | Mar 2026 (0y) | ||
| Tiffani Renee Davis | Registered representative | Mar 2026 (0y) | ||
| Avery Lacourciere | Registered representative | Mar 2026 (0y) | ||
| Cynthia Kinkaid | Registered representative | Mar 2026 (0y) | ||
| Darius Troy Goudeau | Registered representative | Mar 2026 (0y) | ||
| Jeffrey Nicholas Hemsath | Registered representative | Mar 2026 (0y) | ||
| John Stephen Guyet | Registered representative | Mar 2026 (0y) | ||
| Kevin Thomas Noll | Registered representative | Mar 2026 (0y) | ||
| Paul Guy Fimognari | Registered representative | CFP | Mar 2026 (0y) | |
| Paul B Mills | Registered representative | Mar 2026 (0y) | ||
| Sheryll Gianino | Registered representative | Mar 2026 (0y) | ||
| Tyler Herrick Cuba | Registered representative | Mar 2026 (0y) | ||
| Tyler Freeman | Registered representative | Mar 2026 (0y) | ||
| Veronica Mary Jaeger | Registered representative | Mar 2026 (0y) | ||
| Colby Dobrusin | Registered representative | Mar 2026 (0y) | ||
| Cory William Lobell | Registered representative | Mar 2026 (0y) | ||
| Joshua J Mohr | Registered representative | Mar 2026 (0y) | ||
| Liam C Barningham | Registered representative | Mar 2026 (0y) | ||
| Benjamin Brooks Neville | Registered representative | Mar 2026 (0y) | ||
| Dawson Lawrence Groch | Registered representative | Mar 2026 (0y) | ||
| Eric Rambo | Registered representative | CFP | Mar 2026 (0y) | |
| Frank Henry Chiappone | Registered representative | Mar 2026 (0y) | ||
| John Crook Gage | Registered representative | Mar 2026 (0y) | ||
| John E Pelletier | Registered representative | CFP | Mar 2026 (0y) | |
| Mark Alan Grieger | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Lawrence Rembert Mickle | Registered representative | Mar 2026 (0y) | ||
| Christopher Julio Rodriguez | Registered representative | Mar 2026 (0y) | ||
| Alexander James Roberts | Registered representative | Mar 2026 (0y) | ||
| Andrew Bjorklund | Registered representative | Mar 2026 (0y) | ||
| Andrew Lackland Rabon | Registered representative | Mar 2026 (0y) | ||
| Ashwin Rajan | Registered representative | Mar 2026 (0y) | ||
| Bryan Anderson | Registered representative | Mar 2026 (0y) | ||
| Cody Jess | Registered representative | Mar 2026 (0y) | ||
| Derek Lyle | Registered representative | Mar 2026 (0y) | ||
| Erik D Sharkey | Registered representative | CFP | Mar 2026 (0y) | |
| Joshua Wayne Wyatt | Registered representative | Mar 2026 (0y) | ||
| Julianna Derisley | Registered representative | Mar 2026 (0y) | ||
| Lucelia Dawn Willms | Registered representative | Mar 2026 (0y) | ||
| Magdalena O'doherty | Registered representative | CFA | Mar 2026 (0y) | |
| Melinda Frost Davis | Registered representative | CFP | Mar 2026 (0y) | |
| Michael Joe Mason | Registered representative | Mar 2026 (0y) | ||
| Maximilian Jung | Registered representative | CFP | Mar 2026 (0y) | |
| Patrick Andrew Kalbaugh | Registered representative | Mar 2026 (0y) | ||
| Roger Ivan Toledo | Registered representative | Mar 2026 (0y) | ||
| Shirley I Willis | Registered representative | Mar 2026 (0y) | ||
| Thomas C Mccleskey | Registered representative | Mar 2026 (0y) | ||
| Alexander Abraham Gelman | Registered representative | Mar 2026 (0y) | ||
| Boban Tunjic | Registered representative | Mar 2026 (0y) | ||
| Brian Lee Bogue | Registered representative | Mar 2026 (0y) | ||
| Carmen Jean Richards | Registered representative | Mar 2026 (0y) | ||
| Christian Andrew Datu | Registered representative | Mar 2026 (0y) | ||
| Daniela Alejandra Lalama Fortier | Registered representative | Mar 2026 (0y) | ||
| Katherine M Spratt | Registered representative | Mar 2026 (0y) | ||
| Mark Richard Turner | Registered representative | Mar 2026 (0y) | ||
| Marla Alati | Registered representative | Mar 2026 (0y) | ||
| Stephanie Elizabeth Van Hook | Registered representative | Mar 2026 (0y) | ||
| Stephen C Monsen | Registered representative | Mar 2026 (0y) | ||
| Tasha Marie Coleman | Registered representative | CFP | Mar 2026 (0y) | |
| Arianna Christa Pannarale | Registered representative | CFP | Mar 2026 (0y) | |
| Andrew William Bermani Mc Cann | Registered representative | Mar 2026 (0y) | ||
| Christopher Walton | Registered representative | Mar 2026 (0y) | ||
| Dustin R Kazmar | Registered representative | Mar 2026 (0y) | ||
| Lawrence John Mcternan | Registered representative | Mar 2026 (0y) | ||
| Timothy T Keffer | Registered representative | CFP | Mar 2026 (0y) | |
| Amy Lynn Roberts | Registered representative | Mar 2026 (0y) | ||
| Austin L Barr | Registered representative | CFP | Mar 2026 (0y) | |
| Bobby Jacob Tallent | Registered representative | Mar 2026 (0y) | ||
| Cynthia Leigh Assink | Registered representative | Mar 2026 (0y) | ||
| Caleb W Hesseltine | Registered representative | Mar 2026 (0y) | ||
| Chase Corbin Ely | Registered representative | Mar 2026 (0y) | ||
| Chloe Yue Du | Registered representative | Mar 2026 (0y) | ||
| Douglas Esterly | Registered representative | Mar 2026 (0y) | ||
| Joshua Myles Burchfield | Registered representative | Mar 2026 (0y) | ||
| Kyle Allain | Registered representative | Mar 2026 (0y) | ||
| Ramzi Bishara Boyd | Registered representative | Mar 2026 (0y) | ||
| Reed Terry | Registered representative | Mar 2026 (0y) | ||
| Ryan Trout | Registered representative | Mar 2026 (0y) | ||
| Alfred B Farrell | Registered representative | Mar 2026 (0y) | ||
| Andrew John Mcculloch | Registered representative | Mar 2026 (0y) | ||
| Bryan Wesley Burtsfield | Registered representative | Mar 2026 (0y) | ||
| Beau Ray De Lee | Registered representative | Mar 2026 (0y) | ||
| Cynthia Gayle Mims | Registered representative | Mar 2026 (0y) | ||
| Celena Andrea Narez Helm | Registered representative | Mar 2026 (0y) | ||
| Chance Lopez Coleman | Registered representative | Mar 2026 (0y) | ||
| Jennifer Renee Burtsfield | Registered representative | Mar 2026 (0y) | ||
| James Tyrone Elias | Registered representative | Mar 2026 (0y) | ||
| Jorge D Martinez | Registered representative | Mar 2026 (0y) | ||
| Logan Jacob Phillips | Registered representative | Mar 2026 (0y) | ||
| Michael Neil Long | Registered representative | Mar 2026 (0y) | ||
| Stephen A. Rogers | Registered representative | CFP | Mar 2026 (0y) | |
| David C Wilson | Registered representative | Mar 2026 (0y) | ||
| Jed Glick | Registered representative | CFA | Mar 2026 (0y) | |
| Jeramy Woods | Registered representative | CFP | Mar 2026 (0y) | |
| Renee Vivian Evashkevich | Registered representative | Mar 2026 (0y) | ||
| Travis Scott Gilliam | Registered representative | Mar 2026 (0y) | ||
| Bryan David Fenn | Registered representative | Mar 2026 (0y) | ||
| Godfrey Steve Statia | Registered representative | CFP | Mar 2026 (0y) | |
| Griffin Patrick Korner | Registered representative | Mar 2026 (0y) | ||
| James A Mahoney | Registered representative | Mar 2026 (0y) | ||
| James Robert Ford | Registered representative | Mar 2026 (0y) | ||
| Koreen Ann Wallis | Registered representative | Mar 2026 (0y) | ||
| Scott Michael Leo | Registered representative | Mar 2026 (0y) | ||
| William J. Hunt | Registered representative | Mar 2026 (0y) | ||
| Alicea Konieczka | Registered representative | Apr 2026 (0y) | ||
| Christopher T Benoit | Registered representative | CFP | Apr 2026 (0y) | |
| Caprice Michelle Kalvelage | Registered representative | Apr 2026 (0y) | ||
| Christian Tyler Campbell | Registered representative | Apr 2026 (0y) | ||
| Daniel H Hein | Registered representative | Apr 2026 (0y) | ||
| James Mcmurtry | Registered representative | CFP | Apr 2026 (0y) | |
| Jeffrey Lane Davis | Registered representative | Apr 2026 (0y) | ||
| John P. Gannon | Registered representative | CFA | Apr 2026 (0y) | |
| Michelle Marie Reek | Registered representative | Apr 2026 (0y) | ||
| Michael Christopher Workley | Registered representative | Apr 2026 (0y) | ||
| Nathaniel Ray Peoples | Registered representative | CFP | Apr 2026 (0y) | |
| Ryan D Krause | Registered representative | Apr 2026 (0y) | ||
| Steven Ira Hein | Registered representative | CFP Personal Financial Specialist | Apr 2026 (0y) | |
| Aaron Matthew Spitzner | Registered representative | CFP | Apr 2026 (0y) | |
| Adam Michael Fogle | Registered representative | Apr 2026 (0y) | ||
| Carly Lynne Lambeth | Registered representative | Apr 2026 (0y) | ||
| Daniel John Larson | Registered representative | Apr 2026 (0y) | ||
| Frank Mackey Hughes | Registered representative | Apr 2026 (0y) | ||
| Gregory Warren | Registered representative | Apr 2026 (0y) | ||
| Ikaika Chad Viela | Registered representative | Apr 2026 (0y) | ||
| James Christopher Wachtel | Registered representative | Apr 2026 (0y) | ||
| Jason Lee Schrotenboer | Registered representative | Apr 2026 (0y) | ||
| Jeffrey Martin Sullivan | Registered representative | Apr 2026 (0y) | ||
| Jesse Michael Underwood | Registered representative | Apr 2026 (0y) | ||
| Jonathan M Roth | Registered representative | Apr 2026 (0y) | ||
| Olivia Koenen | Registered representative | Apr 2026 (0y) | ||
| Paul Ross Maizes | Registered representative | CFP | Apr 2026 (0y) | |
| Raymond Anthony Lukas | Registered representative | Apr 2026 (0y) | ||
| Sergio Guerra | Registered representative | Apr 2026 (0y) | ||
| Thomas J Waters | Registered representative | Apr 2026 (0y) | ||
| Travis Wayne Blessing | Registered representative | Apr 2026 (0y) | ||
| Brian James Venn | Registered representative | CFP | Apr 2026 (0y) | |
| Richard Scott Levand | Registered representative | Apr 2026 (0y) | ||
| Travis Cade Neiswender | Registered representative | Apr 2026 (0y) | ||
| Ashley L Raymond | Registered representative | Apr 2026 (0y) | ||
| Arian Hanson Nakhjavan | Registered representative | Apr 2026 (0y) | ||
| Benjamin Burke Alford | Registered representative | Apr 2026 (0y) | ||
| Christian Nicholas Cardello | Registered representative | Apr 2026 (0y) | ||
| Courtney Lyn Walker | Registered representative | CFP | Apr 2026 (0y) | |
| Coreen May Woehl | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Joanne Elizabeth Sweetman | Registered representative | CFP | Apr 2026 (0y) | |
| Kacy Lynn Lotz | Registered representative | Apr 2026 (0y) | ||
| Keith Wayne Patterson | Registered representative | Apr 2026 (0y) | ||
| Kevin James Roberg | Registered representative | CFP | Apr 2026 (0y) | |
| Samuel Nalesnik | Registered representative | Apr 2026 (0y) | ||
| Sylvester Tyrone Johnson | Registered representative | Apr 2026 (0y) | ||
| Sarah Armstrong | Registered representative | Apr 2026 (0y) | ||
| Scott Smith | Registered representative | Apr 2026 (0y) | ||
| Scott Sterrett | Registered representative | Apr 2026 (0y) | ||
| Beau Burris | Registered representative | Apr 2026 (0y) | ||
| Cheryl J Steiner | Registered representative | Apr 2026 (0y) | ||
| Christian Tolino | Registered representative | CFP | Apr 2026 (0y) | |
| Devin Behl | Registered representative | Apr 2026 (0y) | ||
| Elijah Gallardi | Registered representative | Apr 2026 (0y) | ||
| Eponine Winegar | Registered representative | Apr 2026 (0y) | ||
| Indigo Markeeta Carroll | Registered representative | Apr 2026 (0y) | ||
| Jeremy Benjamin Neilson | Registered representative | Apr 2026 (0y) | ||
| Jennifer Glacken | Registered representative | Apr 2026 (0y) | ||
| Jeremiah Slavin | Registered representative | Apr 2026 (0y) | ||
| John Jace London | Registered representative | Apr 2026 (0y) | ||
| Lorie S Knox | Registered representative | Apr 2026 (0y) | ||
| Mikai Hunt | Registered representative | Apr 2026 (0y) | ||
| Nicholas Rey Carnero | Registered representative | Apr 2026 (0y) | ||
| Philip Johnson | Registered representative | Apr 2026 (0y) | ||
| Steven Paul Fetterhoff | Registered representative | Apr 2026 (0y) | ||
| Trey Fisher | Registered representative | Apr 2026 (0y) | ||
| Ashley W. Caudle | Registered representative | Apr 2026 (0y) | ||
| Bryan A Hale | Registered representative | Apr 2026 (0y) | ||
| Cain A Strack | Registered representative | Apr 2026 (0y) | ||
| Camden Brooks Hardy | Registered representative | Apr 2026 (0y) | ||
| Drew Powell | Registered representative | Apr 2026 (0y) | ||
| Jeffrey Allen West | Registered representative | Apr 2026 (0y) | ||
| John Kevin Burton | Registered representative | Apr 2026 (0y) | ||
| Jordan David Taylor | Registered representative | Apr 2026 (0y) | ||
| Kenneth Kyle Knox | Registered representative | Apr 2026 (0y) | ||
| Lucas William Ward | Registered representative | Apr 2026 (0y) | ||
| Luke Michael Gramer | Registered representative | Apr 2026 (0y) | ||
| Melissa Lynn Wright | Registered representative | Apr 2026 (0y) | ||
| Mahyn Mata | Registered representative | Apr 2026 (0y) | ||
| Ryan Connors | Registered representative | Apr 2026 (0y) | ||
| Ryan Walter Carlin | Registered representative | Apr 2026 (0y) | ||
| Stephanie Rae Strelka | Registered representative | Apr 2026 (0y) | ||
| Eric Mannon Young | Registered representative | Apr 2026 (0y) | ||
| Eleni Ftikas | Registered representative | Apr 2026 (0y) | ||
| Joseph M. O'rourke | Registered representative | CFP | Apr 2026 (0y) | |
| Joseph Massucci | Registered representative | Apr 2026 (0y) | ||
| Lincoln Robert Bowman | Registered representative | Apr 2026 (0y) | ||
| Max James Joseph Cluer | Registered representative | Apr 2026 (0y) | ||
| Peter Fornarola | Registered representative | Apr 2026 (0y) | ||
| Van Buren Davis | Registered representative | Apr 2026 (0y) | ||
| Zachary Steven Golub | Registered representative | Apr 2026 (0y) | ||
| Christopher Tritt | Registered representative | CFP | Apr 2026 (0y) | |
| David S. Long | Registered representative | CFP | Apr 2026 (0y) | |
| Donald Ray Pittman | Registered representative | Apr 2026 (0y) | ||
| Kaiden Andrew Heinrich | Registered representative | Apr 2026 (0y) | ||
| Kyle St Clair | Registered representative | Apr 2026 (0y) | ||
| Namita Kathuria | Registered representative | Apr 2026 (0y) | ||
| Nicholas Joseph Avola | Registered representative | CFP | Apr 2026 (0y) | |
| Nicole Nickel | Registered representative | Apr 2026 (0y) | ||
| Stanley Joseph Beltramea | Registered representative | Apr 2026 (0y) | ||
| Shirley Morillo Guercio | Registered representative | Apr 2026 (0y) | ||
| Charles Francis Taylor | Registered representative | Apr 2026 (0y) | ||
| Douglas Arvid Jergenson | Registered representative | Apr 2026 (0y) | ||
| Falko Hoernicke | Registered representative | CFP CFA | Apr 2026 (0y) | |
| Kyle Grossmeyer | Registered representative | CFP | Apr 2026 (0y) | |
| Max Skirkanich | Registered representative | Apr 2026 (0y) | ||
| Ryan Paul Troxell | Registered representative | Apr 2026 (0y) | ||
| Sarah Jean Hodges | Registered representative | Apr 2026 (0y) | ||
| Timothy Neal Davidson | Registered representative | CFA | Apr 2026 (0y) | |
| Alanna Mary Campbell | Registered representative | Apr 2026 (0y) | ||
| Christiana Till | Registered representative | Apr 2026 (0y) | ||
| Christopher William Victor Rodler | Registered representative | Apr 2026 (0y) | ||
| James Alan Weiss | Registered representative | Apr 2026 (0y) | ||
| John M Hearne | Registered representative | Apr 2026 (0y) | ||
| Joseph Matthew Edwards | Registered representative | Apr 2026 (0y) | ||
| Lea Anne Smith Creekmore | Registered representative | Apr 2026 (0y) | ||
| Luke Douglas Neely | Registered representative | Apr 2026 (0y) | ||
| Nathan Aaron Cherry | Registered representative | Apr 2026 (0y) | ||
| Alyssa Marie Helmrick | Registered representative | Apr 2026 (0y) | ||
| Amanda Fatigati | Registered representative | Apr 2026 (0y) | ||
| Amy Jill Kaufman | Registered representative | Apr 2026 (0y) | ||
| Bryce Bonds | Registered representative | Apr 2026 (0y) | ||
| Daniel J Lauraine | Registered representative | Apr 2026 (0y) | ||
| Jack W. Yvars | Registered representative | Apr 2026 (0y) | ||
| Jacob Eddy | Registered representative | Apr 2026 (0y) | ||
| Kaiana Padilla | Registered representative | Apr 2026 (0y) | ||
| Kristian Carr Forster | Registered representative | Apr 2026 (0y) | ||
| Matan Jonathan Stein | Registered representative | Apr 2026 (0y) | ||
| Ryan Timothy Rose | Registered representative | Apr 2026 (0y) | ||
| Ryan William Salazar | Registered representative | Apr 2026 (0y) | ||
| Sara Lee Brost | Registered representative | Apr 2026 (0y) | ||
| Scott S. Bush | Registered representative | Apr 2026 (0y) | ||
| Timothy Dixon | Registered representative | Apr 2026 (0y) | ||
| Andres Dela Torre | Registered representative | Apr 2026 (0y) | ||
| Casey Sanders | Registered representative | Apr 2026 (0y) | ||
| Daniel Edward Mckelvey | Registered representative | Apr 2026 (0y) | ||
| David Carl Mills | Registered representative | Apr 2026 (0y) | ||
| John Scott Pimental | Registered representative | Apr 2026 (0y) | ||
| Leslie Carroll Smith Ii | Registered representative | CFP | Apr 2026 (0y) | |
| Michael Kurt Wendt | Registered representative | Apr 2026 (0y) | ||
| Michael E Murphy | Registered representative | Apr 2026 (0y) | ||
| Sean Patrick Fahey | Registered representative | Apr 2026 (0y) | ||
| Alexander Jordan Mongan | Registered representative | Apr 2026 (0y) | ||
| Alexander G Thomas | Registered representative | Apr 2026 (0y) | ||
| Connor Myron Ware | Registered representative | Apr 2026 (0y) | ||
| Davindra Itwaru | Registered representative | Apr 2026 (0y) | ||
| Jaime Gomez Hernandez | Registered representative | Apr 2026 (0y) | ||
| Sarah Kathryn Lindell | Registered representative | Apr 2026 (0y) | ||
| Stephens Young Mcvea | Registered representative | Apr 2026 (0y) | ||
| Tonya Ngoc Bernhardt | Registered representative | Apr 2026 (0y) | ||
| Joseph M Pearl | Registered representative | CFP | Apr 2026 (0y) | |
| Nicholas John Robben | Registered representative | Apr 2026 (0y) | ||
| Aleksey Kaplan | Registered representative | Apr 2026 (0y) | ||
| Andrew Lyon | Registered representative | Apr 2026 (0y) | ||
| Benjamin Micajah Berry | Registered representative | CFP | Apr 2026 (0y) | |
| Benjamin Michael Thiele | Registered representative | CFP | Apr 2026 (0y) | |
| Bill M Crawford | Registered representative | Apr 2026 (0y) | ||
| Brandon David Tieso | Registered representative | CFP | Apr 2026 (0y) | |
| Christopher Blake Butler | Registered representative | Apr 2026 (0y) | ||
| Cory Dale Mc Elyea | Registered representative | Apr 2026 (0y) | ||
| David Scott Stentz | Registered representative | Apr 2026 (0y) | ||
| Greg J Selg | Registered representative | Apr 2026 (0y) | ||
| Joseph Patrick David Gopez | Registered representative | Apr 2026 (0y) | ||
| Johnny Brandon Berry | Registered representative | Apr 2026 (0y) | ||
| Jonathan Thomas Tataje | Registered representative | Apr 2026 (0y) | ||
| Kyle John Soscia | Registered representative | CFP | Apr 2026 (0y) | |
| Matt Ryan Franklin | Registered representative | Apr 2026 (0y) | ||
| Matthew Shawn Parks | Registered representative | Apr 2026 (0y) | ||
| Morgan Sierra Tibble | Registered representative | Apr 2026 (0y) | ||
| Madison Taylor Matthews | Registered representative | Apr 2026 (0y) | ||
| Maxwell Bryce Schermerhorn | Registered representative | Apr 2026 (0y) | ||
| Paul Fredrick Delord | Registered representative | CFP | Apr 2026 (0y) | |
| Reed Boudreaux | Registered representative | Apr 2026 (0y) | ||
| Reid Delaney | Registered representative | Apr 2026 (0y) | ||
| Stephen Charles Debol | Registered representative | Apr 2026 (0y) | ||
| Sharolyn A Williams | Registered representative | Apr 2026 (0y) | ||
| Susan Elaine Godbee | Registered representative | Apr 2026 (0y) | ||
| Vi Tan Chan | Registered representative | CFA | Apr 2026 (0y) | |
| William M Calderon | Registered representative | Apr 2026 (0y) | ||
| William Lawrence Patriarca | Registered representative | CFP | Apr 2026 (0y) | |
| Brent Herman Hoffman | Registered representative | Apr 2026 (0y) | ||
| David Joseph Sousa | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Douglas Duane Bennett | Registered representative | Apr 2026 (0y) | ||
| Douglas Lyle Stephens | Registered representative | Apr 2026 (0y) | ||
| Edward Ryan Ganzon Bondoc | Registered representative | Apr 2026 (0y) | ||
| Jason Borland | Registered representative | CFP | Apr 2026 (0y) | |
| Jennifer Greer | Registered representative | Apr 2026 (0y) | ||
| Nicholas Bennett | Registered representative | Apr 2026 (0y) | ||
| Phillip Anglade | Registered representative | Apr 2026 (0y) | ||
| Solomon Michael Becker | Registered representative | CFP | Apr 2026 (0y) | |
| Van Michael Schaffer | Registered representative | Apr 2026 (0y) | ||
| David P Little | Registered representative | Apr 2026 (0y) | ||
| Gabriel Bustamante | Registered representative | CFP | Apr 2026 (0y) | |
| Houston G Little | Registered representative | CFP | Apr 2026 (0y) | |
| Jessica Rose Colston | Registered representative | Apr 2026 (0y) | ||
| Malcom Ong | Registered representative | Apr 2026 (0y) | ||
| Ronald Moriarty | Registered representative | Apr 2026 (0y) | ||
| Tyler D Little | Registered representative | Apr 2026 (0y) | ||
| Eric Gordon Meyers | Registered representative | Apr 2026 (0y) | ||
| James Robert Vandre | Registered representative | Apr 2026 (0y) | ||
| Joseph Dain Duplechain | Registered representative | Apr 2026 (0y) | ||
| Julia Mae Owens | Registered representative | Apr 2026 (0y) | ||
| Lisa Tara Constant | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Mark Oles | Registered representative | Apr 2026 (0y) | ||
| Thomas Robert Kelly | Registered representative | Apr 2026 (0y) | ||
| Terri Fogarty Rumans | Registered representative | Apr 2026 (0y) | ||
| Terriann M Kreder | Registered representative | Apr 2026 (0y) | ||
| Todd Merrill Bodine | Registered representative | Apr 2026 (0y) | ||
| Brian Scott Whatley | Registered representative | CFP | Apr 2026 (0y) | |
| Cynthia Lynn Garcia | Registered representative | Apr 2026 (0y) | ||
| Darin William Pilacinski | Registered representative | Apr 2026 (0y) | ||
| David Bement | Registered representative | Apr 2026 (0y) | ||
| John C Rogers | Registered representative | CFA | Apr 2026 (0y) | |
| Kelsey Alexis Ruttenberg | Registered representative | Apr 2026 (0y) | ||
| Michael Gregory Carroll | Registered representative | Apr 2026 (0y) | ||
| Rogelio Ivan Martinez | Registered representative | Apr 2026 (0y) | ||
| Sean A. Chrysostom | Registered representative | Apr 2026 (0y) | ||
| Anthony J. Macagna | Registered representative | CFP | Apr 2026 (0y) | |
| Andy Moreno | Registered representative | Apr 2026 (0y) | ||
| Chadwick Graham Goldberg | Registered representative | Apr 2026 (0y) | ||
| David Patrick Johnson | Registered representative | Apr 2026 (0y) | ||
| Edward Allan Knowles | Registered representative | Apr 2026 (0y) | ||
| Eric R Maniaci | Registered representative | Apr 2026 (0y) | ||
| Hannah Elizabeth Lupole | Registered representative | Apr 2026 (0y) | ||
| Jacob Carver | Registered representative | Apr 2026 (0y) | ||
| Jaime Marie Lewis | Registered representative | Apr 2026 (0y) | ||
| James Tackett | Registered representative | Apr 2026 (0y) | ||
| Julia Marie Smith | Registered representative | Apr 2026 (0y) | ||
| James Patrick Wellmeier | Registered representative | Apr 2026 (0y) | ||
| Jeremy R. Schutz | Registered representative | Apr 2026 (0y) | ||
| Jonah L Cowherd | Registered representative | Apr 2026 (0y) | ||
| Michael Nathan Wisinger | Registered representative | Apr 2026 (0y) | ||
| Michelle Castellucci | Registered representative | Apr 2026 (0y) | ||
| Michael Gregory Tuffli Stevenson | Registered representative | Apr 2026 (0y) | ||
| Nikko Courtney Gronhovd | Registered representative | CFP | Apr 2026 (0y) | |
| Scott Dennis Banker | Registered representative | Apr 2026 (0y) | ||
| Thompson Gress Lemaistre | Registered representative | Apr 2026 (0y) | ||
| Tercia Zofia Dobrzynski | Registered representative | Apr 2026 (0y) | ||
| Tyler B Bentley | Registered representative | Apr 2026 (0y) | ||
| Carlos E Moisa | Registered representative | Apr 2026 (0y) | ||
| Dean Jacobs | Registered representative | Apr 2026 (0y) | ||
| Dorothy Helen Whitman | Registered representative | Apr 2026 (0y) | ||
| Ellen L Dollard | Registered representative | Apr 2026 (0y) | ||
| James Ronald Welch | Registered representative | Apr 2026 (0y) | ||
| John Michael Brunetti | Registered representative | Apr 2026 (0y) | ||
| Mc Kenzie Jo Wall | Registered representative | Apr 2026 (0y) | ||
| Nathan Alan Arroyave | Registered representative | Apr 2026 (0y) | ||
| Patrick John Doyle | Registered representative | Apr 2026 (0y) | ||
| Shannon Hubbard | Registered representative | Apr 2026 (0y) | ||
| Allina Dresslar Bell | Registered representative | Apr 2026 (0y) | ||
| Aaron Tucker | Registered representative | Apr 2026 (0y) | ||
| Bobby Harvey Lumpkin | Registered representative | Apr 2026 (0y) | ||
| James Bascom Herrin | Registered representative | Apr 2026 (0y) | ||
| Nathan Doyle Wallace | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Nikolas Sirvent | Registered representative | Apr 2026 (0y) | ||
| Patrick Daniel Stobaugh | Registered representative | Apr 2026 (0y) | ||
| Amado Quiroz Rivera | Registered representative | CFP | Apr 2026 (0y) | |
| Cynthia Garner Little | Registered representative | Apr 2026 (0y) | ||
| Jacob Taylor Yaklin | Registered representative | CFP | Apr 2026 (0y) | |
| Mary K Setter | Registered representative | Apr 2026 (0y) | ||
| Patrick Joseph Hart | Registered representative | CFP | Apr 2026 (0y) | |
| Pamela Reid Settlage | Registered representative | CFP | Apr 2026 (0y) | |
| Alexander West | Registered representative | May 2026 (0y) | ||
| Anthony Adam Di Pace | Registered representative | May 2026 (0y) | ||
| Bernard Salomon Cohen | Registered representative | May 2026 (0y) | ||
| Cameron Lindholm | Registered representative | May 2026 (0y) | ||
| Christina Beers Carey | Registered representative | May 2026 (0y) | ||
| Christopher Allen Noel | Registered representative | May 2026 (0y) | ||
| Clayton Mallard | Registered representative | May 2026 (0y) | ||
| Frederick T Ganter | Registered representative | May 2026 (0y) | ||
| Jonathan David Searle | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Jolene Bennett | Registered representative | May 2026 (0y) | ||
| Nicholas William Pucel | Registered representative | May 2026 (0y) | ||
| Richard Kendall Hawes | Registered representative | May 2026 (0y) | ||
| Robert Vernon Carr | Registered representative | May 2026 (0y) | ||
| Sydney Grace Moore | Registered representative | May 2026 (0y) | ||
| Thomas Edward Stricker | Registered representative | CFP | May 2026 (0y) | |
| Thomas Casey | Registered representative | CFP | May 2026 (0y) | |
| Toni Ann L Dorsey | Registered representative | May 2026 (0y) | ||
| Tyler Matechak | Registered representative | May 2026 (0y) | ||
| Gideon Hall | Registered representative | May 2026 (0y) | ||
| Andrew Soliman | Registered representative | May 2026 (0y) | ||
| Bret Robert Johnson | Registered representative | May 2026 (0y) | ||
| Clayton Eugene Robinson | Registered representative | May 2026 (0y) | ||
| Daniel Djordjevic | Registered representative | May 2026 (0y) | ||
| Frank Patton | Registered representative | CFP | May 2026 (0y) | |
| Jessica Ann Grogan | Registered representative | May 2026 (0y) | ||
| John H Kim | Registered representative | May 2026 (0y) | ||
| John Stephen Hussar | Registered representative | May 2026 (0y) | ||
| Jeff Good | Registered representative | May 2026 (0y) | ||
| John Clay Dollar | Registered representative | May 2026 (0y) | ||
| Kimberlee Ann Mott | Registered representative | May 2026 (0y) | ||
| Kristen Helen Robinson | Registered representative | May 2026 (0y) | ||
| Martin Richard Devault | Registered representative | May 2026 (0y) | ||
| Nathan Andrew Pribyl | Registered representative | May 2026 (0y) | ||
| Nicholas Angel Hernandez | Registered representative | May 2026 (0y) | ||
| Samantha Maryann Pilacinski | Registered representative | May 2026 (0y) | ||
| Sean Patrick Michael Davis | Registered representative | May 2026 (0y) | ||
| Scott Morgan Burton | Registered representative | May 2026 (0y) | ||
| Sean R Ludwick | Registered representative | May 2026 (0y) | ||
| Thomas Matthew Prebeck | Registered representative | May 2026 (0y) | ||
| Chad M Frantesl | Registered representative | May 2026 (0y) | ||
| Chase M Muro | Registered representative | May 2026 (0y) | ||
| Cheyanne Selena Perez | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Dedrick L Adell | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Jaclyn Alison Montoya | Registered representative | May 2026 (0y) | ||
| Jennifer Smith | Registered representative | CFP | May 2026 (0y) | |
| Joshua Hunter Salkin | Registered representative | May 2026 (0y) | ||
| Mariah Lynn Hess | Registered representative | May 2026 (0y) | ||
| Mary Cole Downey Stange | Registered representative | May 2026 (0y) | ||
| Raphael Aziz | Registered representative | CFP | May 2026 (0y) | |
| Robert Dailey | Registered representative | May 2026 (0y) | ||
| Samuel Worthington Coleman | Registered representative | May 2026 (0y) | ||
| Tracy Lynn Gordon | Registered representative | May 2026 (0y) | ||
| Timothy Daniel Crowley | Registered representative | May 2026 (0y) | ||
| Zachary Ryan Sinsabaugh | Registered representative | May 2026 (0y) | ||
| Alfredo Reynoso | Registered representative | May 2026 (0y) | ||
| David Kavian | Registered representative | May 2026 (0y) | ||
| Edward Joseph Neibert | Registered representative | May 2026 (0y) | ||
| Glenn Hollingsworth | Registered representative | May 2026 (0y) | ||
| Gerard Wei Zhang | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Michael Richard Carilli | Registered representative | May 2026 (0y) | ||
| Michaelyn Dawn Bortolotti | Registered representative | May 2026 (0y) | ||
| Madeline G Newton | Registered representative | May 2026 (0y) | ||
| Martin Josiah Harban | Registered representative | May 2026 (0y) | ||
| Oday Janan Dawoud | Registered representative | May 2026 (0y) | ||
| Saul Isaac Sandoval Franquez | Registered representative | May 2026 (0y) | ||
| Shaviaea Williams | Registered representative | May 2026 (0y) | ||
| Anders T Ramstad | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Aaron Wade Richter | Registered representative | May 2026 (0y) | ||
| Antwon Justin Weary | Registered representative | May 2026 (0y) | ||
| Archie Lee Garner | Registered representative | CFP | May 2026 (0y) | |
| Austin Tyler Buhtz | Registered representative | May 2026 (0y) | ||
| Braden J Balocan | Registered representative | CFP | May 2026 (0y) | |
| Cole Florence Kimball | Registered representative | CFA | May 2026 (0y) | |
| Colin Daniel Kosco | Registered representative | May 2026 (0y) | ||
| Corey Spencer Janoff | Registered representative | CFP | May 2026 (0y) | |
| David E Gustafson | Registered representative | May 2026 (0y) | ||
| Derek Melvin | Registered representative | May 2026 (0y) | ||
| Evan Boston White | Registered representative | May 2026 (0y) | ||
| Erin A Winner | Registered representative | May 2026 (0y) | ||
| Gabriel Fish | Registered representative | May 2026 (0y) | ||
| Ian Hubbard | Registered representative | May 2026 (0y) | ||
| Jeffrey Robert Pratt | Registered representative | CFP | May 2026 (0y) | |
| John Michael Neri | Registered representative | CFP | May 2026 (0y) | |
| James Schaefer | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Jonathan Michael Jennings | Registered representative | May 2026 (0y) | ||
| Karl Thomas Rainer | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Kelli Annette Miller | Registered representative | May 2026 (0y) | ||
| Kyle Harris | Registered representative | May 2026 (0y) | ||
| Levi Charles Geissel | Registered representative | May 2026 (0y) | ||
| Marshall Lee Weintraub | Registered representative | CFP | May 2026 (0y) | |
| Michael Franklin Merrill | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Michael Okinaka | Registered representative | CFP | May 2026 (0y) | |
| Md Younus | Registered representative | May 2026 (0y) | ||
| Norman Debuys Brown | Registered representative | CFP | May 2026 (0y) | |
| Owen Byrne Chambers | Registered representative | May 2026 (0y) | ||
| Russell David Fratto | Registered representative | May 2026 (0y) | ||
| Rachelle Lynn Vanderzanden | Registered representative | CFP | May 2026 (0y) | |
| Spencer G Salvador | Registered representative | CFP | May 2026 (0y) | |
| Thanh Cong Le | Registered representative | May 2026 (0y) | ||
| Tyler James Krell | Registered representative | May 2026 (0y) | ||
| Zachary Joseph Kill | Registered representative | CFA | May 2026 (0y) | |
| Austin Anthony Roussel | Registered representative | May 2026 (0y) | ||
| Braden Wade Durham | Registered representative | May 2026 (0y) | ||
| Carl Campbell | Registered representative | May 2026 (0y) | ||
| Drake Michael Solomon | Registered representative | May 2026 (0y) | ||
| Gianna De Angelis | Registered representative | May 2026 (0y) | ||
| Harrison Aaron Graham | Registered representative | CFP | May 2026 (0y) | |
| Hunter J Sperling | Registered representative | May 2026 (0y) | ||
| James Colin Fox | Registered representative | May 2026 (0y) | ||
| Jared David White | Registered representative | May 2026 (0y) | ||
| Jennifer Lynne Merrifield | Registered representative | May 2026 (0y) | ||
| Joshua Paley | Registered representative | May 2026 (0y) | ||
| Keren Elizabeth James | Registered representative | May 2026 (0y) | ||
| Laura Anne Maguire | Registered representative | May 2026 (0y) | ||
| Nicholas Joseph Thompson | Registered representative | May 2026 (0y) | ||
| Timothy Burr Davis | Registered representative | CFP | May 2026 (0y) | |
| William Bryce Huff | Registered representative | May 2026 (0y) | ||
| Alexander Christian Vanegas | Registered representative | May 2026 (0y) | ||
| Andrew Joshua Zuno | Registered representative | May 2026 (0y) | ||
| Anthony Wayne Troiano | Registered representative | May 2026 (0y) | ||
| Caleb Andrew Smith | Registered representative | May 2026 (0y) | ||
| Ellis Justin Burgess | Registered representative | May 2026 (0y) | ||
| Ethan Durham Smith | Registered representative | May 2026 (0y) | ||
| Gary Brett Seckendorf | Registered representative | May 2026 (0y) | ||
| Garrett Kaumeyer | Registered representative | May 2026 (0y) | ||
| Gregory Duch | Registered representative | May 2026 (0y) | ||
| Israel J Anderson | Registered representative | May 2026 (0y) | ||
| Jeremy Chris Garduno | Registered representative | CFP | May 2026 (0y) | |
| Jennifer Lynn George | Registered representative | May 2026 (0y) | ||
| Keith Thomas Buck | Registered representative | May 2026 (0y) | ||
| Kelly Marie Outhuse | Registered representative | May 2026 (0y) | ||
| Olga Efremova | Registered representative | May 2026 (0y) | ||
| Stephen A Schott | Registered representative | May 2026 (0y) | ||
| Samuel Nelson Pegg | Registered representative | May 2026 (0y) | ||
| Steven Brazell | Registered representative | May 2026 (0y) | ||
| Toby John Peters | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Chelsea Rakowski | Registered representative | May 2026 (0y) | ||
| Donna Juanita Stoll | Registered representative | May 2026 (0y) | ||
| Dominique Lacarra | Registered representative | May 2026 (0y) | ||
| Efrain Acosta | Registered representative | May 2026 (0y) | ||
| Ingrid Marie Hollen | Registered representative | May 2026 (0y) | ||
| James Edward Utz | Registered representative | May 2026 (0y) | ||
| Jeremy Kay Hunsaker | Registered representative | May 2026 (0y) | ||
| Kayanne Baker | Registered representative | May 2026 (0y) | ||
| Melissa Gomez Castrejon | Registered representative | May 2026 (0y) | ||
| Nicholas A Melnik | Registered representative | May 2026 (0y) | ||
| Theodore Mark Miller | Registered representative | May 2026 (0y) | ||
| Alexander David Bennett | Registered representative | May 2026 (0y) | ||
| Brennan J Anderson | Registered representative | May 2026 (0y) | ||
| Douglas E Haskin | Registered representative | May 2026 (0y) | ||
| Declan T Walmsley | Registered representative | May 2026 (0y) | ||
| Dov Joseph Aloof | Registered representative | May 2026 (0y) | ||
| Ethan T Miller | Registered representative | May 2026 (0y) | ||
| Jennifer C Lewis | Registered representative | May 2026 (0y) | ||
| Jenny Rebecca Haskin | Registered representative | May 2026 (0y) | ||
| Jason Thomas Peet | Registered representative | May 2026 (0y) | ||
| Julie Mcfalls | Registered representative | May 2026 (0y) | ||
| Michael Wadley | Registered representative | May 2026 (0y) | ||
| Raymond De Stasio | Registered representative | May 2026 (0y) | ||
| Stephanie Bailey | Registered representative | May 2026 (0y) | ||
| Andrew Rolf Melliger | Registered representative | CFP | May 2026 (0y) | |
| Annette Patricia Shanks | Registered representative | May 2026 (0y) | ||
| Brenden Jeffrey Dauphin | Registered representative | May 2026 (0y) | ||
| Derek L'huillier | Registered representative | May 2026 (0y) | ||
| Evan Stuart Connell | Registered representative | May 2026 (0y) | ||
| John Joseph Dibenedetto | Registered representative | May 2026 (0y) | ||
| Karren Sue Allen | Registered representative | May 2026 (0y) | ||
| Kelly R Miller | Registered representative | May 2026 (0y) | ||
| Kenneth Ryan Laukhuff | Registered representative | May 2026 (0y) | ||
| Kyleigh Payton Ohlsen | Registered representative | May 2026 (0y) | ||
| Mariah Teresa Romero | Registered representative | May 2026 (0y) | ||
| Paolo Jarin Coronel | Registered representative | CFP | May 2026 (0y) | |
| Ryan Dafong Arimitsu Tanaka | Registered representative | May 2026 (0y) | ||
| Tabitha Lyn Kiebler | Registered representative | May 2026 (0y) | ||
| Thomas J Freisen | Registered representative | CFP | May 2026 (0y) | |
| Americo Antonelli | Registered representative | May 2026 (0y) | ||
| Brian Irving Stone | Registered representative | May 2026 (0y) | ||
| Brooke Maureen Taylor | Registered representative | May 2026 (0y) | ||
| Christopher Warren Charlton | Registered representative | May 2026 (0y) | ||
| Cameron Wyatt Johnson | Registered representative | May 2026 (0y) | ||
| Christopher Ryan Jacobsen | Registered representative | May 2026 (0y) | ||
| Craig Thomas Moore | Registered representative | May 2026 (0y) | ||
| Cynthia Leigh Sanders | Registered representative | May 2026 (0y) | ||
| Darren Louis Colananni | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Edward Martin Schrimpe | Registered representative | May 2026 (0y) | ||
| Elijah Glenn Wieder | Registered representative | May 2026 (0y) | ||
| Elfrida Dauti | Registered representative | May 2026 (0y) | ||
| Kelly Jordan White | Registered representative | May 2026 (0y) | ||
| Marc Andrew Aguilar | Registered representative | CFP | May 2026 (0y) | |
| Michael Cullinane | Registered representative | May 2026 (0y) | ||
| Paula V Campian | Registered representative | May 2026 (0y) | ||
| Richard Paul Williams | Registered representative | May 2026 (0y) | ||
| Ronald Wayne White | Registered representative | May 2026 (0y) | ||
| Russell Bedore | Registered representative | May 2026 (0y) | ||
| Scott Norman Draime | Registered representative | May 2026 (0y) | ||
| Tarek Esseraidi | Registered representative | May 2026 (0y) | ||
| Tyler Brian Forbes | Registered representative | May 2026 (0y) | ||
| Alwin F Martinez Gonzalez | Registered representative | May 2026 (0y) | ||
| Arianna Lauren Cagle | Registered representative | May 2026 (0y) | ||
| Benjamin Timothy Pawlak | Registered representative | May 2026 (0y) | ||
| Brandon Joseph Skupski | Registered representative | May 2026 (0y) | ||
| Brendan Michael Foor | Registered representative | May 2026 (0y) | ||
| Carson Lewis Hill | Registered representative | CFP | May 2026 (0y) | |
| Christian Vail | Registered representative | CFP | May 2026 (0y) | |
| Cheryl Duda | Registered representative | CFA | May 2026 (0y) | |
| Darren Rolf Trautmann | Registered representative | May 2026 (0y) | ||
| Douglas Robert Ferrara | Registered representative | May 2026 (0y) | ||
| Evan Barry Gray | Registered representative | May 2026 (0y) | ||
| Evan Lynn Anderson | Registered representative | CFP | May 2026 (0y) | |
| Hamilton Richey Krans | Registered representative | May 2026 (0y) | ||
| Josef Paolo S Equitan | Registered representative | May 2026 (0y) | ||
| Joseph Nathan Markim | Registered representative | May 2026 (0y) | ||
| Jodi Rudd | Registered representative | CFP | May 2026 (0y) | |
| Kejing Liu Burgess | Registered representative | May 2026 (0y) | ||
| Kyle Jeffrey Stricker | Registered representative | May 2026 (0y) | ||
| Melissa Eul | Registered representative | May 2026 (0y) | ||
| Michael James Frederick | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Payton David Waggoner | Registered representative | May 2026 (0y) | ||
| Rakesh Bira Chopra | Registered representative | May 2026 (0y) | ||
| Rochele Diantonio | Registered representative | May 2026 (0y) | ||
| Zachary Verdi | Registered representative | May 2026 (0y) | ||
| Blake Edwards | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Bryan David Carr | Registered representative | May 2026 (0y) | ||
| Christopher Akselberg | Registered representative | May 2026 (0y) | ||
| David Scott Parish | Registered representative | May 2026 (0y) | ||
| Edward Samuel Kindler | Registered representative | May 2026 (0y) | ||
| James Christian Perry | Registered representative | May 2026 (0y) | ||
| Mark Simon Dirou | Registered representative | CFP | May 2026 (0y) | |
| Mohammed Moustafa Eid | Registered representative | May 2026 (0y) | ||
| Thomas Carmelo Warner | Registered representative | May 2026 (0y) | ||
| Austin Grant Kemmerer | Registered representative | May 2026 (0y) | ||
| Christopher J Mc Leod | Registered representative | May 2026 (0y) | ||
| Eric John Palmer | Registered representative | May 2026 (0y) | ||
| John Draper Lischer | Registered representative | May 2026 (0y) | ||
| John Francisco Consulo | Registered representative | May 2026 (0y) | ||
| Katherine Isabel Schonfarber | Registered representative | May 2026 (0y) | ||
| Kaylee Breeding | Registered representative | May 2026 (0y) | ||
| Luis Alejandro Velez | Registered representative | May 2026 (0y) | ||
| Michael Crase | Registered representative | May 2026 (0y) | ||
| Susan Lorraine Curry | Registered representative | May 2026 (0y) | ||
| Aonan Wang | Registered representative | May 2026 (0y) | ||
| Candace A Van De Voorde | Registered representative | May 2026 (0y) | ||
| Deborah Sarai Wallace | Registered representative | May 2026 (0y) | ||
| Luke Sebastian Welsh | Registered representative | May 2026 (0y) | ||
| Maria Micaela Quinto Chan | Registered representative | May 2026 (0y) | ||
| Nicholas Porretta | Registered representative | CFP | May 2026 (0y) | |
| Philip Thomas Webb | Registered representative | May 2026 (0y) | ||
| Rebecca Mayer Hern | Registered representative | May 2026 (0y) | ||
| Riley David Ahlquist | Registered representative | May 2026 (0y) | ||
| William Harrison Floyd | Registered representative | May 2026 (0y) | ||
| Benjamin Walsh | Registered representative | May 2026 (0y) | ||
| Christopher Carl Whitcombe | Registered representative | CFP | May 2026 (0y) | |
| Daniel Joseph Chaput | Registered representative | May 2026 (0y) | ||
| Gabriel Ali | Registered representative | May 2026 (0y) | ||
| Gabrielle Curboy | Registered representative | May 2026 (0y) | ||
| John Kristopher Keiper | Registered representative | May 2026 (0y) | ||
| Mark S Stratton | Registered representative | CFP | May 2026 (0y) | |
| Nicole Wilbert | Registered representative | May 2026 (0y) | ||
| Nicholas Reynolds | Registered representative | May 2026 (0y) | ||
| Periklis Kotsiopoulos | Registered representative | May 2026 (0y) | ||
| Ajet Metaliaj | Registered representative | May 2026 (0y) | ||
| Augustine Ruben Azevedo | Registered representative | May 2026 (0y) | ||
| Christie Jo Hughes | Registered representative | May 2026 (0y) | ||
| Colin Joseph Burns | Registered representative | May 2026 (0y) | ||
| David Reed Fanta | Registered representative | May 2026 (0y) | ||
| Jeffrey Michael Husak | Registered representative | May 2026 (0y) | ||
| Justin Mcmorrow | Registered representative | May 2026 (0y) | ||
| Kirbe D Williamson | Registered representative | May 2026 (0y) | ||
| Michael Leonard Husak | Registered representative | May 2026 (0y) | ||
| Paul Vincent Caputo | Registered representative | May 2026 (0y) | ||
| Robin Melena Kennedy | Registered representative | May 2026 (0y) | ||
| Steven Wayne Aiken | Registered representative | May 2026 (0y) | ||
| Thomas William Alpin | Registered representative | May 2026 (0y) | ||
| Bradley Forrest Hollandsworth | Registered representative | May 2026 (0y) | ||
| Brian Thomas Masucci | Registered representative | May 2026 (0y) | ||
| Carlie Rose Zeidler | Registered representative | May 2026 (0y) | ||
| Donald Laskey Newton | Registered representative | May 2026 (0y) | ||
| John Francis Hartman | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Jessica Watts Hamby | Registered representative | May 2026 (0y) | ||
| Jesus Manuel Beltran | Registered representative | May 2026 (0y) | ||
| Joseph Christopher Cercone | Registered representative | May 2026 (0y) | ||
| Kathleen Jo Scholz | Registered representative | May 2026 (0y) | ||
| Kristin Nicole Maulden | Registered representative | May 2026 (0y) | ||
| Stephen Laurence Peloquin | Registered representative | May 2026 (0y) | ||
| Tyler Brandon Martin | Registered representative | May 2026 (0y) | ||
| Brian James Coleman | Registered representative | May 2026 (0y) | ||
| Curtis Lyman Ott | Registered representative | May 2026 (0y) | ||
| Graham Reynolds | Registered representative | CFP | May 2026 (0y) | |
| John Grant | Registered representative | CFP | May 2026 (0y) | |
| Madelyn Flinn | Registered representative | May 2026 (0y) | ||
| Paul David Abdenour | Registered representative | May 2026 (0y) | ||
| Robert J Koenigbauer | Registered representative | May 2026 (0y) | ||
| Scott Edward Breault | Registered representative | May 2026 (0y) | ||
| William Ross Gowin | Registered representative | May 2026 (0y) | ||
| Brian Russell Janssen | Registered representative | May 2026 (0y) | ||
| Daniel Jacob Tamburello | Registered representative | CFP | May 2026 (0y) | |
| Laiken Davis | Registered representative | May 2026 (0y) | ||
| Mitchell Tucker Brown | Registered representative | May 2026 (0y) | ||
| Andrew Edwin Hejlik | Registered representative | Jun 2026 (0y) | ||
| Austin J Bock | Registered representative | CFP | Jun 2026 (0y) | |
| Britney Sires | Registered representative | Jun 2026 (0y) | ||
| Brody Eischeid | Registered representative | Jun 2026 (0y) | ||
| Charles Christensen | Registered representative | Jun 2026 (0y) | ||
| Corbin Taylor Watson | Registered representative | Jun 2026 (0y) | ||
| Derek James Hartleip | Registered representative | Jun 2026 (0y) | ||
| Jobel Tan Rentino | Registered representative | Jun 2026 (0y) | ||
| John Anthony Pegues | Registered representative | Jun 2026 (0y) | ||
| Jonathan Michael Richard | Registered representative | Jun 2026 (0y) | ||
| Jody Gunderson | Registered representative | Jun 2026 (0y) | ||
| Kevin John Linggi | Registered representative | Jun 2026 (0y) | ||
| Kevin Owen Ekstrom | Registered representative | CFP | Jun 2026 (0y) | |
| Kirk Gordon Hunter | Registered representative | Jun 2026 (0y) | ||
| Laura Elizabeth Morris | Registered representative | Jun 2026 (0y) | ||
| Mark Anthony Stevenson | Registered representative | Jun 2026 (0y) | ||
| Meredith Ann Bargfrede | Registered representative | Jun 2026 (0y) | ||
| Nicholas Joseph Ramaekers | Registered representative | Jun 2026 (0y) | ||
| Nicholas Peter Millard | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Robert Frank Grisanti | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Ronald David Williamson | Registered representative | CFP | Jun 2026 (0y) | |
| Rudy Waterfield Edelen | Registered representative | CFP | Jun 2026 (0y) | |
| Steven Hubert Williams | Registered representative | CFP | Jun 2026 (0y) | |
| Cameron Blackwood | Registered representative | Jun 2026 (0y) | ||
| Christopher Lamar Roupp | Registered representative | Jun 2026 (0y) | ||
| David Anthony Stowers | Registered representative | Jun 2026 (0y) | ||
| Douglas Alan Godfrey | Registered representative | Jun 2026 (0y) | ||
| Jeffrey Thomas Shepherd Lipschultz | Registered representative | Jun 2026 (0y) | ||
| Jonathon Rogers | Registered representative | Jun 2026 (0y) | ||
| Kevin Patrick Oneill | Registered representative | Jun 2026 (0y) | ||
| Kristina Cantore | Registered representative | Jun 2026 (0y) | ||
| Major Harold Brannen | Registered representative | Jun 2026 (0y) | ||
| Margarita Virginia Duran Espino | Registered representative | Jun 2026 (0y) | ||
| Maurilio Ballines | Registered representative | Jun 2026 (0y) | ||
| Quinn Patrick Jansen | Registered representative | Jun 2026 (0y) | ||
| Sandra Summerlin Downing | Registered representative | Jun 2026 (0y) | ||
| Samantha Ultreras | Registered representative | Jun 2026 (0y) | ||
| Aiden Scott Murphy | Registered representative | Jun 2026 (0y) | ||
| Bassem Samir Moez | Registered representative | Jun 2026 (0y) | ||
| Evan Baylor Johnson | Registered representative | Jun 2026 (0y) | ||
| Hudson Murphy | Registered representative | Jun 2026 (0y) | ||
| Jaclyn Elaine Madrid Mercer | Registered representative | CFP | Jun 2026 (0y) | |
| Jaime Galvan | Registered representative | CFP | Jun 2026 (0y) | |
| James E Darden | Registered representative | Jun 2026 (0y) | ||
| Jean Pierre Fernandez | Registered representative | Jun 2026 (0y) | ||
| Jeffrey Dale Cummins | Registered representative | CFP | Jun 2026 (0y) | |
| Jordan M Halloran | Registered representative | Jun 2026 (0y) | ||
| Joseph Tyler Bared | Registered representative | Jun 2026 (0y) | ||
| Julie Christine Kearney | Registered representative | Jun 2026 (0y) | ||
| Justin Topper | Registered representative | Jun 2026 (0y) | ||
| Jenny Ngun Chin Sang | Registered representative | Jun 2026 (0y) | ||
| Jonathan Douglas Bomar | Registered representative | CFP | Jun 2026 (0y) | |
| Jonathan Horacio Cabrera | Registered representative | Jun 2026 (0y) | ||
| Jose Francisco Castro | Registered representative | Jun 2026 (0y) | ||
| Landon James Vaughan | Registered representative | Jun 2026 (0y) | ||
| Matthew Paul Beck | Registered representative | CFP | Jun 2026 (0y) | |
| Maggie Yi Yang | Registered representative | Jun 2026 (0y) | ||
| Matthew Dominick Pusateri | Registered representative | Jun 2026 (0y) | ||
| Matthew Jared Galvan | Registered representative | Jun 2026 (0y) | ||
| Randy Glynn Black | Registered representative | CFP | Jun 2026 (0y) | |
| Ryan Christopher Roland | Registered representative | Jun 2026 (0y) | ||
| Stephen Michael Luna | Registered representative | Jun 2026 (0y) | ||
| Steven Deandre Mcclatchey | Registered representative | Jun 2026 (0y) | ||
| Salvatore Spinnato | Registered representative | CFA | Jun 2026 (0y) | |
| Sunny Patel | Registered representative | CFP CFA | Jun 2026 (0y) | |
| Truman Graves Blocker | Registered representative | CFP | Jun 2026 (0y) | |
| William Richard Geiler | Registered representative | CFP | Jun 2026 (0y) | |
| Weston Poulos | Registered representative | CFP | Jun 2026 (0y) | |
| Adam Christopher Noone | Registered representative | Jun 2026 (0y) | ||
| Alexander Stringer | Registered representative | Jun 2026 (0y) | ||
| Anthony De Stefani | Registered representative | Jun 2026 (0y) | ||
| Jessica Sharkey Paredes | Registered representative | Jun 2026 (0y) | ||
| Paul Joseph Grande | Registered representative | Jun 2026 (0y) | ||
| Robert P Huntington | Registered representative | CFP | Jun 2026 (0y) | |
| Samuel Andrew Gebhardt | Registered representative | Jun 2026 (0y) | ||
| Valerie Nguyen Tu | Registered representative | CFP | Jun 2026 (0y) | |
| Zachary John Catterlin | Registered representative | Jun 2026 (0y) | ||
| Zachary Martin Sprinkle | Registered representative | Jun 2026 (0y) | ||
| Alexander Robert Nuno | Registered representative | Jun 2026 (0y) | ||
| Carolyn Lucy Smith Lo Giudice | Registered representative | Jun 2026 (0y) | ||
| Gabriel Nelson | Registered representative | Jun 2026 (0y) | ||
| Jackie Kyle Curtis | Registered representative | Jun 2026 (0y) | ||
| Jess Cole Law | Registered representative | Jun 2026 (0y) | ||
| Kailey Ann Miles | Registered representative | Jun 2026 (0y) | ||
| Theresa Marie Bruce | Registered representative | Jun 2026 (0y) | ||
| Blaise D Jay | Registered representative | Jun 2026 (0y) | ||
| Anne Schimmel Beck | Registered representative | CFP | Jun 2026 (0y) | |
| Ashley Waters | Registered representative | Jun 2026 (0y) | ||
| Cole Burgess Lewis | Registered representative | Jun 2026 (0y) | ||
| Christopher Millar | Registered representative | Jun 2026 (0y) | ||
| Christopher Pfuhl | Registered representative | Jun 2026 (0y) | ||
| Fernando D Arroyo | Registered representative | Jun 2026 (0y) | ||
| John Randall Holmes | Registered representative | Jun 2026 (0y) | ||
| Julie Christine Valenzuela | Registered representative | Jun 2026 (0y) | ||
| Jeffrey Wayne Vernon | Registered representative | Jun 2026 (0y) | ||
| Jonathan Kwok | Registered representative | Jun 2026 (0y) | ||
| Matthew Clay Smith | Registered representative | Jun 2026 (0y) | ||
| Michael Benjamin Liebson | Registered representative | Jun 2026 (0y) | ||
| Melissa Elizabeth Southwell | Registered representative | Jun 2026 (0y) | ||
| Olivia Kathryn Lundstrom | Registered representative | Jun 2026 (0y) | ||
| Philip Tse | Registered representative | Jun 2026 (0y) | ||
| Randal Boggs Smith | Registered representative | Jun 2026 (0y) | ||
| Richard Charles Brusky | Registered representative | Jun 2026 (0y) | ||
| Stewart Jay Weissman | Registered representative | Jun 2026 (0y) | ||
| Barbara Lynn Wipf | Registered representative | CFA | Jun 2026 (0y) | |
| Christopher D Berris | Registered representative | Jun 2026 (0y) | ||
| Daniel John Zacharias | Registered representative | Jun 2026 (0y) | ||
| Daniel Stephen Remigino | Registered representative | Jun 2026 (0y) | ||
| David M Zane | Registered representative | Jun 2026 (0y) | ||
| Dimitri Hobbs | Registered representative | Jun 2026 (0y) | ||
| Jarott Christian Jaskolka | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Joshua Wessels | Registered representative | Jun 2026 (0y) | ||
| Kristine Krahn | Registered representative | Jun 2026 (0y) | ||
| Malcolm Jews | Registered representative | CFP | Jun 2026 (0y) | |
| Miles Kazuhisa Nagato | Registered representative | Jun 2026 (0y) | ||
| Rachael Marie Wilkins | Registered representative | Jun 2026 (0y) | ||
| Steven Lane Webb | Registered representative | Jun 2026 (0y) | ||
| Thomas Joseph Sjonell | Registered representative | Jun 2026 (0y) | ||
| Zecheng Ye | Registered representative | Jun 2026 (0y) | ||
| Gina Marie Bert Zatto | Registered representative | Jun 2026 (0y) | ||
| Gregory Carleton Macko | Registered representative | Jun 2026 (0y) | ||
| Guy S Lamb | Registered representative | Jun 2026 (0y) | ||
| Jazlee Rose Cossio | Registered representative | Jun 2026 (0y) | ||
| Kevin Michael Stuart | Registered representative | Jun 2026 (0y) | ||
| Kirk Thomas Thode | Registered representative | Jun 2026 (0y) | ||
| Michael John Sweeney | Registered representative | Jun 2026 (0y) | ||
| Mitchel J Smith | Registered representative | Jun 2026 (0y) | ||
| Ryan Henry Wilker | Registered representative | Jun 2026 (0y) | ||
| Anthony Joseph Ferlito | Registered representative | Jun 2026 (0y) | ||
| Chesley Ardis Davidson | Registered representative | Jun 2026 (0y) | ||
| Coleman Cox | Registered representative | Jun 2026 (0y) | ||
| Corrine Elizabeth Novak | Registered representative | CFP | Jun 2026 (0y) | |
| Esfandiar Zartoshty | Registered representative | Jun 2026 (0y) | ||
| James Meier | Registered representative | Jun 2026 (0y) | ||
| Julian B Gurule | Registered representative | Jun 2026 (0y) | ||
| Sean Elwood Hagerman | Registered representative | CFP | Jun 2026 (0y) | |
| Andrew John Koma | Registered representative | Jun 2026 (0y) | ||
| Ashley G Pearson | Registered representative | Jun 2026 (0y) | ||
| Brendynn John Kelly | Registered representative | Jun 2026 (0y) | ||
| Brian Richard Lubel | Registered representative | CFP Chartered Financial Consultant | Jun 2026 (0y) | |
| Caleb John Sanders | Registered representative | Jun 2026 (0y) | ||
| Dane Brandon Crick | Registered representative | Jun 2026 (0y) | ||
| John C Ericson | Registered representative | Jun 2026 (0y) | ||
| Kevin Daniels | Registered representative | Jun 2026 (0y) | ||
| Lisa Deborah Simon | Registered representative | Jun 2026 (0y) | ||
| Martin Nadeau | Registered representative | CFP | Jun 2026 (0y) | |
| Nicholas Charles Gomez | Registered representative | Jun 2026 (0y) | ||
| Scott Allan Kearns | Registered representative | Jun 2026 (0y) | ||
| Zachary L Daniels | Registered representative | Jun 2026 (0y) | ||
| Adam Le Win | Registered representative | Jun 2026 (0y) | ||
| Andre M Triplett | Registered representative | Jun 2026 (0y) | ||
| Andrew Burton Moore | Registered representative | Jun 2026 (0y) | ||
| Avery Hsu | Registered representative | Jun 2026 (0y) | ||
| Bruce Sanford Roby | Registered representative | Jun 2026 (0y) | ||
| Christopher Vanlandingham | Registered representative | Jun 2026 (0y) | ||
| Chad Michael Wright | Registered representative | Jun 2026 (0y) | ||
| Garrett Elliott Jackson | Registered representative | Jun 2026 (0y) | ||
| Giancarla Marie Ferrara | Registered representative | Jun 2026 (0y) | ||
| John Gary Hamilton | Registered representative | Jun 2026 (0y) | ||
| Jonathan James Harris | Registered representative | Jun 2026 (0y) | ||
| Judy Busbey | Registered representative | Jun 2026 (0y) | ||
| Jared Bergeron | Registered representative | Jun 2026 (0y) | ||
| Jason P O Reilly | Registered representative | Jun 2026 (0y) | ||
| Jonathan Michael Lerche | Registered representative | Jun 2026 (0y) | ||
| Joseph Vincent Marro | Registered representative | Jun 2026 (0y) | ||
| Joshua Columbus Weldon Groce | Registered representative | Jun 2026 (0y) | ||
| Kathleen Kinto | Registered representative | Jun 2026 (0y) | ||
| Kylee J Harrison | Registered representative | Jun 2026 (0y) | ||
| Michael G Costa | Registered representative | Jun 2026 (0y) | ||
| Matthew Allan Potter | Registered representative | Jun 2026 (0y) | ||
| Riley Connor | Registered representative | Jun 2026 (0y) | ||
| Seth Philip Gansman | Registered representative | Jun 2026 (0y) | ||
| Victoria Wildhaber | Registered representative | CFP | Jun 2026 (0y) | |
| Vincent Angelo Di Geronimo | Registered representative | Jun 2026 (0y) | ||
| Alona Komar | Registered representative | Jun 2026 (0y) | ||
| Brian J Bizjack | Registered representative | Jun 2026 (0y) | ||
| Griffin L Smith | Registered representative | Jun 2026 (0y) | ||
| John Philip Bizjack | Registered representative | Jun 2026 (0y) | ||
| James Meyer | Registered representative | Jun 2026 (0y) | ||
| Jason Vesely | Registered representative | Jun 2026 (0y) | ||
| Keith Erik Heslin | Registered representative | Jun 2026 (0y) | ||
| Kevin Patrick Sweeney | Registered representative | Jun 2026 (0y) | ||
| Laurie L Tinnell | Registered representative | CFP | Jun 2026 (0y) | |
| Michael Hullinger | Registered representative | Jun 2026 (0y) | ||
| Neil A. D. Bonneson Bruce | Registered representative | Jun 2026 (0y) | ||
| Nathaniel Dostal | Registered representative | Jun 2026 (0y) | ||
| Ryan Thomas Moseley | Registered representative | CFA | Jun 2026 (0y) | |
| Susan Shepard Moseley | Registered representative | Jun 2026 (0y) | ||
| Suzette Tejeda | Registered representative | Jun 2026 (0y) | ||
| Tyler Wofford | Registered representative | Jun 2026 (0y) | ||
| Aaron C Blaine | Registered representative | Jun 2026 (0y) | ||
| Cameron Kelly Sippel | Registered representative | Jun 2026 (0y) | ||
| Chad Jacob Kuehl | Registered representative | Jun 2026 (0y) | ||
| Cameron Spencer Mills | Registered representative | Jun 2026 (0y) | ||
| Christina Ostran Mehltretter | Registered representative | Jun 2026 (0y) | ||
| Christopher G Pfau | Registered representative | Jun 2026 (0y) | ||
| David Riebe | Registered representative | Jun 2026 (0y) | ||
| Drew Jacob Shealy | Registered representative | CFP | Jun 2026 (0y) | |
| Daniel Paul Boehm | Registered representative | Jun 2026 (0y) | ||
| Joseph Fox | Registered representative | Jun 2026 (0y) | ||
| Nathan Channell | Registered representative | Jun 2026 (0y) | ||
| Parker D Westerman | Registered representative | Jun 2026 (0y) | ||
| Peter Currie | Registered representative | Jun 2026 (0y) | ||
| Richard Lance High | Registered representative | Jun 2026 (0y) | ||
| Tuan A Huynh | Registered representative | Jun 2026 (0y) | ||
| Vasilios Ageletopoulos | Registered representative | Jun 2026 (0y) | ||
| William David Richards | Registered representative | Jun 2026 (0y) | ||
| Anthony Peter Junjulas | Registered representative | Jun 2026 (0y) | ||
| Adrian Little | Registered representative | Jun 2026 (0y) | ||
| Drew Allen Donohoe | Registered representative | Jun 2026 (0y) | ||
| Derrick Lee Lorenzen | Registered representative | Jun 2026 (0y) | ||
| Dwight Wagaman | Registered representative | Jun 2026 (0y) | ||
| Eladio Arturo Santiago | Registered representative | Jun 2026 (0y) | ||
| Jason Bertino | Registered representative | Jun 2026 (0y) | ||
| Kathryn Gates | Registered representative | Jun 2026 (0y) | ||
| Lauralea Dawn Cobb | Registered representative | Jun 2026 (0y) | ||
| Ethan Tyler Cole | Registered representative | Jun 2026 (0y) | ||
| Angela Marie Karlen | Registered representative | Jun 2026 (0y) | ||
| Alan Feutz | Registered representative | CFP | Jun 2026 (0y) | |
| Ashley Lauren Mleczko | Registered representative | Jun 2026 (0y) | ||
| Benjamin James Maas | Registered representative | Jun 2026 (0y) | ||
| Brian Couzens | Registered representative | Jun 2026 (0y) | ||
| Carissa Lynn Donath | Registered representative | Jun 2026 (0y) | ||
| Chad Alan Thomas Killam | Registered representative | Jun 2026 (0y) | ||
| David John Matheson | Registered representative | Jun 2026 (0y) | ||
| Eric William Loughnane | Registered representative | Jun 2026 (0y) | ||
| Ericka Zettel Schaefer Hanley | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| George Gomez | Registered representative | Jun 2026 (0y) | ||
| Hannah C Held | Registered representative | Jun 2026 (0y) | ||
| Jake Dakota Mckinnie | Registered representative | CFP | Jun 2026 (0y) | |
| Jacob Miller | Registered representative | Jun 2026 (0y) | ||
| Joseph Cataldi | Registered representative | CFP | Jun 2026 (0y) | |
| Kalli Marie Cuny | Registered representative | Jun 2026 (0y) | ||
| Luke H Heinen | Registered representative | Jun 2026 (0y) | ||
| Matt Lemmond | Registered representative | CFP | Jun 2026 (0y) | |
| Ryan Inouye | Registered representative | Jun 2026 (0y) | ||
| Steven Rex Cook | Registered representative | Jun 2026 (0y) | ||
| Belinda M Dahl | Registered representative | Jun 2026 (0y) | ||
| Brian Rissman | Registered representative | Jun 2026 (0y) | ||
| Blake A Davidson | Registered representative | Jun 2026 (0y) | ||
| Bradley John Geib | Registered representative | Jun 2026 (0y) | ||
| Cate N Harrell | Registered representative | Jun 2026 (0y) | ||
| Chun Bai | Registered representative | Jun 2026 (0y) | ||
| David Michael Logsdon | Registered representative | Jun 2026 (0y) | ||
| Davis Bottemiller | Registered representative | Jun 2026 (0y) | ||
| Donald Allyn Harrell | Registered representative | CFP | Jun 2026 (0y) | |
| Erin M Schmidt | Registered representative | Jun 2026 (0y) | ||
| Ethan Michael Vineyard Martino | Registered representative | Jun 2026 (0y) | ||
| Grant Henry Robert Denniston | Registered representative | Jun 2026 (0y) | ||
| Haylee F Ahnen | Registered representative | Jun 2026 (0y) | ||
| Hank Hargraves | Registered representative | Jun 2026 (0y) | ||
| Michelle Lynn Lauder | Registered representative | CFP | Jun 2026 (0y) | |
| Matthew John Bohli | Registered representative | Jun 2026 (0y) | ||
| Shea Russell Fisler | Registered representative | Jun 2026 (0y) | ||
| Thomas Muscarella | Registered representative | Jun 2026 (0y) | ||
| Thomas Cahill | Registered representative | Jun 2026 (0y) | ||
| Valor C Ahn | Registered representative | Jun 2026 (0y) | ||
| Wayne Earle Mccormick | Registered representative | CFP Chartered Financial Consultant | Jun 2026 (0y) | |
| William Hudson Brown | Registered representative | Jun 2026 (0y) | ||
| Zachary Burton Seelbach | Registered representative | Jun 2026 (0y) | ||
| Clare E Swindell | Registered representative | Jun 2026 (0y) | ||
| Dina L Villalobos | Registered representative | Jun 2026 (0y) | ||
| Derek Sall | Registered representative | Jun 2026 (0y) | ||
| Jeffery Wayne Kesting | Registered representative | Jun 2026 (0y) | ||
| Jahkelle Elaun Jones | Registered representative | Jun 2026 (0y) | ||
| Kevin M Boisselle | Registered representative | Jun 2026 (0y) | ||
| Lauren Rachel Nohelty | Registered representative | Jun 2026 (0y) | ||
| Mark Stephen Buckman | Registered representative | Jun 2026 (0y) | ||
| Monica Nicole Clevenger | Registered representative | Jun 2026 (0y) | ||
| Michael Clevenger | Registered representative | Jun 2026 (0y) | ||
| Stephen Perry Clevenger | Registered representative | CFP | Jun 2026 (0y) | |
| Steven Michael Cellen | Registered representative | Jun 2026 (0y) | ||
| Scott Lieberman | Registered representative | Jun 2026 (0y) | ||
| Sonia E. Olivo | Registered representative | Jun 2026 (0y) | ||
| Taylor Odom Sullivan | Registered representative | Jun 2026 (0y) | ||
| Vincent Charles Baron | Registered representative | Jun 2026 (0y) | ||
| Anthony George Brown | Registered representative | Jun 2026 (0y) | ||
| Aljurea Ruth Pearl Wright | Registered representative | Jun 2026 (0y) | ||
| April Dwiggins | Registered representative | Jun 2026 (0y) | ||
| Austin Troy Green | Registered representative | Jun 2026 (0y) | ||
| Caleb C Duckworth | Registered representative | CFP | Jun 2026 (0y) | |
| Dawn Eisele Parks | Registered representative | CFP | Jun 2026 (0y) | |
| Randy Joseph Hamel | Registered representative | Jun 2026 (0y) | ||
| Ashish Ashok Gandhi | Registered representative | Jun 2026 (0y) | ||
| Alexander Michael Reese | Registered representative | Jun 2026 (0y) | ||
| Chad Allen Bell | Registered representative | CFP | Jun 2026 (0y) | |
| Dorian K Piekarz | Registered representative | Jun 2026 (0y) | ||
| Eric M Storts | Registered representative | Jun 2026 (0y) | ||
| Harrison Douglas Gardner | Registered representative | Jun 2026 (0y) | ||
| Ingrid Dikmen | Registered representative | Jun 2026 (0y) | ||
| Jessica Marie Istchenko | Registered representative | Jun 2026 (0y) | ||
| Macallan Denys Dalphy | Registered representative | Jun 2026 (0y) | ||
| Nathan Valenta | Registered representative | Jun 2026 (0y) | ||
| Pina Formicola | Registered representative | Jun 2026 (0y) | ||
| Sharon Kay Baggs | Registered representative | Jun 2026 (0y) | ||
| Alexander Shcharansky | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Clay Everett Bell | Registered representative | Jun 2026 (0y) | ||
| Gregory L Schepens | Registered representative | CFP | Jun 2026 (0y) | |
| Mark Kenneth Vigil | Registered representative | Jun 2026 (0y) | ||
| Parker N Winters | Registered representative | Jun 2026 (0y) | ||
| Ronald Allan Sirt | Registered representative | Jun 2026 (0y) | ||
| Ryan Kobe Tillery | Registered representative | Jun 2026 (0y) | ||
| William Fried | Registered representative | Jun 2026 (0y) | ||
| Adam S Greenstein | Registered representative | Jun 2026 (0y) | ||
| Christopher Gallegos | Registered representative | Jun 2026 (0y) | ||
| Christopher Vaughn | Registered representative | Jun 2026 (0y) | ||
| Daniel A Dambroff | Registered representative | Jun 2026 (0y) | ||
| Gage Michael Ruddy | Registered representative | Jun 2026 (0y) | ||
| Jed Spar Goldberg | Registered representative | Jun 2026 (0y) | ||
| Naief Al Chaikh | Registered representative | Jun 2026 (0y) | ||
| Noah Milam | Registered representative | Jun 2026 (0y) | ||
| Nathan Edward Niewinski | Registered representative | Jun 2026 (0y) | ||
| Ryan Stephen Graff | Registered representative | Jun 2026 (0y) | ||
| Scott Gerald Bybee | Registered representative | Jun 2026 (0y) | ||
| Seth David Fink | Registered representative | Jun 2026 (0y) | ||
| Tanner J Hummel | Registered representative | Jun 2026 (0y) | ||
| Christopher John Fish | Registered representative | CFP | Jul 2026 (0y) | |
| Curtis William Reynolds | Registered representative | Jul 2026 (0y) | ||
| Darrell Dean Woodcock | Registered representative | CFP | Jul 2026 (0y) | |
| Deborah Katrin Kimi Gerken | Registered representative | Jul 2026 (0y) | ||
| Dylan Cambron | Registered representative | Jul 2026 (0y) | ||
| Geoffrey Ryan Lemoine | Registered representative | Jul 2026 (0y) | ||
| Harrison David May | Registered representative | Jul 2026 (0y) | ||
| Madison Frye | Registered representative | Jul 2026 (0y) | ||
| Patrick Sanford Mullins | Registered representative | Jul 2026 (0y) | ||
| Scott Thorpe Sutherland | Registered representative | Jul 2026 (0y) | ||
| Samuel Joe Sturt | Registered representative | Jul 2026 (0y) | ||
| Theresa Susan Dutridge | Registered representative | Jul 2026 (0y) | ||
| Brandon T. Whitmore | Registered representative | CFP Chartered Financial Consultant | Jul 2026 (0y) | |
| Brian Michael Therrell | Registered representative | Jul 2026 (0y) | ||
| Brett Allan Hendricksen | Registered representative | Jul 2026 (0y) | ||
| Carter Joseph Knight | Registered representative | Jul 2026 (0y) | ||
| Christopher Reed Conn | Registered representative | Jul 2026 (0y) | ||
| David Anthony Hocker | Registered representative | Jul 2026 (0y) | ||
| Gregory Caryl Dahms | Registered representative | Jul 2026 (0y) | ||
| Joseph Daniel Keimig | Registered representative | Jul 2026 (0y) | ||
| Kim David Larkin | Registered representative | Jul 2026 (0y) | ||
| Michael R. Curley | Registered representative | Jul 2026 (0y) | ||
| Robert Ruff | Registered representative | Jul 2026 (0y) | ||
| Scott Alan Ortiz | Registered representative | Jul 2026 (0y) | ||
| Thomas L. Sublewski | Registered representative | Jul 2026 (0y) | ||
| Arthur Lee Boyd | Registered representative | Jul 2026 (0y) | ||
| Bryan P Cunningham | Registered representative | Chartered Financial Consultant | Jul 2026 (0y) | |
| Carl John Labruna | Registered representative | Jul 2026 (0y) | ||
| Frederick E Treff | Registered representative | Jul 2026 (0y) | ||
| Greg James Sansum | Registered representative | Jul 2026 (0y) | ||
| Ivan G Usztics | Registered representative | Jul 2026 (0y) | ||
| Lindsey Elizabeth Derby | Registered representative | Jul 2026 (0y) | ||
| Mary Ann Wilson | Registered representative | Personal Financial Specialist | Jul 2026 (0y) | |
| Richard Joseph Curley | Registered representative | Jul 2026 (0y) | ||
| Thomas Vincent Reid | Registered representative | Jul 2026 (0y) | ||
| Zechariah Timko | Registered representative | Jul 2026 (0y) | ||
| Adan Michael Koepp | Registered representative | Jul 2026 (0y) | ||
| Cody Joseph Hotman | Registered representative | Jul 2026 (0y) | ||
| Damien Michael Cannaday | Registered representative | Jul 2026 (0y) | ||
| Danny Lee Brimhall | Registered representative | Jul 2026 (0y) | ||
| David Daniel Cohen | Registered representative | Jul 2026 (0y) | ||
| Diego A Mercado | Registered representative | Jul 2026 (0y) | ||
| Isabella Pilato | Registered representative | Jul 2026 (0y) | ||
| James Stuart Branscombe | Registered representative | Jul 2026 (0y) | ||
| Jay Robert Massow | Registered representative | CFP | Jul 2026 (0y) | |
| Jeremy Nathan Potts | Registered representative | Jul 2026 (0y) | ||
| Kelsey Layne Lahue | Registered representative | Jul 2026 (0y) | ||
| Lorri Lyn Freed | Registered representative | CFP | Jul 2026 (0y) | |
| Mason Jay Massow | Registered representative | CFP | Jul 2026 (0y) | |
| Owen D M Goldenbogen | Registered representative | Jul 2026 (0y) | ||
| Anthony Joseph Cavalcante | Registered representative | Jul 2026 (0y) | ||
| Catherine Alice Harris | Registered representative | CFP Personal Financial Specialist | Jul 2026 (0y) | |
| Christopher Alvin Theut | Registered representative | Jul 2026 (0y) | ||
| David Michael Richter | Registered representative | Jul 2026 (0y) | ||
| John David Jaicks | Registered representative | Chartered Financial Consultant | Jul 2026 (0y) | |
| Juan C Flores Rodriguez | Registered representative | Jul 2026 (0y) | ||
| Justin Scott Brown | Registered representative | Jul 2026 (0y) | ||
| Michael T Huerstel | Registered representative | Jul 2026 (0y) | ||
| Noah Allen Jedlowski | Registered representative | Jul 2026 (0y) | ||
| Renee Hefner | Registered representative | Jul 2026 (0y) | ||
| Sela Dombrower | Registered representative | Jul 2026 (0y) | ||
| Lexiss Perez Gallegos | Registered representative | Jul 2026 (0y) | ||
| Robert Bernard Gilson | Registered representative | Jul 2026 (0y) | ||
| Richard Martino | Registered representative | Jul 2026 (0y) | ||
| Timothy Alan Chauser | Registered representative | Jul 2026 (0y) | ||
| Aira Lodygowski | Registered representative | Jul 2026 (0y) | ||
| Gerardo Soriano | Registered representative | Jul 2026 (0y) | ||
| George M Nichols | Registered representative | Jul 2026 (0y) | ||
| Joshua Peter Traudt | Registered representative | Jul 2026 (0y) | ||
| Jonathan A Hill | Registered representative | Jul 2026 (0y) | ||
| Magdalena Anna Lacek | Registered representative | Jul 2026 (0y) | ||
| Marco A Rodriguez | Registered representative | Jul 2026 (0y) | ||
| Michael Joseph Kwedar | Registered representative | Jul 2026 (0y) | ||
| Peter A Susic | Registered representative | CFP CFA | Jul 2026 (0y) | |
| Charity Keller | Registered representative | Jul 2026 (0y) | ||
| John W. Brimer | Registered representative | Jul 2026 (0y) | ||
| Kristin B Moser | Registered representative | Chartered Financial Consultant | Jul 2026 (0y) | |
| Zackary Stephen Loesch | Registered representative | Jul 2026 (0y) | ||
| Christopher Blauser | Registered representative | Jul 2026 (0y) | ||
| Catherine Lyons | Registered representative | Jul 2026 (0y) | ||
| Devonte Antoine Gordon | Registered representative | Jul 2026 (0y) | ||
| John William Manzella | Registered representative | Jul 2026 (0y) | ||
| Katarzyna Kot | Registered representative | Jul 2026 (0y) | ||
| Matthew Clark Greenwalt | Registered representative | Jul 2026 (0y) | ||
| Nicholas A Johnson | Registered representative | Jul 2026 (0y) | ||
| Ross Bentley Hansen | Registered representative | CFP | Jul 2026 (0y) | |
| Samuel David Baez | Registered representative | CFP | Jul 2026 (0y) | |
| Thomas Joseph Belisari | Registered representative | CFP | Jul 2026 (0y) | |
| William Gustaf Kerwin | Registered representative | Jul 2026 (0y) | ||
| Ahmed Antonio Martinez | Registered representative | Jul 2026 (0y) | ||
| Alexander Scott Mortensen | Registered representative | Jul 2026 (0y) | ||
| Alexandra Dean Allen | Registered representative | Jul 2026 (0y) | ||
| Clifton Elliott Clark | Registered representative | Jul 2026 (0y) | ||
| Donnie A. Bell | Registered representative | Jul 2026 (0y) | ||
| Elizabeth Watts Rogers | Registered representative | Jul 2026 (0y) | ||
| Joseph Rea | Registered representative | Jul 2026 (0y) | ||
| Jeffrey Meeks | Registered representative | Jul 2026 (0y) | ||
| Matthew Steven Dohar | Registered representative | Jul 2026 (0y) | ||
| Matthew Robert Goschnick | Registered representative | Jul 2026 (0y) | ||
| Philip Andrew Lago | Registered representative | Jul 2026 (0y) | ||
| Ryan Daniel Mcdermott | Registered representative | Jul 2026 (0y) | ||
| Sara Emru | Registered representative | Jul 2026 (0y) | ||
| Thomas Anthony Gallagher | Registered representative | Jul 2026 (0y) | ||
| Todd Michael Ashworth | Registered representative | Jul 2026 (0y) | ||
| Todd William Schultz | Registered representative | Jul 2026 (0y) | ||
| Beaumont Stinnett Boyce | Registered representative | Jul 2026 (0y) | ||
| Daniel Bruce Massow | Registered representative | CFP | Jul 2026 (0y) | |
| John Andrew Swanson | Registered representative | Jul 2026 (0y) | ||
| Kelly Loyd Mcdermott | Registered representative | Jul 2026 (0y) | ||
| Kirk Cameron Jones | Registered representative | Jul 2026 (0y) | ||
| Karen Ruby Miller | Registered representative | Jul 2026 (0y) | ||
| Liam Christopher Sweet | Registered representative | Jul 2026 (0y) | ||
| Mark Joseph Zumack | Registered representative | Jul 2026 (0y) | ||
| Paul King | Registered representative | Jul 2026 (0y) | ||
| Rory Richard Peterson | Registered representative | CFP | Jul 2026 (0y) | |
| Shayna Savetsky | Registered representative | Jul 2026 (0y) | ||
| Bryce Z Hedtke | Registered representative | Jul 2026 (0y) | ||
| Cody Aaron Broadwell | Registered representative | Jul 2026 (0y) | ||
| Darren Thomas Woodmore | Registered representative | Jul 2026 (0y) | ||
| Eugene Christie Mc Vey | Registered representative | Jul 2026 (0y) | ||
| Jeremy Hunter Coppola | Registered representative | CFP | Jul 2026 (0y) | |
| Justin Adam Martin | Registered representative | Jul 2026 (0y) | ||
| Luke K Ferree | Registered representative | Jul 2026 (0y) | ||
| Summer Melody Mckellar | Registered representative | Jul 2026 (0y) | ||
| Samantha N Petter | Registered representative | Jul 2026 (0y) | ||
| Tavish Laidlaw | Registered representative | Jul 2026 (0y) | ||
| Wardia Dinkha | Registered representative | Jul 2026 (0y) | ||
| Bailey R Fawkes | Registered representative | Jul 2026 (0y) | ||
| Bryan Patrick Pacuch | Registered representative | Jul 2026 (0y) | ||
| Eric Paul Butler | Registered representative | Jul 2026 (0y) | ||
| Ethan Gephardt | Registered representative | Jul 2026 (0y) | ||
| Jack Wilkinson | Registered representative | Jul 2026 (0y) | ||
| Krystle Nicole Williams | Registered representative | Jul 2026 (0y) | ||
| Katherine Ann Flood | Registered representative | Jul 2026 (0y) | ||
| Keith Richard Young | Registered representative | Jul 2026 (0y) | ||
| Michael Charles Mills | Registered representative | Jul 2026 (0y) | ||
| Michael John Lotko | Registered representative | Jul 2026 (0y) | ||
| Olin Robert Johanssen | Registered representative | Chartered Financial Consultant | Jul 2026 (0y) | |
| Robert Eric Hoffman | Registered representative | Jul 2026 (0y) | ||
| Ross Feldman | Registered representative | Jul 2026 (0y) | ||
| Shaun Barton Pierce | Registered representative | Jul 2026 (0y) | ||
| Stacey J Clark | Registered representative | Jul 2026 (0y) | ||
| Michael Blake Graham | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Lpl Holdings, Inc. | Managing Member | Apr 1989 | A | 75% or more |
| Lpl Financial Holdings Inc. | Parent Company | Dec 2005 | B | ≈ 56.25% – 100% via Lpl Holdings, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Lpl Financial Holdings Inc.: 75% – 100% of Lpl Holdings, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Zuffa Llc 401(k) Profit Sharing Plan And Trust | Zuffa Llc | 0 | $0 | 01/01/2025 |
| Skils'kin 401(k) Plan | Skilskin | 0 | $0 | 01/01/2025 |
| U.S. Dairy Systems, Inc. 401(k) Plan | U.S. Dairy Systems, Inc. | 184 | $6.2M | 11/01/2024 |
| Kamco Supply Corporation Of Boston 401(k) Profit Sharing Plan | Kamco Supply Corporation Of Boston | 312 | $41.7M | 11/01/2024 |
| Bill Whitters Construction, Inc. 401(k) Plan | Bill Whitters Construction, Inc. | 153 | $6.2M | 10/01/2024 |
| Republic Plumbing Supply Co., Inc. 401(k) Profit Sharing Plan | Republic Plumbing Supply Co., Inc. | 116 | $20.3M | 10/01/2024 |
| Valco Instruments Restated Profit Sharing Plan Trust | Valco Instruments Company, Inc. | 333 | $47.5M | 10/01/2024 |
| Tool Gauge And Machine Works, Inc. 401(k) Profit Sharing Plan | Tool Gauge And Machine Works, Inc. | 0 | $4.5M | 10/01/2024 |
| Archer & Greiner, P.C. Cash Or Deferred Profit Sharing Plan | Archer & Greiner, P.C. | 302 | $216M | 10/01/2024 |
| Haylor Freyer & Coon Inc. Employee Stock Ownership Plan | Haylor Freyer & Coon Inc. | 0 | $0 | 09/01/2024 |
| Green Leaf, Inc. 401 K Retirement Plan | Green Leaf, Inc. | 140 | $11.0M | 08/01/2024 |
| Sioux Falls Christian Schools Association 401(k) Plan | Sioux Falls Christian Schools Association | 148 | $4.8M | 08/01/2024 |
| Panama Transfer Profit Sharing Plan | Panama Transfer | 0 | $0 | 07/01/2024 |
| Apostolic Christian Lifepoints Retirement Income Plan | Apostolic Christian Lifepoints | 327 | $12.2M | 07/01/2024 |
| Annie Wright Schools Dc Retirement Plan | Annie Wright Schools | 323 | $30.7M | 07/01/2024 |
| Mary Campbell Center 401(k) Retirement Plan | Mary Campbell Center | 147 | $9.4M | 07/01/2024 |
| Tandem Living Savings And Retirement Plan | The Mennonite Home | 564 | $24.5M | 07/01/2024 |
| Eei Pension Program | Ecumenical Enterprises, Inc. | 228 | $5.4M | 07/01/2024 |
| Legacy Traditional Schools 401(k) Plan | Legacy Traditional Schools | 1,519 | $32.5M | 07/01/2024 |
| Saint Martin's University 403(b) Plan | Saint Martins University | 412 | $33.6M | 07/01/2024 |
| Schmitty & Sons Holdings, Inc. 401(k) Plan | Schmitty & Sons Holdings, Inc. | 724 | $13.2M | 07/01/2024 |
| Homeland Center 401(k) Plan | Home For The Friendless D/B/A Homeland Center | 284 | $9.6M | 07/01/2024 |
| Fredericksburg Christian School 401(k) Plan | Fredericksburg Christian Educational Services, Inc. | 195 | $6.7M | 07/01/2024 |
| The Dr Miriam And Sheldon G Adelson Educational Institute 403(b) Erisa Plan | The Dr Miriam And Sheldon G Adelson Educational Institute | 214 | $10.4M | 07/01/2024 |
| Community Services & Employment Training, Inc. Retirement Plan | Community Services & Employment Training, Inc. | 177 | $10.7M | 07/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Foundations & charities (1)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Verano Learning Partners | Public charity | $45.5M | 06/30/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/17/2026 | 20.1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2)
as of Nov 08, 2024
Allegations: FINRA RULE 2010, NASD RULES 2110, 3010: ON DECEMBER 4, 2006, THE FIRM ENTERED INTO AN AWC RELATING TO ITS FAILURE TO REASONABLY SUPERVISE ITS VARIABLE ANNUITY EXCHANGE BUSINESS. THE FIRM HAD INADEQUATE AUTOMATED SYSTEMS AND WRITTEN PROCEDURES FOR VARIABLE ANNUITY EXCHANGES REPORTED ON THE ELECTRONIC BRANCH TRADE REPORT SYSTEM ("EBTR"). AT THE TIME THE FIRM ENTERED INTO THE AWC, THE FIRM WAS IN THE PROCESS OF UPGRADING ITS CENTRALIZED ONLINE ORDER-ENTRY SYSTEM TO SWITCH FROM THE EBTR TO THE ANNUITY ORDER ENTRY SYSTEM (AOE) SYSTEM IN ORDER TO ENHANCE THE FIRM'S OVERALL REVIEW OF VARIABLE ANNUITY EXCHANGE TRANSACTIONS. ACCORDINGLY, AS PART OF THE AWC, FINRA REQUIRED THAT THE FIRM RETAIN AN INDEPENDENT CONSULTANT TO REVIEW AND MAKE RECOMMENDATIONS REGARDING THE AOE SYSTEM AND THE FIRM'S PROCEDURES TO REASONABLY ENSURE THAT THE FIRM WAS IN COMPLIANCE WITH FEDERAL SECURITIES LAWS AND NASD RULES RELATING TO THE EXCHANGE OF VARIABLE ANNUITIES. IN MAY 2008, THE FIRM ATTESTED TO FINRA THAT IT HAD IMPLEMENTED THE ROLLOUT OF THE NEW AOE SYSTEM. WHEN THE ROLLOUT WAS COMPLETED, THE FIRM AMENDED ITS WRITTEN SUPERVISORY PROCEDURES TO MAKE THE USE OF THE AOE SYSTEM MANDATORY, WITH MINOR EXCEPTIONS, FOR ALL REGISTERED REPRESENTATIVES WHO ENGAGED IN VARIABLE ANNUITY EXCHANGE TRANSACTIONS AS OF OCTOBER 15, 2008. DESPITE THE ROLLOUT OF THE AOE SYSTEM AND THE FIRM'S ATTESTATION TO FINRA, THE FIRM FAILED TO ENFORCE THE MANDATORY USAGE OF THE AOE SYSTEM UNTIL OCTOBER 2009. AS A RESULT, DURING THE PERIOD OF OCTOBER 2008 UNTIL OCTOBER 2009, THE FIRM'S REGISTERED REPRESENTATIVES ENTERED ORDERS FOR APPROXIMATELY 15% OF THE FIRM'S VARIABLE ANNUITY EXCHANGE TRANSACTIONS USING THE EBTR SYSTEM INSTEAD OF THE AOE SYSTEM. THEREFORE, BY FAILING TO ENFORCE THE MANDATORY USE OF THE AOE SYSTEM FROM OCTOBER 2008 UNTIL OCTOBER 2009, THE FIRM FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES RELATING TO VARIABLE ANNUITY EXCHANGE TRANSACTIONS Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $175,000. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, LPL CONSENTED TO A CENSURE AND A FINE OF $175,000, WHICH WAS PAID.
Regulatory · Item 11.E(2)
as of Nov 08, 2024
Allegations: THROUGH THREE DISTINCT INVESTIGATIONS, FINRA FOUND THAT LPL FINANCIAL (1) FAILED TO ESTABLISH AND IMPLEMENT AN AML PROGRAM REASONABLY DESIGNED TO DETECT AND CAUSE THE REPORTING OF POTENTIALLY SUSPICIOUS ACTIVITY, IN VIOLATION OF FINRA RULES 3310(A) AND 2010, (2) FAILED TO AMEND FORMS U4 AND U5 VIOLATING ARTICLE V, SECTION 2 AND 3 OF FINRA'S BY-LAWS AND FINRA RULE 2010, AND (3) FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FORM U4 AND U5 REPORTING REQUIREMENTS, IN VIOLATION OF FINRA RULES 3110 AND 2010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, LPL ACCEPTED AND CONSENTED TO THE ENTRY OF FINDINGS. ADDITIONAL UNDERTAKINGS INCLUDE REVIEW (1) 696 CUSTOMER COMPLAINTS IDENTIFIED BY FINRA THAT WERE ORIGINALLY SENT TO LPL BETWEEN JANUARY 2013 AND NOVEMBER 2017, TO ACHIEVE COMPLIANCE WITH ARTICLE V, SECTIONS 2 AND 3 OF FINRA'S BY-LAWS AND FINRA RULE 2010, AND (2) THE FIRM'S SUPERVISORY SYSTEMS AND WRITTEN PROCEDURES RELATING TO REPORTING CUSTOMER COMPLAINTS AND OTHER REPORTABLE EVENTS TO ENSURE THAT THEY ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ARTICLE V, SECTIONS 2 AND 3 OF FINRA'S BY-LAWS AND FINRA RULE 2010; AND SUBMIT, WITHIN 120 CALENDAR DAYS OF THE ISSUANCE OF THIS AWC (1) A REPORT CONTAINING THE FIRM'S CONCLUSIONS FROM THE REVIEWS DESCRIBED ABOVE (A) INDICATING WHICH OF THE 696 CUSTOMER COMPLAINTS IDENTIFIED LPL WILL REPORT ON FORMS U4/U5 AND WHICH IT WILL NOT, AND FOR THOSE IT WILL NOT REPORT, PROVIDE THE FIRM'S RATIONALE FOR NOT REPORTING THEM, AND (B) IDENTIFYING ANY AND ALL CHANGES MADE TO THE FIRM'S SUPERVISORY SYSTEMS AND WRITTEN PROCEDURES RELATING TO REPORTING CUSTOMER COMPLAINTS AND OTHER REPORTABLE EVENTS AS A RESULT OF THE REVIEW, AND (2) A CERTIFICATION THAT THE FIRM'S SYSTEMS AND WRITTEN PROCEDURES REGARDING THE REVIEW AND REPORTING OF CUSTOMER COMPLAINTS AND OTHER REPORTABLE EVENTS, AS OF THE DATE OF THE CERTIFICATION, ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ARTICLE V, SECTIONS 2 AND 3 OF FINRA'S BY-LAWS AND FINRA RULE 2010. Summary: IN DETERMINING THE APPROPRIATE MONETARY SANCTION, FINRA CONSIDERED THE FIRM'S COOPERATION AND UNDERTAKING TO REMEDY ITS' VIOLATIONS. SPECIFICALLY, IN RESOLVING THIS MATTER, FINRA RECOGNIZED LPL'S EXTRAORDINARY COOPERATION IN HAVING: (1) INITIATED, ON ITS OWN, AN INVESTIGATION TO IDENTIFY THE SCOPE AND EXTENT OF ITS AML PROGRAM FAILURES REGARDING SAR FILINGS; (2) RETAINED AN OUTSIDE LAW FIRM TO CONDUCT AN EXTENSIVE INTERNAL INVESTIGATION, WHICH INCLUDED INTERVIEWING FIRM EMPLOYEES AND RE-EVALUATING REPORTING DETERMINATIONS; (3) PROMPTLY REMEDIATED CERTAIN OF THE PROBLEMS BY FILING 418 SARS THAT IT DETERMINED SHOULD HAVE BEEN FILED EARLIER, AND AGREEING TO AMEND 31 FORMS U4 AND U5 TO ADD CUSTOMER COMPLAINT INFORMATION; (4) INITIATED A REVIEW OF ITS PROCEDURES REGARDING COMPLAINT REPORTING, AML INVESTIGATIONS AND SAR REPORTING, AND A RESTRUCTURING OF ITS AML INVESTIGATIONS UNIT; AND (5) PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA IN ITS INVESTIGATION, INCLUDING PROVIDING DETAILED PRESENTATIONS CONCERNING THE RESULTS OF THE FIRM'S INTERNAL INVESTIGATIONS.
Regulatory · Item 11.E(2)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, LPL FINANCIAL LLC ("THE FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH REGULATORY OBLIGATIONS INCLUDING RECORD RETENTION, FINGERPRINTING AND SCREENING OF ASSOCIATED PERSONS, AND SUPERVISION OF CONSOLIDATED REPORTS. THE FINDINGS STATED THAT, AMONG OTHER THINGS, THE FIRM FAILED TO RETAIN ELECTRONIC RECORDS IN THE REQUIRED FORMAT, PRESERVE CERTAIN ELECTRONIC RECORDS, AND NOTIFY FINRA PRIOR TO EMPLOYING ELECTRONIC STORAGEMEDIA, IN VIOLATION OF SECTION 17(A) AND RULE 17A-4 OF THE SECURITIES EXCHANGE ACT OF 1934. THE FIRM'S FAILURE AFFECTED AT LEAST 87 MILLION RECORDS AND LED TO THE PERMANENT DELETION OF OVER 1.5 MILLION CUSTOMER COMMUNICATIONS MAINTAINED BY A THIRD-PARTY DATA VENDOR. FURTHER, THE FIRM FAILED TO SEND ACCOUNT NOTICES THAT ARE REQUIRED TO BE SENT TO CUSTOMERS AT 36-MONTH INTERVALS FOR EACH ACCOUNT IN WHICH A SUITABILITY DETERMINATION HAD BEEN MADE. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO FINGERPRINT NON-REGISTERED ASSOCIATED PERSONS AND THUS FAILED TO SCREEN THESE PERSONS FOR STATUTORY DISQUALIFICATION BASED ON CRIMINAL CONVICTIONS. THIS FAILURE AROSE FROM THE FIRM'S FAILURE TO MAINTAIN A REASONABLE SUPERVISORY SYSTEM AND PROCEDURES TO IDENTIFY AND PROPERLY SCREEN ALL PERSONS WHO BECAME ASSOCIATED WITH THE FIRM IN A NON-REGISTERED CAPACITY. THE FIRM HAS NOT CREATED OR MAINTAINED REQUIRED FINGERPRINT RECORDS FOR THE PERSONS THAT IT FAILED TO FINGERPRINT. SEPARATELY, THE FIRM PERMITTED A NON-REGISTERED ASSOCIATED PERSON, WHO WAS SUBJECT TO STATUTORY DISQUALIFICATION, TO REMAIN ASSOCIATED WITH THE FIRM. THE FIRM OBTAINED FINGERPRINTS FOR THE PERSON, SUBMITTED THEM TO FINRA FOR PROCESSING AND RECEIVED A NOTICE FROM FINRA STATING THAT THE PERSON HAD BEEN CONVICTED OF A MISDEMEANOR FOR POSSESSION OF A FORGED INSTRUMENT, AND WAS THEREFORE SUBJECT TO DISQUALIFICATION. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE CERTAIN CONSOLIDATED REPORTS. THE FIRM WAS NOT AWARE OF, AND THEREFORE FAILED TO REASONABLY SUPERVISE, CERTAIN TOOLS THAT ITS APPROVED THIRD-PARTY VENDORS PROVIDED TO THE FIRM'S REGISTERED REPRESENTATIVES TO CREATE AND DISSEMINATE CONSOLIDATED REPORTS. IN PARTICULAR, THE FIRM'S VENDORS CREATED NON-FINALIZED CONSOLIDATED REPORTS, WHICH, ALTHOUGH INTENDED FOR INTERNAL USE, COULD BE SENT TO CUSTOMERS. NONETHELESS, THE VENDORS DID NOT SEND SUCH REPORTS TO THE FIRM AND IT THEREFORE DID NOT REVIEW THEM. THE FIRM'S VENDORS ALSO ALLOWED REPRESENTATIVES AND CUSTOMERS TO DIRECTLY ACCESS CONSOLIDATED REPORTS ON THE VENDORS' WEBSITES, AND THE FIRM DID NOT RECEIVE OR REVIEW CONSOLIDATE DREPORTS THAT ITS REPRESENTATIVES DISSEMINATED IN THIS MANNER. THE FIRM ALSO FAILED TO REVIEW ASSETS THAT WERE MANUALLY ENTERED BY REPRESENTATIVES ON CONSOLIDATED REPORTS WHEN THE REPRESENTATIVES CATEGORIZED THEM AS NON-SECURITIES RELATED, EVEN WHEN THE MANUALLY ENTERED ASSETS WERE EVIDENTLY SECURITIES RELATED. A FORMER REGISTERED REPRESENTATIVE OF THE FIRM EXPLOITED THESE SUPERVISORY DEFICIENCIES IN PERPETRATING A PONZI SCHEME THROUGH WHICH HE CONVERTED AT LEAST $1,000,000 OF THE FIRM'S CUSTOMERS' MONEY. THE FORMER REPRESENTATIVE PROVIDED SOME OF HIS CUSTOMERS WITH DIRECT ACCESS TO THE WEBSITE OF ONE OF THE APPROVED THIRD-PARTY VENDORS, WHERE THEY WERE ABLE TO ACCESS CONSOLIDATED REPORTS THAT CONTAINED FICTITIOUS, MANUALLY ADDED ASSETS. THE FORMER REPRESENTATIVE ALSO DIRECTLY ACCESSED THE WEBSITE OF THE VENDOR ON AT LEAST ONE DAY. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $6,500,000 AND REQUIRED TO CONTINUE TO RETAIN A THIRD-PARTY CONSULTANT NOT UNACCEPTABLE TO FINRA, WITHIN 60 DAYS, TO CONDUCT A COMPREHENSIVE REVIEW OF ITS COMPLIANCE IN THE AREAS IDENTIFIED IN THE ACCEPTANCE, WAIVER AND CONSENT.
Regulatory · Item 11.E(2)
as of Nov 08, 2024
Allegations: THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) ALLEGED THAT LPL FINANCIAL LLC (THE FIRM) FAILED TO ESTABLISH AND MAINTAIN A SYSTEM TO SUPERVISE THE ACTIVITIES OF ITS REPRESENTATIVES THAT WAS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS, AND WITH APPLICABLE FINRA RULES, RELATED TO THE TRANSMITTAL OF CUSTOMER FUNDS BY WIRE OR CHECK TO THIRD PARTIES, RESPONDING REASONABLY TO RED FLAGS OF POTENTIAL CONVERSION AND DETECTING POSSIBLE INSTANCES OF FORGERY OR FALSIFICATION OF ELECTRONIC SIGNATURES, IN VIOLATION OF FINRA RULES 3110, 4511 AND 2010, SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT) AND EXCHANGE ACT RULE 17A-3. Status: Final Sanction Detail: PAYMENT OF THE IMPOSED FINE WAS REMITTED TO FINRA IN JULY 2023. Summary: FROM MAY 2018 TO AUGUST 2020, FINRA ALLEGED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS, AND WITH APPLICABLE FINRA RULES, RELATED TO THE TRANSMITTAL OF CUSTOMER FUNDS BY WIRE OR CHECK TO THIRD PARTIES AND RESPONDING REASONABLY TO RED FLAGS OF POTENTIAL CONVERSION BY TWO FORMER REPRESENTATIVES, IN VIOLATION OF FINRA RULES 3110 AND 2010. IN ADDITION, FROM JANUARY 2018 TO JANUARY 2022, THE FIRM FAILED TO HAVE A SUPERVISORY SYSTEM REASONABLY DESIGNED TO DETECT POSSIBLE INSTANCES OF FORGERY OR FALSIFICATION BY ITS REPRESENTATIVES RELATED TO ELECTRONIC SIGNATURES, IN VIOLATION OF FINRA RULES 3110, 4511 AND 2010, SECTION 17(A) OF THE EXCHANGE ACT" AND EXCHANGE ACT RULE 17A-3. WITHOUT ADMITTING OR DENYING THE FINDINGS AND WITHOUT ADJUDICATION OF ANY ISSUE OF LAW OR FACT, THE FIRM CONSENTED TO THE IMPOSITION OF A CENSURE, A MONETARY FINE IN THE AMOUNT OF $3,000,000, PAYMENT OF CUSTOMER RESTITUTION IN THE AMOUNT OF $100,000, PLUS INTEREST, AND AN UNDERTAKING.
Regulatory · Item 11.E(1), 11.E(2)
as of Nov 08, 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 AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE REGISTERED REPRESENTATIVES' RECOMMENDATIONS TO CUSTOMERS THAT THEY ROLLOVER 529 SAVINGS PLAN INVESTMENTS FROM ONE STATE PLAN TO ANOTHER. THE FINDINGS STATED THAT THE FIRM SOLD 529 PLANS THAT OFFERED SALES CHARGE WAIVERS OR CLASS AR SHARES WHEN A CUSTOMER HELD CLASS A SHARES IN ONE STATE-SPONSORED 529 PLAN BUT DECIDED TO ROLL OVER THE SHARES INTO ANOTHER STATE'S 529 PLAN. HOWEVER, THE FIRM DID NOT ESTABLISH AND MAINTAIN A SYSTEM TO DETERMINE THAT THE WAIVERS WERE APPLIED TO EACH ELIGIBLE TRANSACTION OR THAT ELIGIBLE CUSTOMERS RECEIVED CLASS AR SHARES. SPECIFICALLY, THE FIRM HAD NO POLICIES OR PROCEDURES TO IDENTIFY THOSE 529 PLANS THAT OFFERED ROLLOVER SALES CHARGE WAIVERS OR CLASS AR SHARES. THE FIRM FAILED TO ADEQUATELY NOTIFY AND TRAIN ITS REPRESENTATIVES REGARDING THE AVAILABILITY OF SALES CHARGE WAIVERS AND CLASS AR SHARES. LIKEWISE, THE FIRM FAILED TO ADOPT ANY CONTROLS TO DETECT INSTANCES IN WHICH IT DID NOT PROVIDE CUSTOMERS WITH AVAILABLE WAIVERS OR CLASS AR SHARES IN CONNECTION WITH ELIGIBLE ROLLOVERS. AS A RESULT, THE FIRM FAILED TO APPLY AVAILABLE SALES CHARGE WAIVERS OR RECOMMEND CLASS AR SHARES TO THOUSANDS OF TRANSACTIONS WITH AN AGGREGATE PRINCIPAL VALUE OF APPROXIMATELY $28 MILLION, WHICH RESULTED IN THE FIRM OVERCHARGING CUSTOMERS $982,354 IN FRONT-END SALES CHARGES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND ORDERED TO PAY $982,354, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. THE FIRM VOLUNTARILY SELF-REPORTED POTENTIAL ISSUES WITH ITS SUPERVISORY SYSTEM TO FINRA. ACCORDINGLY, NO MONETARY SANCTION HAS BEEN IMPOSED. Summary: ON OCTOBER 8, 2021, WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE REGISTERED REPRESENTATIVES' RECOMMENDATIONS TO CUSTOMERS THAT THEY ROLLOVER 529 SAVINGS PLAN INVESTMENTS FROM ONE STATE PLAN TO ANOTHER. AS A RESULT, THE FIRM FAILED TO APPLY AVAILABLE SALES CHARGE WAIVERS OR RECOMMEND CLASS AR SHARES TO THOUSANDS OF TRANSACTIONS WITH AN AGGREGATE PRINCIPAL VALUE OF APPROXIMATELY $28 MILLION, WHICH RESULTED IN THE FIRM OVERCHARGING CUSTOMERS $982,354 IN FRONT-END SALES CHARGES. THE FIRM WAS CENSURED AND ORDERED TO PAY $982,354, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. THE FIRM VOLUNTARILY SELF-REPORTED POTENTIAL ISSUES WITH ITS SUPERVISORY SYSTEM TO FINRA. ACCORDINGLY, NO MONETARY SANCTION HAS BEEN IMPOSED.
Regulatory · Item 11.E(1), 11.E(2)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY CALCULATE ITS CUSTOMER RESERVE REQUIREMENT AND FAILED TO MAINTAIN A SUFFICIENT CUSTOMER RESERVE. THE FINDINGS STATED THAT THE FIRM'S CUSTOMER RESERVE CALCULATIONS EXCLUDED CUSTOMER CHECKS THAT THE FIRM HAD RECEIVED BUT NOT YET PROCESSED FOR DEPOSIT. AS A RESULT, THE FIRM FAILED TO MAKE SUFFICIENT DEPOSITS IN ITS CUSTOMER RESERVE ACCOUNT, CAUSING TWO HINDSIGHT DEFICIENCIES THAT TOTALED APPROXIMATELY $162 MILLION. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE SECURITIES EXCHANGE ACT OF 1934 AND FINRA RULES CONCERNING THE CUSTOMER RESERVE REQUIREMENT. FIRST, THE FIRM'S WRITTEN PROCEDURES WERE NOT REASONABLY DESIGNED TO ENSURE THAT UNDEPOSITED CUSTOMER CHECKS WOULD BE INCLUDED IN THE FIRM'S CUSTOMER RESERVE CALCULATIONS. THE PROCEDURES FAILED TO SPECIFY HOW TO HANDLE CUSTOMER CHECKS THAT HAD BEEN RECEIVED BUT HAD NOT YET BEEN PROCESSED FOR DEPOSIT. THEY ALSO LACKED ANY INFORMATION ABOUT THE REQUIREMENT TO INCLUDE UNDEPOSITED CUSTOMER CHECKS IN THE RESERVE CALCULATION ON THE DATE THE CHECKS ARE RECEIVED. SECOND, THE FIRM'S SUPERVISION OF ITS EMPLOYEES' HANDLING OF UNDEPOSITED CUSTOMER CHECKS WAS UNREASONABLY DESIGNED TO EXCLUDE UNDEPOSITED CUSTOMER CHECKS FROM ITS CUSTOMER RESERVE CALCULATION ON THE DATE THE CHECKS WERE RECEIVED. THE BUSINESS UNIT WITHIN THE FIRM THAT RECEIVED AND PROCESSED CUSTOMER CHECKS PREPARED A DAILY REPORT THAT THE FIRM USED TO CALCULATE ITS CUSTOMER RESERVE REQUIREMENT. HOWEVER, THAT REPORT DID NOT INCLUDE CUSTOMER CHECKS THAT THE FIRM HAD RECEIVED BUT NOT YET PROCESSED FOR DEPOSIT. THE FIRM DID NOT TAKE ANY OTHER STEPS TO ENSURE THAT THOSE CHECKS WERE INCLUDED IN THE CUSTOMER RESERVE CALCULATION ON THE DATE THEY WERE RECEIVED. TWO MONTHS AFTER THE FIRM DISCOVERED THE HINDSIGHT DEFICIENCIES, IT COMMENCED STEPS TO REVISE ITS RELEVANT SUPERVISORY PROCEDURES. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO MAINTAIN ACCURATE BOOKS AND RECORDS AND FILED INACCURATE FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE (FOCUS) REPORTS. BY IMPROPERLY CALCULATING ITS CUSTOMER RESERVE REQUIREMENTS, THE FIRM CREATED AND MAINTAINED INACCURATE BOOKS AND RECORDS CONCERNING ITS CUSTOMER RESERVE. IN ADDITION, THE FIRM FILED AT LEAST 17 MONTHLY FOCUS REPORTS THAT DID NOT ACCURATELY REFLECT THE AMOUNT OF THE FIRM'S CUSTOMER RESERVE OBLIGATION. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $300,000, AND REQUIRED TO CERTIFY THAT IT HAS IMPLEMENTED SUPERVISORY SYSTEMS AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE CUSTOMER RESERVE REQUIREMENTS OF EXCHANGE ACT RULE 15C3-3. FINE PAID IN FULL ON AUGUST 21, 2022
Regulatory · Item 11.D(4)
as of Nov 08, 2024
Allegations: DURING THE PERIOD 2016 THROUGH 2019, RESPONDENT FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES RELATING TO ITS PROHIBITION ON RETAIL COMMUNICATIONS REGARDING STRUCTURED NOTES BECAUSE RESPONDENT'S E-MAIL SURVEILLANCE TOOL WAS NOT DESIGNED TO FLAG E-MAILS SENT TO MORE THAN TWENTY-FIVE INDIVIDUALS IN A THIRTY-DAY PERIOD WHEN THOSE INDIVIDUALS WERE INCLUDED ONLY BY BLIND CARBON COPY (BCC). ACCORDINGLY, A FORMER AGENT OF RESPONDENT SOLICITED SALES OF OVER $65,000,000 IN STRUCTURED NOTES USING BLAST E-MAILS TO GENERATE INTEREST IN THE PRODUCT. RESPONDENT ALSO FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES THAT SALES OF PRODUCTS BE SUITABLE, SINCE CERTAIN INVESTORS HAD LIMITED INVESTMENT EXPERIENCE AND INVESTED OVER 40% OF THEIR INVESTABLE ASSETS IN THE NOTES. Status: Final Sanction Detail: RESPONDENT UNDERTAKES AND AGREES TO OFFER RESTITUTION, INCLUDING AN OFFER TO REPURCHASE STRUCTURED NOTES THAT HAVE NOT YET MATURED, TO CERTAIN CLIENTS MUTUALLY AGREED UPON BY THE STAFF OF THE TSSB ("STAFF') AND RESPONDENT.
Regulatory · Item 11.D(4), 11.D(5)
as of Nov 08, 2024
Allegations: ON OR ABOUT SEPTEMBER 4, 2014, LPL ENTERED INTO A CONSENT AGREEMENT WITH THE OHIO DEPARTMENT OF INSURANCE REGARDING THE REPORTING OF VARIOUS ADMINISTRATIVE ACTIONS ON ITS LICENSE. PURSUANT TO THE AGREEMENT, LPL WAS REQUIRED TO PAY A CIVIL PENALTY AND ADMINISTRATIVE COSTS. LPL FAILED TO COMPLY WITH THE ORDER IN PAYING THE CIVIL PENALTY AND ADMINISTRATIVE COSTS. Status: Final Sanction Detail: LPL'S BUSINESS ENTITY INSURANCE AGENT'S LICENSE WAS REVOKED. Summary: LPL DID NOT RECEIVE THE INVOICE FOR THE $1,000 CIVIL PENALTY AND ADMINISTRATIVE COSTS. WHEN THE FIRM BECAME AWARE OF THE ORDER OF REVOCATION, THE MONETARY PENALTY WAS PAID PROMPTLY AND THE FIRM'S LICENSE WAS REINSTATED ON FEBRUARY 27, 2015. ON FEBRUARY 27, 2015, THE OHIO DEPARTMENT OF INSURANCE ISSUED AN ORDER VACATING THE PRIOR ORDER OF REVOCATION ENTERED ON FEBRUARY 13, 2015.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION COMMENCED AN ADJUDICATIVE PROCEEDING BASED ON ALLEGATIONS OF INADEQUATE SUPERVISION OF NON-TRADED REIT SALES. Status: Final Sanction Detail: PAY AN ADMINISTRATIVE FINE OF $250,000.00, THE BUREAU'S COSTS OF $250,000.00, AND A CONTRIBUTION TO THE INVESTOR EDUCATION FUND OF $250,000.00. Summary: WITHOUT ADMITTING OR DENYING THE FACTS OR ALLEGATIONS, LPL CONSENTED TO THE FINDINGS THAT LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO NEW HAMPSHIRE RESIDENTS.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE IOWA INSURANCE DIVISION (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS IOWA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN IOWA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $16,638.57 WHICH WAS REMITTED ON OR ABOUT DECEMBER 21, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO IOWA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO IOWA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $16,638.57, IOWA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE WASHINGTON DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS WASHINGTON REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN WASHINGTON RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $65,766.07 WHICH WAS REMITTED ON OR ABOUT JANUARY 12, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO WASHINGTON RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO WASHINGTON RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $65,766.07, WASHINGTON'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OFFICE OF THE KANSAS SECURITIES COMMISSIONER (OFFICE) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS KANSAS REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE OFFICE. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN KANSAS RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE OFFICE A SUM IN THE AMOUNT OF $16,182.86 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 22, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE OFFICE ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO KANSAS RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO KANSAS RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE OFFICE A CIVIL PENALTY IN THE AMOUNT OF $16,182.86. FINALLY, THE OFFICE AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: LPL CONSENTED TO THE ENTRY OF A CONSENT ORDER WITH THE INSURANCE COMMISSIONER OF THE STATE OF WASHINGTON, AFTER ITS INVESTIGATION INTO THE CONDUCT OF A NON-RESIDENT INSURANCE PRODUCER AFTER RECEIVING A COMPLAINT FROM AN INSURED ALLEGING THAT HE MISREPRESENTED THE BENEFITS AND SUITABILITY OF AN ANNUITY. MORE THAN ONE OF THE INSURANCE PRODUCERS' VIOLATIONS WERE KNOWN OR SHOULD HAVE BEEN KNOWN BY ONE OR MORE INDIVIDUALS ACTING ON BEHALF OF LPL, AND LPL NEITHER REPORTED THE VIOLATIONS NOR TOOK CORRECTIVE ACTION. THE INSURANCE COMMISSIONER LEVIED A FINE IN THE AMOUNT OF $2,000.00. Status: Final Sanction Detail: LPL PAID A FINE IN THE AMOUNT OF $2,000.00 ON OR AROUND FEBRUARY 19, 2016.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE ENFORCEMENT SECTION ALLEGES THAT LPL ADVISOR, ROGER S. ZULLO, FABRICATED THE SUITABILITY PROFILES OF NUMEROUS LPL CLIENTS, SELLING THEM SCORES OF LARGE, ILLIQUID, UNSUITABLE, HIGH COMMISSION VARIABLE ANNUITIES, AT SUBSTANTIAL UPFRONT PROFITS TO HIMSELF AND LPL, IN VIOLATION OF SECTIONS 101, 102, AND 204(A)(2)(G) OF THE ACT. THE ENFORCEMENT SECTION FURTHER ALLEGES THAT LPL FAILED IN ITS RESPONSIBILITY TO SUPERVISE ROGER S. ZULLO, IN VIOLATION OF SECTION 204(A)(2)(J). Status: Final Sanction Detail: RESTITUTION AND DISGORGEMENT TO BE DETERMINED, BASED ON RESULTS OF LPL FINANCIAL'S INVESTIGATION AND ACCOUNTING; $975,000.00 FINE.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, LPL FINANCIAL LLC ("THE FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO SEND AND CREATE RECORDS THAT IT HAD SENT TO CUSTOMERS, MORE THAN 1.6 MILLION ACCOUNT NOTICES REQUIRED UNDER RULE 17A-3(A)(17) OF THE EXCHANGE ACT. THE FIRM IS REQUIRED TO SEND THESE ACCOUNT NOTICES TO CUSTOMERS AT 36 MONTH INTERVALS FOR EACH ACCOUNT IN WHICH A SUITABILITY DETERMINATION WAS MADE. OVER A SEVEN-YEAR PERIOD, THE FIRM FAILED TO SEND OVER 25 PERCENT OF THE REQUIRED NOTICES. IN ADDITION, THE FIRM FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS IN RELATION TO THE CREATION AND DISTRIBUTION OF SUCH ACCOUNT RECORDS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $900,000.00.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE UTAH DIVISION OF SECURITIES ("DIVISION") ALLEGED LPL FINANCIAL FAILED TO COMPLY WITH THE REGULATORY REQUIREMENTS GOVERNING NETWORKING ARRANGEMENTS BETWEEN BROKER-DEALERS AND CREDIT UNIONS, APPROVE THE USE OF MISLEADING SALES AND ADVERTISING MATERIALS, AND OTHER INFORMATION PROVIDED TO CUSTOMERS AND THE PUBLIC, FAILED TO FOLLOW AND ENFORCE ITS POLICIES AND PROCEDURES, AND FAILED TO REASONABLY SUPERVISE THE BUSINESS RUN THROUGH THE CREDIT UNION. Status: Final Sanction Detail: LPL FINANCIAL NEITHER ADMITS NOR DENIES THE DIVISION'S FINDINGS AND CONCLUSIONS, BUT CONSENTS TO THE SANCTIONS IMPOSED BY THE DIVISION.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE ALABAMA SECURITIES COMMISSION (COMMISSION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) FAILED TO ESTABLISH AND MAINTAIN REASONABLE POLICIES AND PROCEDURES TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO ALABAMA RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE COMMISSION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO ALABAMA RESIDENTS IN VIOLATION OF ALABAMA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE COMMISSION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT JUNE 21, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE COMMISSION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE COMMISSION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY ALABAMA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE ARKANSAS SECURITIES DEPARTMENT (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN ARKANSAS; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO ARKANSAS RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO ARKANSAS RESIDENTS IN VIOLATION OF ARKANSAS' SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT OCTOBER 23, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY ARKANSAS STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE MISSOURI SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN MISSOURI; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO MISSOURI RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO MISSOURI RESIDENTS IN VIOLATION OF MISSOURI'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 8, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MISSOURI STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NEVADA SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN NEVADA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO NEVADA RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO NEVADA RESIDENTS IN VIOLATION OF NEVADA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 14, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY NEVADA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE VERMONT DEPARTMENT OF FINANCIAL REGULATION (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN VERMONT; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO VERMONT RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO VERMONT RESIDENTS IN VIOLATION OF VERMONT'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 20, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY VERMONT STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE ILLINOIS SECURITIES DEPARTMENT (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO ILLINOIS RESIDENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00, WHICH WAS REMITTED ON OR ABOUT DECEMBER 12, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY ILLINOIS STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE ALABAMA SECURITIES COMMISSION (COMMISSION) ALLEGED THAT DURING THE PERIOD APPROXIMATELY JANUARY 2012 TO MARCH 2016 (RELEVANT PERIOD), CERTAIN NON-TRADED REAL ESTATE INVESTMENT TRUSTS AND NON-TRADED BUSINESS DEVELOPMENT COMPANIES WERE INACCURATELY CLASSIFIED AS EQUITIES ON CERTAIN CLIENT ACCOUNT STATEMENTS IN VIOLATION OF RULE 830-X-3-.14(1)(A) OF THE ALABAMA SECURITIES COMMISSION'S ADMINISTRATIVE CODE. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE COMMISSION. LPL ALSO AGREED TO PAY THE COMMISSION A SUM IN THE AMOUNT OF $40,000.00, WHICH WAS REMITTED ON OR ABOUT DECEMBER 13, 2018. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE COMMISSION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS. FURTHERMORE, THE COMMISSION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY ALABAMA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE IDAHO DEPARTMENT OF FINANCE (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN IDAHO; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO IDAHO RESIDENTS IN VIOLATION OF IDAHO'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT JANUARY 3, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY IDAHO STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IMPROPER USE OF ELECTRONIC SIGNATURES AND FAILURE TO EXERCISE APPROPRIATE SUPERVISION OF AN LPL BRANCH OFFICE. Status: Final Sanction Detail: 250,000 FINE
Regulatory
as of Nov 08, 2024
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT"), SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), AND SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AGAINST LPL FINANCIAL LLC ("RESPONDENT" OR "LPL"). THE COMMISSION FINDS THAT THESE PROCEEDINGS ARISE OUT OF RESPONDENT'S FAILURE TO VERIFY AND RESPOND TO CONFLICTING INFORMATION WHEN IT OPENED A CUSTOMER ACCOUNT AND PROCESSED WIRE TRANSFERS AT THE REQUEST OF EUGENIO GARCIA JIMENEZ, JR. ("GARCIA"). AS ALLEGED IN THE COMMISSION'S DECEMBER 1, 2020 COMPLAINT AGAINST GARCIA, HE ACTED AS AN UNREGISTERED INVESTMENT ADVISER AND MISAPPROPRIATED $7.1 MILLION OF TAXPAYER FUNDS FROM THE MUNICIPIO AUTÓNOMO DE MAYAGÜEZ, PUERTO RICO ("THE CITY") OVER THE COURSE OF SEVEN MONTHS IN 2016. THE CITY ENTRUSTED GARCIA TO PROVIDE ADVICE AND CARRY OUT HIS PROMISED STRATEGY TO INVEST $9 MILLION OF CITY FUNDS SUCH THAT THEY HAD PRINCIPAL PROTECTION AND 8-10% RETURNS. AFTER MISAPPROPRIATING $4.1 MILLION OF THE CITY'S FUNDS THROUGH AN ACCOUNT AT BROKERAGE FIRM 1, GARCIA APPROACHED LPL IN APRIL 2016 TO OPEN AN INVESTMENT ACCOUNT. DURING ITS REVIEW BEFORE OPENING THE ACCOUNT, LPL FAILED TO COMPLY WITH ITS CUSTOMER IDENTIFICATION PROGRAM PROCEDURES AND, DESPITE VARIOUS INDIVIDUALS IN DIFFERENT DEPARTMENTS QUESTIONING THE ACCOUNT'S BENEFICIAL OWNERSHIP, SOURCE OF FUNDS, AND REASON FOR TRANSFER FROM THE BROKERAGE FIRM 1, GARCIA OPENED AN ACCOUNT CONTROLLED BY HIM AT LPL IN JUNE 2016. LPL SUBSEQUENTLY PROCESSED WIRE TRANSFERS THAT GARCIA REQUESTED. IN THE LESS THAN ONE MONTH BEFORE LPL FROZE (AND LATER LIQUIDATED) THE ACCOUNT, GARCIA WAS ABLE TO MISAPPROPRIATE AN ADDITIONAL $3.1 MILLION OF CITY FUNDS. THROUGH CERTAIN FAILURES, LPL WAS A CAUSE OF GARCIA'S VIOLATIONS OF SECURITIES ACT SECTIONS 17(A)(2) AND (3) AND ADVISERS ACT SECTION 206(2), WHICH PROHIBIT FRAUDULENT CONDUCT IN THE OFFER OR SALE OF SECURITIES AND UPON ANY CLIENT OR PROSPECTIVE INVESTMENT ADVISORY CLIENT. FURTHER, LPL WILLFULLY VIOLATED EXCHANGE ACT SECTION 17(A) AND RULE 17A-8 THEREUNDER, WHICH REQUIRE BROKER-DEALERS TO COMPLY WITH REPORTING, RECORD KEEPING AND RECORD RETENTION REQUIREMENTS IN REGULATIONS IMPLEMENTED UNDER THE BANK SECRECY ACT, INCLUDING THE CUSTOMER IDENTIFICATION PROGRAM RULE (31 C.F.R. § 1023.22, THE "CIP RULE"). Status: Final Sanction Detail: RESPONDENT IS CENSURED; ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS, AND ANY FUTURE VIOLATIONS, OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-8 THEREUNDER, SECTIONS 17(A)(2) AND (3) OF THE SECURITIES ACT, AND SECTION 206(2) OF THE ADVISERS ACT; AND SHALL PAY DISGORGEMENT OF $114,318, PREJUDGMENT INTEREST OF $26,884, AND A CIVIL MONEY PENALTY OF $750,000 TO THE COMMISSION. Summary: RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. RESPONDENT WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-8 THEREUNDER AND WAS A CAUSE OF GARCIA'S VIOLATIONS OF SECTIONS 17(A)(2) AND (3) OF THE SECURITIES ACT AND SECTION 206(2) OF THE ADVISERS ACT. ACCORDINGLY, IT IS HEREBY ORDERED THAT THE RESPONDENT CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS, AND ANY FUTURE VIOLATIONS, OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-8 THEREUNDER, SECTIONS 17(A)(2) AND (3) OF THE SECURITIES ACT, AND SECTION 206(2) OF THE ADVISERS ACT; IS CENSURED; AND SHALL PAY DISGORGEMENT OF $114,318, PREJUDGMENT INTEREST OF $26,884, AND A CIVIL MONEY PENALTY OF $750,000 TO THE COMMISSION. LPL HAS PAID $4.1M RESTITUTION AND HAVE COMPLETED EVERYTHING REQUIRED.
Regulatory
as of Nov 08, 2024
Allegations: THE SECURITIES EXCHANGE COMMISSION ("COMMISSION") FOUND THAT AT TIMES DURING THE RELEVANT PERIOD, LPL FINANCIAL LLC ("LPL") 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. LPL ALSO 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. AS A RESULT OF THIS AFOREMENTIONED CONDUCT, IT WAS DETERMINED LPL WILLFULLY VIOLATED SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. Status: Final Sanction Detail: LPL WAS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. LPL RECEIVED A CENSURE, SHALL PAY DISGORGEMENT OF $8,115,290.79 AND PREJUDGMENT INTEREST OF $1,218,225.48, AND SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER OF SETTLEMENT. Summary: LPL SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSION ACCEPTED. IN VIEW OF THE FOREGOING, THE COMMISSION DEEMED IT APPROPRIATE IN THE PUBLIC INTEREST TO IMPOSE THE SANCTIONS AGREED TO IN LPL'S OFFER. LPL SELF-REPORTED TO THE COMMISSION THE VIOLATIONS DISCUSSED IN THIS ORDER PURSUANT TO THE DIVISION OF ENFORCEMENT'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE ("SCSD INITIATIVE"). ACCORDINGLY, THE ORDER AND LPL'S OFFER ARE BASED ON THE INFORMATION LPL SELF-REPORTED.
Regulatory · Item 11.E(2)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO EXECUTE ORDERS FULLY AND PROMPTLY. THE FINDINGS STATED THAT THE FIRM TRANSMITTED TO OATS REPORTS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA. SPECIFICALLY, THE REPORTS CONTAINED INACCURATE TIMESTAMPS. ADDITIONALLY, THE FIRM FAILED TO TRANSMIT TWO REPORTABLE ORDER EVENTS (ROES) TO OATS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO SHOW THE CORRECT ORDER RECEIPT TIME ON THE MEMORANDUM. THE FINDINGS ALSO INCLUDED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF FINRA OR THE SEC. FINRA FOUND THAT THE FIRM FAILED TO REPORT S1 TRANSACTIONS IN TRACE-ELIGIBLE AGENCY DEBT SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION TO TRACE. Status: Final Sanction Detail: SEE ABOVE
Regulatory · Item 11.E(2)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ENFORCE ITS SUPERVISORY PROCEDURES FOR THE SALES OF COMPLEX NON-TRADITIONAL EXCHANGE TRADED FUNDS (ETFS), CERTAIN VARIABLE ANNUITY CONTRACTS, NON-TRADED REAL ESTATE INVESTMENT TRUSTS (REITS) AND OTHER COMPLEX PRODUCTS, AS WELL AS ITS FAILURE TO MONITOR AND REPORT TRADES AND DELIVER TO CUSTOMERS MORE THAN 14 MILLION TRADE CONFIRMATIONS. THE FINDINGS STATED THAT WITH REGARD TO NON-TRADITIONAL ETFS, THE FIRM DID NOT HAVE A SYSTEM TO MONITOR THE LENGTH OF TIME THAT CUSTOMERS HELD THESE SECURITIES IN THEIR ACCOUNTS, DID NOT ENFORCE ITS LIMITS ON THE CONCENTRATION OF THOSE PRODUCTS IN CUSTOMER ACCOUNTS, AND FAILED TO ENSURE THAT ALL OF ITS REGISTERED REPRESENTATIVES WERE ADEQUATELY TRAINED ON THE RISKS OF THE PRODUCTS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO SUPERVISE ITS SALES OF VARIABLE ANNUITIES, IN SOME INSTANCES PERMITTING SALES WITHOUT DISCLOSING SURRENDER FEES, AND IN CONNECTION WITH CERTAIN MUTUAL FUND "SWITCH" TRANSACTIONS, IT USED AN AUTOMATED SURVEILLANCE SYSTEM THAT EXCLUDED THESE TRADES FROM SUPERVISORY REVIEW. THE FIRM ALSO FAILED TO SUPERVISE NON-TRADED REITS BY, AMONG OTHER THINGS, FAILING TO IDENTIFY ACCOUNTS ELIGIBLE FOR VOLUME SALES CHARGE DISCOUNTS. FINRA FOUND THAT THE FIRM FAILED TO IMPLEMENT ADEQUATE SYSTEMS FOR THE REVIEW AND ACCURATE REPORTING OF TRADES AND FOR THE ACCURATE DELIVERY OF TRADE CONFIRMATIONS. THE FIRM FAILED TO REVIEW LOW PRICED EQUITY TRADES, CONCENTRATED POSITIONS, ACTIVELY TRADED ACCOUNTS, AND POTENTIAL FRONT RUNNING BY EMPLOYEES. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ACCURATELY REPORT TO THE OPTIONS CLEARING CORPORATION (OCC) OPTIONS DATA USING THE LARGE OPTIONS POSITIONS REPORT (LOPR) AND FAILED TO REPORT ITS CORRECT CAPACITY TO THE REAL-TIME TRANSACTION REPORTING SYSTEM (RTRS) AND TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE). THE FINDINGS ALSO INCLUDED THAT THE FIRM FURTHER FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH ITS REPORTING REQUIREMENTS FOR OPTIONS, MUNICIPAL SECURITIES, AND TRACE ELIGIBLE SECURITIES. FINRA FOUND THAT THE FIRM FAILED TO DELIVER CONTEMPORANEOUS TRADE CONFIRMATIONS AND FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, REASONABLY DESIGNED TO ENSURE DELIVERY OF CONTEMPORANEOUS TRADE CONFIRMATIONS. FINRA ALSO FOUND THAT THE FIRM'S ANTI-MONEY LAUNDERING (AML) SURVEILLANCE SYSTEM FAILED TO GENERATE ALERTS FOR EXCESSIVE ATM WITHDRAWALS AND ATM WITHDRAWALS IN FOREIGN JURISDICTIONS. IN ADDITION, FINRA DETERMINED THAT THE FIRM FAILED TO ENSURE IT PROVIDED COMPLETE AND ACCURATE INFORMATION TO FINRA AND TO FEDERAL AND STATE REGULATORS CONCERNING CERTAIN VARIABLE ANNUITY TRANSACTIONS. MOREOVER, FINRA FOUND THAT THE FIRM FAILED TO REASONABLY SUPERVISE ITS ADVERTISING AND OTHER COMMUNICATIONS, INCLUDING ITS REGISTERED REPRESENTATIVES' USE OF CONSOLIDATED REPORTS, THE CREATION OR USE OF CONSOLIDATED REPORTS, AND FAILED TO ENSURE THAT THESE REPORTS REFLECTED COMPLETE AND ACCURATE INFORMATION. FURTHERMORE, FINRA FOUND THAT THE FIRM FAILED TO COMPLY WITH CERTAIN REGISTRATION REQUIREMENTS SUCH AS VERIFYING PRIOR EMPLOYMENT OF CERTAIN OF ITS REGISTERED REPRESENTATIVES AND FAILING TO TIMELY FILE FORM U4 AMENDMENTS AND FORMS U5. THE FINDINGS ALSO STATED THAT THE FIRM HAD A FAIL TO DELIVER POSITION AT A REGISTERED CLEARING AGENCY IN AN EQUITY SECURITY RESULTING FROM A LONG SALE TRADE AND DID NOT CLOSE-OUT THE POSITION BY PURCHASING OR BORROWING SECURITIES OF LIKE KIND AND QUANTITY WITHIN THE TIME FRAME. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 204 OF REGULATION SHO. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $10,000,000. FURTHERMORE THE FIRM UNDERTAKES TO: (1) SUBMIT TO FINRA A WRITTEN PLAN OF HOW IT WILL UNDERTAKE TO CONDUCT A COMPREHENSIVE REVIEW OF THE ADEQUACY OF ITS POLICIES, SYSTEMS AND PROCEDURES (WRITTEN AND OTHERWISE) AND TRAINING RELATING TO THE CONDUCT ADDRESSED IN THIS AWC, INCLUDING THE LENGTH OF TIME THE REVIEW OF EACH PARTICULAR ISSUE IS ANTICIPATED TO TAKE, AND WILL DESCRIBE ITS ADDITIONAL COMMITMENT OF RESOURCES AND PERSONNEL TO ITS LEGAL AND COMPLIANCE FUNCTIONS, INCLUDING CONTROL AND RISK FUNCTIONS; (2) CONDUCT A COMPREHENSIVE REVIEW OF THE ADEQUACY OF THE FIRM'S POLICIES, SYSTEMS AND PROCEDURES (WRITTEN AND OTHERWISE) AND TRAINING RELATED TO THE SALE OF NON-TRADITIONAL ETFS; (3) ORDERED TO PAY RESTITUTION TO CUSTOMERS AFFECTED BY THE FIRM'S FAILURE TO REASONABLY SUPERVISE ITS RECOMMENDED SALES OF NON-TRADITIONAL ETFS AS DESCRIBED IN THIS AWC AND SUBJECT TO PARAMETERS AGREED UPON BY FINRA STAFF, IN THE AMOUNT OF $1,664,592.05 AND ADDITIONALLY, IS ORDERED TO PAY RESTITUTION TO ITS CUSTOMERS WHO PURCHASE OR PURCHASED NON-TRADITIONAL ETFS DURING THE PERIOD FROM APRIL 10, 2015 THROUGH THE DATE THAT THE FIRM ESTABLISHES SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE SUPERVISION OF NON-TRADITIONAL ETFS; AND (4) CONDUCT A REVIEW, COVERING THE TIME PERIOD OF THE SURVEILLANCE SYSTEM AML SCENARIOS IDENTIFIED IN THIS AWC, SPECIFICALLY, THE TWO ALERT-BASED SCENARIOS FOCUSED ON THE EXCESSIVE USE OF ATM WITHDRAWALS AND ATM WITHDRAWALS IN FOREIGN JURISDICTIONS.
Regulatory · Item 11.E(2)
as of Nov 08, 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 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 CUSTOMERS BY CAUSING THEM TO PAY HIGHER FEES THAN THEY WERE ACTUALLY REQUIRED TO PAY. THE FINDINGS ALSO STATED THAT THE FIRM HAS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT CUSTOMERS WHO PURCHASED MUTUAL FUND SHARES RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS. THE FIRM ALSO FAILED TO ADOPT ANY CONTROLS TO DETECT INSTANCES IN WHICH THE FIRM DID NOT PROVIDE SALES CHARGE WAIVERS TO CUSTOMERS IN CONNECTION WITH THEIR MUTUAL FUND PURCHASES. Status: Final Sanction Detail: THE FIRM WAS CENSURED, ORDERED TO PAY RESTITUTION IN THE AMOUNT OF $5.72 MILLION TO CUSTOMERS WHO PAID AN INITIAL SALES CHARGE ON THEIR MUTUAL FUND PURCHASES OR PURCHASED CLASS B OR C SHARES WHEN A CLASS A SALES CHARGE WAIVER WAS AVAILABLE, PLUS INTEREST, ORDERED TO PAY RESTITUTION TO ITS CUSTOMERS WHO PURCHASE OR PURCHASED MUTUAL FUNDS WITHOUT AN APPROPRIATE SALES CHARGE WAIVER DURING THE PERIOD JANUARY 1, 2015 THROUGH THE DATE THAT THE FIRM ESTABLISHES AND FULLY IMPLEMENTS TRAINING, SYSTEMS, AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE SUPERVISION OF MUTUAL FUND SALES WAIVERS, UNDERTAKES TO SUBMIT TO FINRA A WRITTEN REPORT DESCRIBING HOW THE FIRM HAS CORRECTED ITS SYSTEMS AND PROCEDURES (WRITTEN AND OTHERWISE) AND TRAINING TO ADDRESS THE VIOLATIONS DESCRIBED IN THIS AWC, AND WITH RESPECT TO ANY CUSTOMER THAT PURCHASED CLASS B OR C SHARES AND STILL HOLDS SUCH SHARES IN AN ACCOUNT AT THE FIRM, IT SHALL OFFER SUCH CUSTOMER THE OPTION OF CONVERTING SUCH CLASS B OR C SHARES TO CLASS A SHARES. IF AN ELIGIBLE FUND DOES NOT PERMIT CONVERSION OF CLASS B OR C SHARES TO CLASS A SHARES, THE CUSTOMER SHALL BE PROVIDED THE OPTION OF REPLACING CLASS B OR C SHARES WITH AN EQUIVALENT VALUE OF CLASS A SHARES OFFERED BY ANOTHER ELIGIBLE FUND. THE FIRM SHALL CAUSE SUCH CONVERSATION TO OCCUR AT NO EXPENSE TO THE CUSTOMER.
Regulatory · Item 11.E(2)
as of Nov 08, 2024
Allegations: DURING THE RELEVANT TIME PERIODS OF JANUARY 1, 2014 THROUGH SEPTEMBER 30, 2018, LPL FINANCIAL LLC ("FIRM") DID NOT ESTABLISH REASONABLE SYSTEMS OR PROCEDURES RELATED TO THE OBLIGATION TO TIMELY TRANSFER CONTROL OVER THE CUSTODIAL PROPERTY TO THE BENEFICIARY OF UNIFORM TRANSFERS TO MINORS ACT ("UTMA") ACCOUNTS. AS A RESULT, UTMA ACCOUNT CUSTODIANS AUTHORIZED TRANSACTIONS IN AT LEAST 5,249 UTMA ACCOUNTS HELD AT LPL IN WHICH THE BENEFICIARIES HAD REACHED THE AGE OF TRUST TERMINATION. ACCORDINGLY, THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SYSTEM, AND ESTABLISH, MAINTAIN, AND ENFORCE WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO ITS UNIFORM GIFT TO MINORS ACT AND/OR UTMA ACCOUNTS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS BY FINRA, THE FIRM SUBMITTED A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT AGREEING TO (1) A CENSURE, (2) A $300,000.00 FINE, AND (3) UNDERTAKINGS WHICH INCLUDES CERTIFICATION THE FIRM HAS COMPLETED A REVIEW OF ITS POLICIES, SYSTEMS, AND PROCEDURES REGARDING THE SUPERVISION OF CUSTODIAL AND GUARDIANSHIP ACCOUNTS ESTABLISHED FOR THE BENEFIT OF A MINOR; AND THE FIRM'S POLICIES, SYSTEMS, AND PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS, AND FINRA RULES, INCLUDING FINRA RULE 2090.
Regulatory · Item 11.E(2)
as of Nov 08, 2024
Allegations: THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) ALLEGED THAT LPL FINANCIAL LLC (THE FIRM) FAILED TO SUPERVISE THE ACTIVITIES OF ITS REPRESENTATIVES THAT WAS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS, AND WITH APPLICABLE FINRA RULES, RELATED TO TRANSACTIONS ITS REPRESENTATIVES PLACED DIRECTLY WITH PRODUCT SPONSORS (DIRECT BUSINESS TRANSACTIONS) ON BEHALF OF FIRM CUSTOMERS, IN VIOLATION OF FINRA RULES 3110, 4511 AND 2010, NASD RULE 3010(A), SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT) AND EXCHANGE ACT RULES 15I-1 AND 17A-3. THE FINDINGS STATED THAT FROM JANUARY 2012 TO AUGUST 2019, THE FIRM DID NOT HAVE A REASONABLE SYSTEM TO ENSURE DIRECT BUSINESS TRANSACTIONS APPEARED ON THE DAILY TRADE BLOTTER IN ORDER FOR THOSE TRANSACTIONS TO BE INGESTED INTO THE FIRM'S EXCEPTION REPORTS TO IDENTIFY POTENTIAL SALES PRACTICE VIOLATIONS AND THAT ITS REPRESENTATIVES COLLECTED RELEVANT INFORMATION REGARDING DIRECT BUSINESS CUSTOMERS' INVESTMENT PROFILES FOR MAKING SUITABILITY DETERMINATIONS. IN ADDITION, THE FINDINGS STATED THAT FROM FEBRUARY 2016 THROUGH JUNE 2020, THE FIRM SENT TO CERTAIN CUSTOMERS SWITCH LETTERS THAT CONTAINED INACCURATE INFORMATION ABOUT SALES CHARGES ASSOCIATED WITH SWITCHING FROM ONE SECURITY TO ANOTHER AND A CERTAIN SUPERVISORY TOOL UTILIZED IN REVIEWING THE SUITABILITY OF SWITCH TRANSACTIONS DID NOT INCLUDE SALES CHARGE INFORMATION FOR CERTAIN PRODUCTS. THE FINDINGS ALSO STATED THAT FROM MAY 2017 TO NOVEMBER 2022, AN ELECTRONIC TOOL UTILIZED BY SUPERVISORS IN THE REVIEW OF TRANSACTIONS IN LISTED BUSINESS DEVELOPMENT COMPANIES (BDCS) DID NOT REASONABLY ALERT SUPERVISORS OF POTENTIALLY OVERCONCENTRATED INVESTMENTS IN LISTED BDCS TO CERTAIN CUSTOMERS. Status: Final Sanction Detail: PAYMENT OF THE IMPOSED FINE WAS REMITTED TO FINRA IN JANUARY 2024. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS AND WITHOUT ADJUDICATION OF ANY ISSUE OF LAW OR FACT, THE FIRM CONSENTED TO THE IMPOSITION OF A CENSURE, A MONETARY FINE IN THE AMOUNT OF $5,500,000, PAYMENT OF CUSTOMER RESTITUTION IN THE AMOUNT OF $651,374.51, PLUS INTEREST, AND AN UNDERTAKING RELATED TO THE ISSUES CONTAINED IN THE AWC INVOLVING LISTED BDCS
Regulatory · Item 11.E(1), 11.E(2)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO INVESTIGATE RED FLAGS RELATED TO A REGISTERED REPRESENTATIVE'S UNDISCLOSED OUTSIDE BUSINESS ACTIVITIES (OBAS). THE FINDINGS STATED THAT THE FIRM FAILED TO REASONABLY SUPERVISE TRANSFERS OF FUNDS BY THE REPRESENTATIVE'S FIRM CUSTOMERS TO THIRD PARTIES. IN TOTAL, THE REPRESENTATIVE CAUSED FIVE FIRM CUSTOMERS TO TRANSFER OVER $650,000 TO A PURPORTED INVESTMENT ADVISORY FIRM OR TO ACCOUNTS HELD AT A THIRD-PARTY CUSTODIAN FOR WHICH THE PURPORTED INVESTMENT ADVISORY FIRM WAS THE ADVISOR, AFTER WHICH THE FUNDS WERE CONVERTED BY A THIRD PARTY. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $150,000.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: FROM AT LEAST 2009 TO 2013, LPL FINANCIAL FAILED TO ADEQUATELY MAINTAIN CERTAIN BOOKS AND RECORDS DOCUMENTING ITS VARIABLE ANNUITY EXCHANGE BUSINESS AND FAILED TO ENFORCE ITS SUPERVISORY SYSTEM AND PROCEDURES IN CONNECTION WITH THE DOCUMENTATION OF CERTAIN SALESPERSONS' VARIABLE ANNUITY EXCHANGE ACTIVITIES. LPL FINANCIAL'S CONDUCT CONSTITUTES CAUSE TO IMPOSE SANCTIONS PURSUANT TO SECTIONS 8.E.1(E) AND (Q) OF THE ILLINOIS SECURITIES LAW OF 1953, [815 ILCS 5/1 ET SEQ.,] (THE "ACT") AND VIOLATES SECTION 12.A OF THE ACT. Status: Final Sanction Detail: CONSENT ORDER
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: LPL FINANCIAL FAILED TO DETECT IMPROPER AND FRAUDULENT CODUCT ON THE PART OF DAVID LISNEK TOWARD HIS LPL CLIENTS. LPL FINANCIAL ALLOWED MR. LISNEK TO REMAIN A REGISTERED REPRESENTATIVE WHILE SEVERAL FACTS, VIEWED TOGETHER AS A PATTERN OF CONDUCT, WOULD HAVE CONSTITUTED MULTIPLE CAUTIONARY INDICATORS ("RED FLAGS") OF THE POTENTIAL FOR IMPROPER CONDUCT. Status: Final Sanction Detail: CONSENT ORDER
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: LPL CONSENTED TO THE FINDINGS THAT IT DID NOT ESTABLISH, MAINTAIN, OR ENFORCE ADEQUATE PROCEDURES TO REVIEW SENIOR-SPECIFIC TITLES FOR COMPLIANCE WITH THE COMMONWEALTH'S SENIOR DESIGNATIONS REGULATIONS ADOPTED JUNE 1, 2007. AS A RESULT, LPL ALLOWED ITS BROKER-DEALER AGENTS AND INVESTMENT ADVISER REPRESENTATIVES TO USE PROHIBITED SENIOR-SPECIFIC DESIGNATIONS. Status: Final Sanction Detail: RESPONDENT SHALL, WITHIN 5 DAYS OF THE SIGNED ORDER, RESPONDENT LPL AGREES TO PAY A FINE IN THE AMOUNT OF $250,000 TO THE COMMONWEALTH OF MASSACHUSETTS. RESPONDENT SHALL, WITHIN 15 DAYS OF THE SIGNED ORDER, REVIEW ITS WRITTEN SUPERVISORY POLICIES AND PROCEDURES WITH RESPECT TO 1) 950 MASS CODE REGS 12.204(2)(I) AND 2) 950 MASS CODE REGS 12.205(9)(C)(15). ALL WRITTEN POLICIES AND PROCEDURES MUST INCLUDE METHODS FOR ENFORCEMENT AND COMPLIANCE OVERSIGHT. RESPONDENT SHALL, WITHIN 45 DAYS OF THE SIGNED ORDER, PROVIDE A REPORT OF ITS CONCLUSIONS AND RECOMMENDATIONS WITH RESPECT TO ITEMS 1 AND 2 ABOVE. RESPONDENT SHALL, WITHIN 60 DAYS OF THE SIGNED ORDER, PROVIDE CERTIFICATION TO THE MASSACHUSETTS SECURITIES DIVISION THAT CHANGES AND/OR ENHANCEMENTS TO ITS POLICIES AND PROCEDURES HAVE BEEN IMPLEMENTED.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: LPL CONSENTED TO THE SANCTIONS AND THE ENTRY OF THE FINDINGS THAT FROM SEPTEMBER 2009 TO SEPTEMBER 2013, LPL ALLOWED ONE OF ITS REGISTERED REPRESENTATIVES TO ENGAGE IN INVESTMENT ADVISORY BUSINESS FROM AN OFFICE IN THE STATE OF FLORIDA WITHOUT BEING LAWFULLY REGISTERED IN FLORIDA. Status: Final Sanction Detail: LPL PAID AN ADMINISTRATIVE FINE IN THE AMOUNT OF $10,000.00 ON JULY 27, 2015.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE CONCLUSIONS OF LAW, LPL ENTERED INTO A CONSENT ORDER WITH THE DELAWARE INVESTOR PROTECTION UNIT AFTER THEIR INVESTIGATION INTO LPL'S USE OF LEVERAGED AND INVERSE LEVERAGED EXCHANGE-TRADED FUNDS (ETFS). LPL OFFERED LEVERAGED ETFS TO CERTAIN RETAIL CLIENTS IN DELAWARE THAT WERE UNSUITABLE, AND/OR WITHOUT ADEQUATE DISCLOSURE OF THE SPECIALIZED RISKS OF LEVERAGED ETFS, WHICH CONSTITUTES A DISHONEST OR UNETHICAL PRACTICE. LPL FAILED TO ENSURE THAT ITS FINANCIAL ADVISORS UNDERSTOOD AND EXPLAINED THE UNIQUE RISKS, FAILED TO ENFORCE ITS WARNING AND FINE SYSTEM WITH REGARD TO ITS LEVERAGED ETFS CONCENTRATION LIMITS, AND FAILED TO ADEQUATELY MONITOR AND ENSURE THE MONITORING OF CLIENT HOLDING PERIODS, ALL OF WHICH CONSTITUTE A FAILURE TO SUPERVISE. Status: Final Sanction Detail: PAY AN ADMINISTRATIVE FINE IN THE AMOUNT OF $50,000.00 AND MAKE A PAYMENT IN THE AMOUNT OF $150,000.00 TO AN ESCROW ACCOUNT TO PROVIDE RESTITUTION TO CERTAIN DELAWARE LPL CUSTOMERS.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW, LPL ENTERED INTO A CONSENT ORDER WITH THE OFFICE OF THE SECRETARY OF STATE SECURITIES DIVISION AFTER A MULTIPLE-JURISDICTION INVESTIGATION INTO LPL'S SALES TRANSACTIONS OF NON-TRADED REITS, A FORM OF ALTERNATIVE INVESTMENTS. DURING THE TIME PERIOD BEGINNING JANUARY 1, 2008 THROUGH DECEMBER 31, 2013, LPL OFFERED MULTIPLE NON-TRADED REITS THROUGH ITS BRANCH OFFICES IN NEVADA THAT WERE SOLD IN EXCESS OF THE REIT'S PROSPECTUS STANDARDS, VARIOUS STATE CONCENTRATIONS LIMITS, OR ITS OWN ALTERNATIVE INVESTMENT GUIDELINES. LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM THAT WAS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH NAC 90.321. LPL ALSO FAILED TO ENFORCE ITS WRITTEN PROCEDURES TO SUPERVISE THE ACTIVITIES OF ITS REGISTERED REPRESENTATIVES IN VIOLATION OF NAC 90.321. Status: Final Sanction Detail: PAY A CIVIL PENALTY TO THE STATE OF NEVADA IN THE AMOUNT OF $21,202.19; $19,676 FOR COSTS OF THE INVESTIGATION; AND $35,000 FOR COSTS OF THE INVESTIGATION TO NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW, LPL ENTERED INTO AN ASSURANCE OF DISCONTINUANCE WITH THE COMMONWEALTH OF MASSACHUSETTS, AFTER AN INVESTIGATION INTO LPL'S USE OF LEVERAGED AND INVERSE LEVERAGED EXCHANGE-TRADED FUNDS (ETFS). LPL OFFERED LEVERAGED ETFS TO CERTAIN RETAIL CLIENTS IN MASSACHUSETTS WITHOUT MONITORING OR SYSTEMATICALLY REVIEWING THE LENGTH OF TIME ITS CLIENTS HELD LEVERAGED ETFS. LPL PROVIDED INSUFFICIENT TRAINING MATERIALS THAT, IN PARTS, SUGGESTED THAT LEVERAGED ETFS WERE APPROPRIATE FOR CONSERVATIVE ACCOUNTS, AND IN SOME INSTANCES RECOMMENDED BUYING AND HOLDING, WITHOUT REMINDING FINANCIAL ADVISORS OF THE SPECIFIC RISKS ASSOCIATED WITH HOLDING LEVERAGED ETFS. LPL FAILED TO IDENTIFY AND EXAMINE POTENTIAL ISSUES CONCERNING THE SUITABILITY OF LEVERAGED ETF EXPOSURE FOR THOSE OF LPL'S FINANCIAL ADVISORS WHO CAUSED CLIENTS TO HOLD LEVERAGED ETFS FOR EXTENDED PERIODS OF TIME. MOREOVER, LPL DID NOT CONSISTENTLY ADHERE TO ITS POLICY OF IMPOSING FINES ON LPL FINANCIAL ADVISORS WHO EXCEEDED THIS CONCENTRATION LIMIT, SOMETIMES ISSUING MULTIPLE WARNINGS UNACCOMPANIED BY ANY SANCTIONS. Status: Final Sanction Detail: PAY A PENALTY OF $200,000.00 AND MAKE A PAYMENT OF $1,600,000.00 TO AN ESCROW ACCOUNT TO BE HELD IN TRUST FOR THE PURPOSE OF PROVIDING RESTITUTION TO CERTAIN MASSACHUSETTS LPL CUSTOMERS.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: LPL CONSENTED TO THE ALLEGATIONS THAT IT VIOLATED OHIO STATUTE 3905.22 BY FAILING TO TIMELY REPORT A REGULATORY ACTION TAKEN BY THE STATE OF NEW HAMPSHIRE DATED APRIL 6, 2015. Status: Final Sanction Detail: PAY A CIVIL PENALTY IN THE AMOUNT OF $1,800.00 AND ADMINISTRATIVE COSTS OF $200.00.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE MISSISSIPPI SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS MISSISSIPPI REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN MISSISSIPPI RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $19,253.45 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO MISSISSIPPI RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO MISSISSIPPI RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $19,253.45, MISSISSIPPI'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE OFFICE OF THE COMMISSIONER OF FINANCIAL INSTITUTIONS OF THE COMMONWEALTH OF PUERTO RICO (THE "OCFI") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS PUERTO RICO REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE OCFI. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN PUERTO RICO RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE OCFI A SUM IN THE AMOUNT OF $10,125.11 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE OCFI ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO PUERTO RICO RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO PUERTO RICO RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE OCFI A CIVIL PENALTY IN THE AMOUNT OF $10,125.11, PUERTO RICO'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE OCFI AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES (THE "DEPARTMENT") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS PENNSYLVANIA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT AGREEMENT AND ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN PENNSYLVANIA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $26,110.92 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO PENNSYLVANIA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO PENNSYLVANIA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $26,110.92, PENNSYLVANIA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE NEW MEXICO SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS NEW MEXICO REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN NEW MEXICO RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $11,528.48 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO NEW MEXICO RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO NEW MEXICO RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $11,528.48, NEW MEXICO'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE SOUTH DAKOTA DIVISION OF SECURITIES (THE "DIVISION") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS SOUTH DAKOTA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN SOUTH DAKOTA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $12,500.70 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 20, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO SOUTH DAKOTA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO SOUTH DAKOTA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $12,500.70, SOUTH DAKOTA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE INDIANA SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS INDIANA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN INDIANA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $19,041.63 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO INDIANA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO INDIANA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $19,041.63, INDIANA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE UTAH DIVISION OF SECURITIES (THE "DIVISION") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS UTAH REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE STIPULATION AND CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN UTAH RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $18,293.16 WHICH IS DUE ON OR BEFORE DECEMBER 14, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO UTAH RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO UTAH RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $18,293.16, UTAH'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE MISSOURI SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS MISSOURI REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN MISSOURI RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $38,522.75 WHICH WAS REMITTED ON OR ABOUT DECEMBER 1, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO MISSOURI RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO MISSOURI RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $38,522.75, MISSOURI'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE TEXAS STATE SECURITIES BOARD (THE "BOARD") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS TEXAS REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE BOARD. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN TEXAS RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE BOARD A SUM IN THE AMOUNT OF $110,855.07 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE BOARD ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO TEXAS RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO TEXAS RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE BOARD A CIVIL PENALTY IN THE AMOUNT OF $110,855.07 TEXAS' ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE BOARD AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE ALASKA DIVISION OF BANKING AND OF SECURITIES (THE "DIVISION") ALLEGED THAT LPL FINANCIAL LLC ("LPL") FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS ALASKA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT TO ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN ALASKA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $10,570.45 WHICH WAS REMITTED ON OR ABOUT DECEMBER 1, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (THE "RELEVANT PERIOD") REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO ALASKA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO ALASKA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $10,570.45, ALASKA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE COLORADO DIVISION OF SECURITIES (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS COLORADO REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE STIPULATION FOR CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN COLORADO RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $40,183.94 WHICH WAS REMITTED ON OR ABOUT DECEMBER 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO COLORADO RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO COLORADO RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $40,183.94, COLORADO'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION (OFFICE) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS FLORIDA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE STIPULATION AND CONSENT AGREEMENT (AGREEMENT), AND CONSENTED TO THE ENTRY OF THE AGREEMENT BY THE OFFICE. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN FLORIDA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE OFFICE A SUM IN THE AMOUNT OF $50,555.39 WHICH WAS REMITTED ON OR ABOUT DECEMBER 11, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE OFFICE ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO FLORIDA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO FLORIDA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE OFFICE A CIVIL PENALTY IN THE AMOUNT OF $50,555.39, FLORIDA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE OFFICE AND LPL AGREED THAT THE AGREEMENT WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE IDAHO DEPARTMENT OF FINANCE (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS IDAHO REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN IDAHO RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $17,738.18 WHICH WAS REMITTED ON OR ABOUT DECEMBER 11, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO IDAHO RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO IDAHO RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $17,738.18, IDAHO'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE MICHIGAN DEPARTMENT OF LICENSING AND REGULATORY AFFAIRS (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS MICHIGAN REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN MICHIGAN RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $38,133.80 WHICH WAS REMITTED ON OR ABOUT DECEMBER 29, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO MICHIGAN RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO MICHIGAN RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $38,133.80, MICHIGAN'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE MINNESOTA DEPARTMENT OF COMMERCE (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS MINNESOTA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN MINNESOTA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $41,209.74 WHICH WAS REMITTED ON OR ABOUT DECEMBER 15, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO MINNESOTA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO MINNESOTA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $41,209.74, MINNESOTA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NEBRASKA DEPARTMENT OF BANKING & FINANCE (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS NEBRASKA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN NEBRASKA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $16,736.07 WHICH WAS REMITTED ON OR ABOUT DECEMBER 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO NEBRASKA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO NEBRASKA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $16,736.07, NEBRASKA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE GEORGIA SECURITIES DIVISION (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS GEORGIA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN GEORGIA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $28,021.63 WHICH WAS REMITTED ON OR ABOUT DECEMBER 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO GEORGIA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO GEORGIA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $28,021.63, GEORGIA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS CALIFORNIA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN CALIFORNIA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $140,220.11 WHICH WAS REMITTED ON OR ABOUT JANUARY 11, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO CALIFORNIA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CALIFORNIA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $140,220.11, CALIFORNIA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE ALABAMA SECURITIES COMMISSION (COMMISSION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS ALABAMA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE COMMISSION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN ALABAMA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE COMMISSION A SUM IN THE AMOUNT OF $18,267.52 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 2, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE COMMISSION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO ALABAMA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO ALABAMA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE COMMISSION A CIVIL PENALTY IN THE AMOUNT OF $18,267.52, OF WHICH $8,267.52 REPRESENTS PARTIAL REIMBURSEMENT FOR THE COMMISSION'S COST FOR INVESTIGATING THIS MATTER. FINALLY, THE COMMISSION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NORTH DAKOTA SECURITIES DEPARTMENT (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS NORTH DAKOTA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN NORTH DAKOTA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $11,012.50 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 2, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO NORTH DAKOTA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO NORTH DAKOTA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $11,012.50, NORTH DAKOTA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN MAY 2015, THE STAFF OF THE TEXAS STATE SECURITIES BOARD INITIATED AN INVESTIGATION INTO LPL'S FINANCIAL STATEMENT REVIEWS FOR AGENTS REGISTERED WITH THE TEXAS SECURITIES COMMISSIONER. IN CERTAIN INSTANCES, DURING THE RELEVANT PERIODS OF JANUARY 2011 THROUGH SEPTEMBER 2011 AND JUNE 2014 THROUGH DECEMBER 2014, THE FINANCIAL STATEMENT REVIEWS WERE NOT CONDUCTED IN ACCORDANCE WITH RESPONDENT'S WRITTEN SUPERVISORY PROCEDURES. Status: Final Sanction Detail: LPL CONSENTED TO THE ENTRY OF THE ORDER AND AGREED TO (1) PAY AN ADMINISTRATIVE FINE IN THE AMOUNT OF $95,000.00 TO THE GENERAL FUND OF THE STATE OF TEXAS, (2) IMPLEMENT PROCEDURAL ENHANCEMENTS DESIGNED TO ACCOUNT FOR THE DOLLAR AMOUNT OF DEPOSITS FOR DEBITS AND CREDITS, EXCLUDING THOSE MADE TO THE AGENT BY LPL, AND WHETHER THE RECIPIENT OF THE PAYMENT IS AN ENTITY OR INDIVIDUAL, AND (3) FURTHER IMPLEMENT PROCEDURAL ENHANCEMENTS WHICH REQUIRE SUPPORTING DOCUMENTATION FOR CERTAIN DEPOSITS NOT MADE BY LPL TO THE AGENT. Summary: LPL HAS UNDERTAKEN A NUMBER OF ENHANCEMENTS TO ITS POLICIES AND PROCEDURES RELATING TO FINANCIAL STATEMENT REVIEWS. THE ENHANCEMENTS INCLUDED, AMONG OTHER THINGS, MANAGER ESCALATION MEETINGS, AS WELL AS CREATING AN ESCALATION REVIEW COMMITTEE, ADDITIONAL QUALITY CONTROL REVIEWS, CENTRALIZATION OF REVIEW DOCUMENTATION, AND A REQUIREMENT FOR DBA OWNERS TO KEEP AT LEAST THE MOST RECENT SIX MONTHS OF ALL DBA STATEMENTS AND CHECK COPIES ON FILE. IN ADDITION, PURSUANT TO THE UNDERTAKINGS, LPL WILL BE IMPLEMENTING FURTHER ENHANCEMENTS TO ITS PROCEDURES, FOCUSED PRIMARILY ON CREATING MONETARY THRESHOLDS THAT DEFINE ESCALATION CRITERIA AND THE REQUIREMENT, IN CERTAIN CIRCUMSTANCES, TO OBTAIN ADDITIONAL SUPPORTING DOCUMENTATION FROM THE ADVISOR. LPL RENDERED SUBSTANTIAL COOPERATION IN THE STAFF'S INVESTIGATION.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS KENTUCKY REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN KENTUCKY RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $22,841.84 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 17, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO KENTUCKY RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO KENTUCKY RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $22,841.84. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OHIO DIVISION OF SECURITIES (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS OHIO REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN OHIO RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $32,522.13 WHICH WAS REMITTED ON OR ABOUT MARCH 11, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO OHIO RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO OHIO RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $32,522.13. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE TENNESSEE SECURITIES DIVISION (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS TENNESSEE REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN TENNESSEE RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $33,714.11 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 22, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO TENNESSEE RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO TENNESSEE RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $33,714.11. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE WISCONSIN DIVISION OF SECURITIES (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS WISCONSIN REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN WISCONSIN RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $25,928.70 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 18, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO WISCONSIN RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO WISCONSIN RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $25,928.70. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE U.S. VIRGIN ISLANDS DIVISION OF BANKING AND INSURANCE (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS U.S. VIRGIN ISLANDS REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN U.S. VIRGIN ISLANDS RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $10,013.22 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 24, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO U.S. VIRGIN ISLANDS RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO U.S. VIRGIN ISLANDS RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $10,013.22. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE SOUTH CAROLINA SECURITIES COMMISSION (SECURITIES COMMISSION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS SOUTH CAROLINA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE SECURITIES COMMISSION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN SOUTH CAROLINA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE SECURITIES COMMISSION A SUM IN THE AMOUNT OF $80,000 WHICH WAS REMITTED ON OR ABOUT MARCH 21, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE SECURITIES COMMISSION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO SOUTH CAROLINA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO SOUTH CAROLINA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE SECURITIES COMMISSION A CIVIL PENALTY IN THE AMOUNT OF $80,000. FINALLY, THE SECURITIES COMMISSION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE ARKANSAS SECURITIES DEPARTMENT (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS ARKANSAS REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN ARKANSAS RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $19,347.74 WHICH WAS REMITTED ON OR ABOUT APRIL 21, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO ARKANSAS RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO ARKANSAS RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $19,347.74. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OREGON DIVISION OF FINANCIAL REGULATION (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS OREGON REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN OREGON RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $24,642.20 WHICH WAS REMITTED ON OR ABOUT APRIL 25, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO OREGON RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO OREGON RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $24,642.20. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OKLAHOMA DEPARTMENT OF SECURITIES (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS OKLAHOMA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN OKLAHOMA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $21,245.14 WHICH WAS REMITTED ON OR ABOUT MAY 6, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO OKLAHOMA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO OKLAHOMA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $21,245.14. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE ENFORCEMENT SECTION ALLEGED THAT DURING THE TIME PERIOD OF JANUARY 1, 2014 TO JUNE 30, 2016, LPL FINANCIAL LLC FAILED TO SUPERVISE ITS AGENTS WHEN IT FAILED TO REVIEW THOSE AGENTS' MISLEADING COMMUNICATIONS WITH THE PUBLIC IN CONNECTION WITH THE PURCHASE AND SALE OF AN AGENTS' BOOK OF BUSINESS. THE ENFORCEMENT SECTION ALSO ALLEGED THAT LPL FINANCIAL LLC FAILED TO SUPERVISE ITS AGENT WHEN SUCH AGENT BORROWED MONEY FROM A CLIENT AND LOST THAT MONEY IN SPECULATIVE TRADING FOR HIS OWN ACCOUNT. Status: Final Sanction Detail: $100,000 FINE PAID TO COMMONWEALTH OF MASSACHUSETTS. $217,750 RESTITUTION PAID TO CLIENT WHO LENT MONEY TO AGENT. ACCOUNTING OF INVESTMENT ADVISORY FEES AND BROKER-DEALER COMMISSIONS PENDING, ESTIMATED TO BE MORE THAN $200,000.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE WYOMING SECRETARY OF STATE COMPLIANCE DIVISION (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS WYOMING REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN WYOMING RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $12,344.55 WHICH WAS REMITTED ON OR ABOUT JULY 1, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO WYOMING RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO WYOMING RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $12,344.55. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE LOUISIANA OFFICE OF FINANCIAL INSTITUTIONS (OFFICE) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS LOUISIANA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE OFFICE. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN LOUISIANA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE OFFICE A SUM IN THE AMOUNT OF $64,363.95 WHICH WAS REMITTED ON OR ABOUT JULY 11, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE OFFICE ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO LOUISIANA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO LOUISIANA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE OFFICE A CIVIL PENALTY IN THE AMOUNT OF $64,363.95. FINALLY, THE OFFICE AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE MARYLAND SECURITIES DIVISION (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS MARYLAND REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN MARYLAND RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $28,172.31 WHICH WAS REMITTED ON OR ABOUT JULY 22, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO MARYLAND RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO MARYLAND RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $28,172.31. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS HAWAII REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN HAWAII RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $19,825.37 WHICH WAS REMITTED ON OR ABOUT AUGUST 18, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO HAWAII RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO HAWAII RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $19,825.37. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE MONTANA SECURITIES DEPARTMENT (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS MONTANA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN MONTANA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $40,509.99 WHICH WAS REMITTED ON OR ABOUT MAY 31, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO MONTANA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO MONTANA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $11,397.81 AND INVESTIGATIVE COSTS IN THE AMOUNT OF $29,112.18. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, LPL FINANCIAL LLC ("THE FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO MAINTAIN OVER 18.3 MILLION ELECTRONIC COMMUNICATIONS IN NON-ERASABLE AND NO RE-WRITABLE FORMAT, KNOWN AS WORM ("WRITE ONCE, READ MANY") FORMAT. THE FINDINGS STATED THAT THE WORM FORMAT IS INTENDED TO PREVENT THE ALTERATION OR DESTRUCTION OF BROKER DEALER RECORDS MAINTAINED ON ELECTRONIC STORAGE MEDIA. IN ADDITION, THE FIRM FAILED TO RETAIN CHECK REGISTERS IN WORM FORMAT. THE FINDINGS ALSO STATED THAT THE FIRM'S WRITTEN SUPERVISORY PROCEDURES FAILED TO HAVE AN ADEQUATE SUPERVISORY PROCESS CONCERNING WORM COMPLIANCE. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $750,000.00.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE STATE OF MAINE OFFICE OF SECURITIES (THE OFFICE) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS MAINE REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE OFFICE. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN MAINE RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE OFFICE A SUM IN THE AMOUNT OF $11,939.46 WHICH WAS REMITTED ON OR ABOUT APRIL 25, 2017. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE OFFICE ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO MAINE RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO MAINE RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE OFFICE A CIVIL PENALTY IN THE AMOUNT OF $11,939.46. FINALLY, THE OFFICE AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE VERMONT SECURITIES DIVISION (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS VERMONT REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN VERMONT RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $11,074.81 WHICH WAS REMITTED ON OR ABOUT APRIL 25, 2017. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO VERMONT RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO VERMONT RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $11,074.81. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE MASSACHUSETTS SECURITIES DIVISION ALLEGED THAT LPL FINANCIAL FAILED TO SUPERVISE FINANCIAL ADVISORS LOCATED ON CREDIT UNION PREMISES, INCLUDING THE SUPERVISION OF CERTAIN COMPENSATION AND CERTAIN ASPECTS OF DISCLOSURES RELATED TO ITS BUSINESS CONDUCTED ON THE CREDIT UNION PREMISES. Status: Final Sanction Detail: LPL CONSENTED TO CEASE AND DESIST, CENSURE, REMOVAL OF CREDIT UNION'S DBA NAME; A COMPREHENSIVE REVIEW OF THE FIRM'S POLICIES, PROCEDURES, TRAINING, AND PROCESSES RELATED TO THE ALLEGATIONS; CERTAIN UNDERTAKINGS, AND PAY A FINE IN THE AMOUNT OF $1,000,000. Summary: ON MAY 2, 2017, LPL SUBMITTED AN OFFER OF SETTLEMENT TO THE DIVISION. LPL NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATIONS OF LAW CONTAINED IN THE CONSENT ORDER RELATED TO AN ONGOING INVESTIGATION BY THE DIVISION'S REGISTRATION, INSPECTIONS, COMPLIANCE AND EXAMINATIONS SECTION DURING THE TIME PERIOD OF DECEMBER 27, 2011 TO MAY 2, 2017.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE VIRGINIA DIVISION OF SECURITIES AND RETAIL FRANCHISING (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS VIRGINIA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN VIRGINIA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $28,095.38 WHICH WAS REMITTED ON OR ABOUT APRIL 25, 2017. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO VIRGINIA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO VIRGINIA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A CIVIL PENALTY IN THE AMOUNT OF $28,095.38. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE SECRETARY OF STATE OF NORTH CAROLINA AND SECURITIES ADMINISTRATOR, ALLEGED THAT LPL FAILED TO REASONABLY SUPERVISE CHARLES FACKRELL, ONE OF ITS REGISTERED REPRESENTATIVES, WHO, UNBEKNOWNST TO LPL, OPERATED A PONZI SCHEME IN WHICH HE ENCOURAGED INDIVIDUALS TO INVEST MONEY IN FICTITIOUS ENTITIES. FACKRELL GENERALLY DIVERTED THE FUNDS FOR PERSONAL EXPENSES, ALTHOUGH SOME FUNDS WERE PAID TO INVESTORS TO PERPETUATE THE APPEARANCE OF RETURNS. AFTER LPL WAS ALERTED TO FACKRELL'S CRIMINAL AND UNAPPROVED ACTIVITIES, IT IMMEDIATELY INVESTIGATED AND TERMINATED HIM. Status: Final Sanction Detail: REIMBURSE THE SECURITIES DIVISION IN THE SUM OF $270,000 FOR INVESTIGATIVE COSTS.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE NEW JERSEY BUREAU OF SECURITIES (BUREAU) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO SUPERVISE ITS REPRESENTATIVES' SALES OF CERTAIN ALTERNATIVE INVESTMENTS TO NEW JERSEY RESIDENTS AND FAILED TO MAKE AND MAINTAIN ACCURATE BOOKS AND RECORDS RELATING TO THE SALE OF CERTAIN ALTERNATIVE INVESTMENT TRANSACTIONS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE BUREAU. LPL ALSO AGREED TO (1) REVIEW ITS SALES OF CERTAIN NON-TRADED ALTERNATIVE INVESTMENT TRANSACTIONS AND OFFER TO REPURCHASE PRODUCTS THAT WERE SOLD TO CERTAIN NEW JERSEY RESIDENTS IN VIOLATION OF LPL'S ALTERNATIVE INVESTMENT GUIDELINES AND/OR NEW JERSEY PROSPECTUS REQUIREMENTS, (2) PAY THE BUREAU A SUM IN THE AMOUNT OF $975,000 WHICH WAS REMITTED ON OR ABOUT OCTOBER 23, 2017, AND (3) REMIT $25,000 TO NEW JERSEY'S INVESTOR EDUCATION FUND. Summary: THE BUREAU ALLEGED THAT DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2015 (RELEVANT PERIOD) LPL FAILED TO ADEQUATELY SUPERVISE ITS REPRESENTATIVES' SALES OF CERTAIN ALTERNATIVE INVESTMENTS TO NEW JERSEY RESIDENTS AND FAILED TO MAKE AND MAINTAIN ACCURATE BOOKS AND RECORDS RELATING TO THE SALE OF CERTAIN ALTERNATIVE INVESTMENT TRANSACTIONS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) REVIEW ITS SALES OF CERTAIN NON-TRADED ALTERNATIVE INVESTMENT TRANSACTIONS AND OFFER TO REPURCHASE PRODUCTS THAT WERE SOLD TO NEW JERSEY RESIDENTS IN VIOLATION OF LPL'S ALTERNATIVE INVESTMENT GUIDELINES AND/OR NEW JERSEY PROSPECTUS REQUIREMENTS DURING THE RELEVANT PERIOD, AND (2) TO PAY THE BUREAU A CIVIL PENALTY OF $950,000 AND REMIT $25,000 TO NEW JERSEY'S INVESTOR EDUCATION FUND. FINALLY, THE BUREAU AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: FROM JANUARY 2010 THROUGH AT LEAST DECEMBER 2016, FINRA ALLEGED THAT LPL FINANCIAL FAILED TO REASONABLY SUPERVISE THE SALE OF CERTAIN BROKERED CERTIFICATES OF DEPOSIT ("BROKERED CDS"), WHICH THE FIRM CHARACTERIZED AS NON-SECURITY CDS BECAUSE THEY WERE FDIC INSURED INSTRUMENTS. THE FIRM ALLEGEDLY FAILED TO ENSURE THAT (1) ITS REGISTERED REPRESENTATIVES WERE TRAINED ON ALL MATERIAL RISKS AND FEATURES OF BROKERED CDS AND (2) ADEQUATELY DISCLOSE ALL MATERIAL RISKS AND FEATURES OF BROKERED CDS TO CUSTOMERS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, LPL ACCEPTED AND CONSENTED TO THE ENTRY OF FINDINGS. Summary: AS A RESULT OF THE FIRM'S ALLEGED INADEQUATE SUPERVISORY SYSTEM, FIVE CUSTOMERS OF ONE OF THE FIRM'S REGISTERED REPRESENTATIVES SUFFERED LOSSES OF APPROXIMATELY $75,000. THE FIRM SUBSEQUENTLY REMEDIATED THESE CUSTOMERS' LOSSES.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE DISTRICT OF COLUMBIA DEPARTMENT OF INSURANCE, SECURITIES AND BANKING (DEPARTMENT) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS DISTRICT OF COLUMBIA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT AGREEMENT AND ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN DISTRICT OF COLUMBIA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $10,934.13 WHICH WAS REMITTED ON OR ABOUT MARCH 28, 2018. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO DISTRICT OF COLUMBIA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO DISTRICT OF COLUMBIA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DEPARTMENT A CIVIL PENALTY IN THE AMOUNT OF $10,934.13. FINALLY, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTI-STATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NORTH CAROLINA SECURITIES DIVISION (DIVISION) ALLEGED THAT LPL FINANCIAL LLC (LPL) FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND ENFORCE ITS PROCEDURES TO SUPERVISE ITS NORTH CAROLINA REPRESENTATIVES REGARDING THE SALE OF NON-TRADED REITS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO CERTAIN NORTH CAROLINA RESIDENTS IN VIOLATION OF CONCENTRATION LIMITS OR GUIDELINES, (2) CERTAIN UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $24,342.35 WHICH WAS REMITTED ON OR ABOUT MARCH 15, 2018. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE SALES OF NON-TRADED REITS BY LPL REPRESENTATIVES DURING THE PERIOD JANUARY 1, 2008 THROUGH DECEMBER 31, 2013 (RELEVANT PERIOD) REACHED BY LPL WITH A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT DURING THE RELEVANT PERIOD LPL FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM REGARDING ITS SALES OF NON-TRADED REITS AND FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING THE SALE OF NON-TRADED REITS TO NORTH CAROLINA RESIDENTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO (1) OFFER TO REMEDIATE LOSSES FOR NON-TRADED REITS SOLD TO NORTH CAROLINA RESIDENTS IN VIOLATION OF GUIDELINES DURING THE RELEVANT PERIOD, (2) RETAIN AN INDEPENDENT CONSULTANT TO REVIEW ITS SALES OF NON-TRADED REITS DURING THE RELEVANT PERIOD, AND (3) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $24,342.35. THE SUM REPRESENTS A CIVIL PENALTY OF $2,500 PLUS $21,842.35 FOR INVESTIGATIVE COSTS. FINALLY, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE MASSACHUSETTS SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) FAILED TO ESTABLISH AND MAINTAIN REASONABLE POLICIES AND PROCEDURES TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO MASSACHUSETTS RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO MASSACHUSETTS RESIDENTS IN VIOLATION OF MASSACHUSETTS'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT JUNE 14, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MASSACHUSETTS STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE INDIANA SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN INDIANA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO INDIANA RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO INDIANA RESIDENTS IN VIOLATION OF INDIANA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT AUGUST 22, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY INDIANA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE PUERTO RICO OFFICE OF THE COMMISSIONER OF FINANCIAL INSTITUTIONS (OCFI) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN PUERTO RICO; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO PUERTO RICO RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE OCFI. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO PUERTO RICO RESIDENTS IN VIOLATION OF PUERTO RICO'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE OCFI A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT AUGUST 30, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE OCFI AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE OCFI AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY PUERTO RICO STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE LOUISIANA OFFICE OF FINANCIAL INSTITUTIONS (OFI) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN LOUISIANA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO LOUISIANA RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE OFI. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO LOUISIANA RESIDENTS IN VIOLATION OF LOUISIANA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE OFI A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 12, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE OFI AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE OFI AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY LOUISIANA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS (DFI) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN KENTUCKY; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO KENTUCKY RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DFI. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO KENTUCKY RESIDENTS IN VIOLATION OF KENTUCKY'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DFI A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 13, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DFI AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DFI AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY KENTUCKY STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE INVESTOR PROTECTION UNIT (IPU) OF THE DELAWARE DEPARTMENT OF JUSTICE ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO COMPLY WITH STATE SECURITIES REGISTRATION REQUIREMENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE IPU. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO DELAWARE RESIDENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE IPU A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 17, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE IPU AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE IPU AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY DELAWARE STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE SOUTH DAKOTA DIVISION OF INSURANCE (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN SOUTH DAKOTA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO SOUTH DAKOTA RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO SOUTH DAKOTA RESIDENTS IN VIOLATION OF SOUTH DAKOTA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 25, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTI-STATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY SOUTH DAKOTA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE SECURITIES DIVISION OF THE NEW MEXICO REGULATION AND LICENSING DEPARTMENT (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN NEW MEXICO; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO NEW MEXICO RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO NEW MEXICO RESIDENTS IN VIOLATION OF NEW MEXICO'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT OCTOBER 4, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY NEW MEXICO STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE STATE OF MICHIGAN, DEPARTMENT OF LICENSING & REGULATORY AFFAIRS, CORPORATIONS, SECURITIES & COMMERCIAL LICENSING BUREAU (BUREAU) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN MICHIGAN; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO MICHIGAN RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE BUREAU. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO MICHIGAN RESIDENTS IN VIOLATION OF MICHIGAN'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE BUREAU A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT OCTOBER 17, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE BUREAU AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE BUREAU AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MICHIGAN STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE SECURITIES DIVISION OF THE MISSISSIPPI SECRETARY OF STATE'S OFFICE (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN MISSISSIPPI; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO MISSISSIPPI RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO MISSISSIPPI RESIDENTS IN VIOLATION OF MISSISSIPPI'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT OCTOBER 17, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MISSISSIPPI STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES, BUREAU OF SECURITIES COMPLIANCE AND EXAMINATIONS (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) FAILED TO REASONABLY SUPERVISE ITS AGENTS AND EMPLOYEES REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT AGREEMENT AND ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO PENNSYLVANIA RESIDENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 13, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY PENNSYLVANIA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE STATE OF CONNECTICUT DEPARTMENT OF BANKING (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN CONNECTICUT; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO CONNECTICUT RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO CONNECTICUT RESIDENTS IN VIOLATION OF CONNECTICUT'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 14, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY CONNECTICUT STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE STATE OF FLORIDA, OFFICE OF FINANCIAL REGULATION (OFFICE) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN FLORIDA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO FLORIDA RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT AND STIPULATION AGREEMENT (AGREEMENT), AND CONSENTED TO THE ENTRY OF THE AGREEMENT BY THE OFFICE. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO FLORIDA RESIDENTS IN VIOLATION OF FLORIDA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE AGREEMENT, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE OFFICE A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 14, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE OFFICE AND LPL AGREED THAT THE AGREEMENT WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE OFFICE AND LPL AGREED THAT NOTHING IN THE AGREEMENT IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE AGREEMENT IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY FLORIDA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN CALIFORNIA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL TO CALIFORNIA RESIDENTS, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO CALIFORNIA RESIDENTS IN VIOLATION OF CALIFORNIA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT NOVEMBER 27, 2018. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY CALIFORNIA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE MISSISSIPPI SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD APPROXIMATELY JANUARY 2012 TO MARCH 2016 (RELEVANT PERIOD), CERTAIN NON-TRADED REAL ESTATE INVESTMENT TRUSTS AND NON-TRADED BUSINESS DEVELOPMENT COMPANIES WERE INACCURATELY CLASSIFIED AS EQUITIES ON CERTAIN CLIENT ACCOUNT STATEMENTS IN VIOLATION OF MISS. CODE. ANN. SECTION 75-71-411(C)(1) AND MISSISSIPPI SECURITIES ACT RULES 5.15. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $40,000.00, WHICH WAS REMITTED ON OR ABOUT DECEMBER 17, 2018. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MISSISSIPPI STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE INDIANA SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY 2013 THROUGH SEPTEMBER 2017 (RELEVANT PERIOD) LPL FINANCIAL LLC (LPL) FAILED TO REVIEW CERTAIN EMAILS OF ITS INDIANA AGENTS AND FAILED TO CONDUCT ANNUAL EXAMINATIONS FOR CERTAIN BRANCH OFFICES LOCATED IN INDIANA IN CONTRAVENTION OF 710 IAC 4-7-6(D)(1) (2017) AND 710 IAC 4-7-6(D)(9) (2017). Status: Final Sanction Detail: LPL CONSENTED TO THE ENTRY OF A CONSENT AGREEMENT (AGREEMENT) BY THE DIVISION AND AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $450,000.00, WHICH WAS REMITTED ON OR ABOUT DECEMBER 12, 2018, AND UNDERTAKE AN INDEPENDENT SUPERVISORY REVIEW OF ITS INDIANA OPERATIONS RELATED TO EMAIL SUPERVISION REVIEW PROCESSES AND BRANCH EXAMINATIONS. Summary: LPL AND THE DIVISION AGREED THAT THE AGREEMENT DOES NOT CONSTITUTE A FINDING OF FACT OR DETERMINATION AGAINST LPL FOR ANY VIOLATIONS OF THE INDIANA UNIFORM SECURITIES ACT OR THE RULES AND REGULATIONS PROMULGATED THEREUNDER. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE AGREEMENT WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE AGREEMENT IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER THE RULES AND REGULATIONS OF ANY SELF-REGULATORY ORGANIZATIONS.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE COLORADO DIVISION OF SECURITIES (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN COLORADO; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO COLORADO RESIDENTS IN VIOLATION OF COLORADO'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT JANUARY 16, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY COLORADO STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE ARIZONA CORPORATION COMMISSION (COMMISSION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN ARIZONA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ORDER TO CEASE AND DESIST, ORDER FOR ADMINISTRATIVE PENALTIES, AND CONSENT TO SAME (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE COMMISSION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO ARIZONA RESIDENTS IN VIOLATION OF ARIZONA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE COMMISSION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT JANUARY 16, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE COMMISSION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE COMMISSION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY ARIZONA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE ARKANSAS SECURITIES DEPARTMENT (DEPARTMENT) ALLEGED THAT DURING THE PERIOD APPROXIMATELY JANUARY 2012 TO MARCH 2016 (RELEVANT PERIOD), CERTAIN NON-TRADED REAL ESTATE INVESTMENT TRUSTS AND NON-TRADED BUSINESS DEVELOPMENT COMPANIES WERE INACCURATELY CLASSIFIED AS EQUITIES ON CERTAIN CLIENT ACCOUNT STATEMENTS, IN VIOLATION OF RULE 306.01 OF THE ARKANSAS SECURITIES COMMISSIONER. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $40,000.00, WHICH WAS REMITTED ON OR ABOUT JANUARY 16, 2019. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY ARKANSAS STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE WISCONSIN DIVISION OF SECURITIES (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN WISCONSIN; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO WISCONSIN RESIDENTS IN VIOLATION OF WISCONSIN'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT JANUARY 28, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY WISCONSIN STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE UTAH DIVISION OF SECURITIES (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN UTAH; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE STIPULATION AND CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO UTAH RESIDENTS IN VIOLATION OF UTAH'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT JANUARY 28, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY UTAH STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE U.S. VIRGIN ISLANDS DIVISION OF BANKING, INSURANCE AND FINANCIAL REGULATION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN THE U.S. VIRGIN ISLANDS; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO U.S. VIRGIN ISLANDS RESIDENTS IN VIOLATION OF U.S. VIRGIN ISLANDS' SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT JANUARY 30, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY U.S. VIRGIN ISLANDS STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE MARYLAND DIVISION OF SECURITIES (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN MARYLAND; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO MARYLAND RESIDENTS IN VIOLATION OF MARYLAND'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 1, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MARYLAND STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN HAWAII; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO HAWAII RESIDENTS IN VIOLATION OF HAWAII'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 6, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY HAWAII STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NORTH DAKOTA SECURITIES DEPARTMENT (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN NORTH DAKOTA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO NORTH DAKOTA RESIDENTS IN VIOLATION OF NORTH DAKOTA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 6, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY NORTH DAKOTA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE GOVERNMENT OF THE DISTRICT OF COLUMBIA, DEPARTMENT OF INSURANCE, SECURITIES AND BANKING (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN THE DISTRICT OF COLUMBIA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF THE DISTRICT OF COLUMBIA IN VIOLATION OF THE DISTRICT OF COLUMBIA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 11, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY DISTRICT OF COLUMBIA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE RHODE ISLAND DIVISION OF BUSINESS REGULATION SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN RHODE ISLAND; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF RHODE ISLAND IN VIOLATION OF RHODE ISLAND'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 22, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY RHODE ISLAND STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE SECURITIES DIVISION OF THE OFFICE OF THE ATTORNEY GENERAL OF SOUTH CAROLINA (DIVISION) ALLEGED THAT DURING THE PERIOD APPROXIMATELY JANUARY 2012 TO MARCH 2016 (RELEVANT PERIOD), CERTAIN NON-TRADED REAL ESTATE INVESTMENT TRUSTS AND NON-TRADED BUSINESS DEVELOPMENT COMPANIES WERE INACCURATELY CLASSIFIED AS EQUITIES ON CERTAIN CLIENT ACCOUNT STATEMENTS IN VIOLATION OF S.C. CODE ANN. SECTION 35-1-411(C)(1) AND S.C. CODE OF REGULATIONS SECTION 13-405(A)(1). Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $40,000.00, WHICH WAS REMITTED ON OR ABOUT FEBRUARY 15, 2019. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY SOUTH CAROLINA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION (BUREAU) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN NEW HAMPSHIRE; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE BUREAU. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF NEW HAMPSHIRE IN VIOLATION OF NEW HAMPSHIRE'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE BUREAU A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT MARCH 6, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE BUREAU AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE BUREAU AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY NEW HAMPSHIRE STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE WASHINGTON STATE DEPARTMENT OF FINANCIAL INSTITUTIONS, SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN WASHINGTON; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF WASHINGTON IN VIOLATION OF WASHINGTON'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT MARCH 4, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY WASHINGTON STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE MINNESOTA DEPARTMENT OF COMMERCE (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN MINNESOTA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF MINNESOTA IN VIOLATION OF MINNESOTA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MINNESOTA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OKLAHOMA DEPARTMENT OF SECURITIES (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN OKLAHOMA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF OKLAHOMA IN VIOLATION OF OKLAHOMA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY OKLAHOMA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OREGON DIVISION OF FINANCIAL REGULATION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN OREGON; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE FINAL ORDER TO CEASE AND DESIST, FINAL ORDER ASSESSING CIVIL PENALTY, AND CONSENT TO ENTRY OF ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF OREGON IN VIOLATION OF OREGON'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT MARCH 13, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY OREGON STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE SECURITIES DIVISION OF THE OFFICE OF THE ATTORNEY GENERAL OF SOUTH CAROLINA (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN SOUTH CAROLINA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF SOUTH CAROLINA IN VIOLATION OF SOUTH CAROLINA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED ON OR ABOUT MARCH 21, 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY SOUTH CAROLINA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OFFICE OF THE KANSAS SECURITIES COMMISSIONER (KSC) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN KANSAS; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE KSC. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF KANSAS IN VIOLATION OF KANSAS'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE KSC A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE KSC AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE KSC AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY KANSAS STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OFFICE OF THE COMMISSIONER OF SECURITIES AND INSURANCE, MONTANA STATE AUDITOR (CSI) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN MONTANA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT AGREEMENT AND FINAL ORGER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE CSI. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF MONTANA IN VIOLATION OF MONTANA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE CSI A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE CSI AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE CSI AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MONTANA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE MAINE OFFICE OF SECURITIES (OFFICE) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN MAINE; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE OFFICE. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF MAINE IN VIOLATION OF MAINE'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE OFFICE A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE OFFICE AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE OFFICE AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MAINE STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NORTH CAROLINA SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN NORTH CAROLINA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF NORTH CAROLINA IN VIOLATION OF NORTH CAROLINA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY NORTH CAROLINA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NEBRASKA DEPARTMENT OF BANKING & FINANCE (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN NEBRASKA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF NEBRASKA IN VIOLATION OF NEBRASKA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY NEBRASKA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE TEXAS STATE SECURITIES BOARD (BOARD) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN TEXAS; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE BOARD. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF TEXAS IN VIOLATION OF TEXAS'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE BOARD A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE BOARD AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE BOARD AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY TEXAS STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE ALASKA DIVISION OF BANKING AND SECURITIES (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD IN ALASKA PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY ALASKA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NEW JERSEY BUREAU OF SECURITIES (BUREAU) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN NEW JERSEY; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE BUREAU. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF NEW JERSEY IN VIOLATION OF NEW JERSEY'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE BUREAU A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT APRIL 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE BUREAU AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE BUREAU AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY NEW JERSEY STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE WYOMING SECRETARY OF STATE ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN WYOMING; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE ORDER ON CONSENT (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE WYOMING SECRETARY OF STATE. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF WYOMING IN VIOLATION OF WYOMING'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE WYOMING SECRETARY OF STATE A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT JUNE 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE WYOMING SECRETARY OF STATE AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE WYOMING SECRETARY OF STATE AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY WYOMING STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OHIO DIVISION OF SECURITIES (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN OHIO; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF OHIO IN VIOLATION OF OHIO'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT JUNE 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY OHIO STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE VIRGINIA STATE CORPORATION COMMISSION (COMMISSION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN VIRGINIA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE COMMISSION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF VIRGINIA IN VIOLATION OF VIRGINIA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE COMMISSION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT MARCH 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE COMMISSION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE COMMISSION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY VIRGINIA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE IOWA INSURANCE DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN IOWA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF IOWA IN VIOLATION OF IOWA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT JULY 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY IOWA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE OFFICE OF THE ATTORNEY GENERAL OF THE STATE OF NEW YORK (OAG) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; AND CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS CONTAINED IN THE ASSURANCE OF DISCONTINUANCE (ASSURANCE), AND AGREED TO THE ENTRY OF THE ASSURANCE BY THE OAG. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF NEW YORK PURSUANT TO THE TERMS SET FORTH IN THE ASSURANCE, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE OAG A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT JULY 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE OAG AND LPL AGREED THAT THE ASSURANCE WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE OAG AND LPL AGREED THAT NOTHING IN THE ASSURANCE IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ASSURANCE IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY JURISDICTION'S STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE TENNESSEE DEPARTMENT OF COMMERCE AND INSURANCE (DEPARTMENT) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN TENNESSEE; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF TENNESSEE IN VIOLATION OF TENNESSEE'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT JULY 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DEPARTMENT AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DEPARTMENT AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY TENNESSEE STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE WEST VIRGINIA SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN WEST VIRGINIA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF WEST VIRGINIA IN VIOLATION OF WEST VIRGINIA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT JULY 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY WEST VIRGINIA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: DURING THE RELEVANT TIME PERIOD OF MARCH 1, 2013 TO APRIL 4, 2019, THE MASSACHUSETTS SECURITIES DIVISION FOUND LPL FAILED TO TIMELY REGISTER WITH THE DIVISION CERTAIN AGENTS REQUIRED TO BE REGISTERED IN MASSACHUSETTS. LPL ALSO FAILED TO PROPERLY AND TIMELY AMEND FORMS U4 AND U5 FOR AGENTS WHO WERE REGISTERED IN MASSACHUSETTS THAT SUBSEQUENTLY BECAME MATERIALLY INACCURATE OR IN COMPLETE. Status: Final Sanction Detail: LPL NEITHER ADMITTED OR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER, AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) CEASE AND DESIST, (2) CENSURED BY THE DIVISION, (3) ADDITIONAL UNDERTAKINGS, AND (4) PAY THE DIVISION AN ADMINISTRATIVE FINE IN THE AMOUNT OF $1,100,000.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: IN CONNECTION WITH AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COORDINATED AMONG MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE GEORGIA SECURITIES DIVISION (DIVISION) ALLEGED THAT DURING THE PERIOD OF APPROXIMATELY OCTOBER 1, 2006 THROUGH MAY 1, 2018 (RELEVANT PERIOD), LPL FINANCIAL LLC (LPL) SOLD UNREGISTERED, NON-EXEMPT SECURITIES IN GEORGIA; FAILED TO REASONABLY SUPERVISE AND MAINTAIN ADEQUATE SYSTEMS TO PREVENT THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES, INCLUDING WITH RESPECT TO LPL'S RETENTION, USE, AND SUBSEQUENT CANCELLATION OF CERTAIN THIRD-PARTY SERVICES UTILIZED FOR COMPLIANCE WITH STATE SECURITIES REGISTRATION REQUIREMENTS; CERTAIN OTHER DEFICIENCIES WITHIN LPL'S COMPLIANCE STRUCTURE RELATED TO LPL'S CONTROLS, MONITORING AND REPORTING TOOLS, AND ESCALATION PROTOCOLS IN RELATION TO LPL'S RESPONSE TO COMPLIANCE ISSUES RESULTING FROM SUCH FAILURE; AND LPL'S FAILURE TO MAINTAIN CERTAIN BOOKS AND RECORDS TO ENSURE FULL AND PROPER COMPLIANCE FOR STATE SECURITIES REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. LPL ALSO AGREED TO (1) OFFER TO REPURCHASE AFFECTED SECURITIES OR REMEDIATE CUSTOMER LOSSES FOR CERTAIN SECURITIES SOLD TO RESIDENTS OF GEORGIA IN VIOLATION OF GEORGIA'S SECURITIES REGISTRATION REQUIREMENTS PURSUANT TO THE TERMS SET FORTH IN THE ORDER, (2) CERTAIN ADDITIONAL UNDERTAKINGS, AND (3) PAY THE DIVISION A SUM IN THE AMOUNT OF $499,000.00 WHICH WAS REMITTED IN OR ABOUT AUGUST 2019. Summary: THIS ACTION IS PART OF A SETTLEMENT REGARDING THE SALE OF UNREGISTERED, NON-EXEMPT SECURITIES BY LPL DURING THE RELEVANT PERIOD RESULTING FROM AN INVESTIGATION CONDUCTED BY A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. IN CONNECTION WITH THE RESOLUTION, EACH OF THE PARTICIPATING INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS AGAINST LPL, IN WHICH LPL NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, LPL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND LPL AGREED THAT THE ORDER WOULD NOT SUBJECT LPL TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, OR THE UNITED STATES TERRITORIES, AND INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA. FURTHERMORE, THE DIVISION AND LPL AGREED THAT NOTHING IN THE ORDER IS INTENDED TO FORM THE BASIS FOR DISQUALIFICATION UNDER FINRA OR OTHER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY GEORGIA STATUTE, RULE, OR REGULATION THAT PROHIBITS FRAUDULENT, MANIPULATIVE OR DECEPTIVE CONDUCT.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE OHIO DEPARTMENT OF INSURANCE ("DEPARTMENT") FOUND LPL FINANCIAL LLC FAILED TO TIMELY REPORT ADMINISTRATIVE ACTIONS TO THE DEPARTMENT, IN VIOLATION OF SECTION 3905.22(A) PURSUANT TO TITLE 39 OF THE REVISED CODE. Status: Final Sanction Detail: LPL ADMITTED TO THE ALLEGATIONS AND AGREED TO (1) PAY A CIVIL PENALTY IN THE AMOUNT OF $2,500.00 AND (2) PAY ADMINISTRATIVE COSTS IN THE AMOUNT OF $500.00.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION ("BUREAU") CONDUCTED AN INVESTIGATION AGAINST REPRESENTATIVE, DANIEL STOKES, INVOLVING SOLICITATION OF UNSECURED PROMISSORY NOTES FROM LPL CLIENTS FOR A PURPORTED INVESTMENT OPPORTUNITY, WHICH DID NOT OCCUR ON LPL SYSTEMS. THE BUREAU CONCLUDED MR. STOKES DEFRAUDED INVESTORS IN FURTHERANCE OF THE FALSE INVESTMENT OPPORTUNITY. IN CONNECTION WITH THIS INVESTIGATION, THE BUREAU DETERMINED LPL FINANCIAL LLC FAILED TO REASONABLY SUPERVISE MR. STOKES, IN VIOLATION OF N.H. RSA 421-B:4-412(D)(9). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FACTS OR ALLEGATIONS, LPL SUBMITTED AN OFFER OR SETTLEMENT TO THE BUREAU AND CONSENTED TO THE ENTRY OF THE ORDER, UNDERTAKINGS AND SANCTIONS. LPL AGREES TO (1) CEASE AND DESIST FROM FURTHER VIOLATION OF N.H. RSA 421-B:4-412(D)(9) AND FULLY ADHERE TO HEIGHTENED SUPERVISION PLANS OF AGENTS DOING BUSINESS WITH NEW HAMPSHIRE CLIENTS, (2) PAY RESTITUTION TO INVESTORS IN THE AMOUNT OF $576,000.00, (3) MAKE WRITTEN OFFERS TO CLIENTS, (4) PAY THE BUREAU A FINE OF $275,000.00, COST OF INVESTIGATION OF $75,000.00, AND DISGORGEMENT OF $50,000.00, AND (5) COMPLY WITH ALL UNDERTAKINGS OUTLINED IN THE ORDER.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE SOUTH DAKOTA DIVISION OF INSURANCE ("DIVISION") ALLEGED LPL FINANCIAL LLC ("LPL") ESTABLISHED TWO ACCOUNTS IN RESTRICTED STATUS WITHOUT ADEQUATE PERMISSION, IN VIOLATION OF SDCL 47-31B-412(D)(9). Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE ALLEGATIONS IN THE CONSENT ORDER. LPL AGREED TO PAY A MONETARY PENALTY IN THE AMOUNT OF $2,000.00 IN LIEU OF CONTESTING THIS MATTER FORMALLY.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT FROM JANUARY 2018 UNTIL JUNE 2023, LPL FAILED TO REGISTER AT LEAST ONE OF ITS REPRESENTATIVES AS AN INVESTMENT ADVISER REPRESENTATIVE IN PENNSYLVANIA Status: Final Sanction Detail: LPL NEITHER ADMITTED NOR DENIED THE ALLEGATIONS IN THE CONSENT ORDER. LPL AGREED TO PAY AN ADMINISTRATIVE ASSESSMENT IN THE AMOUNT OF $190,000.00.
Regulatory · Item 11.D(1), 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: FROM APPROXIMATELY DECEMBER 2010 THROUGH DECEMBER 12, 2012, LPL FINANCIAL WAS SUBJECT TO VARIOUS FINRA ACTIONS AND OTHER ADMINISTRATIVE ACTIONS ON ITS PROFESSIONAL LICENSES IN THE STATES OF ILLINOIS, KENTUCKY, MISSOURI, AND TEXAS. LPL FINANCIAL REPORTED ITS ADMINISTRATIVE ACTIONS TO THE OHIO DEPARTMENT OF INSURANCE. HOWEVER, THEY WEREN'T REPORTED TO THE DEPARTMENT WITHIN THE REQUIRED THIRTY-DAY TIME PERIOD. Status: Final Sanction Detail: LPL FINANCIAL AGREES TO PAY A CIVIL PENALTY IN THE AMOUNT OF $800.00, AND AN ADMINISTRATIVE COST IN THE AMOUNT OF $200.00.
Regulatory · Item 11.D(1), 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: THE CONSENT ORDER ALLEGED THAT THE FIRM VIOLATED SECTION 36B-31-6F OF THE REGULATIONS UNDER THE CONNECTICUT UNIFORM SECURITIES ACT BY FAILING TO ENFORCE ITS SUPERVISORY PROCEDURES WITH REGARD TO TWO FORMER AGENTS OF THE FIRM, CONNECTICUT RESIDENTS JAMES THOMAS BOOTH (CRD NUMBER 1906145) AND MATTHEW O. CLASON (CRD NUMBER 4692266). BOOTH ALLEGEDLY MISAPPROPRIATED APPROXIMATELY $1.1 MILLION FROM HIS LPL FINANCIAL LLC CLIENTS, AND PLEAD GUILTY TO ONE COUNT OF SECURITIES FRAUD IN FEDERAL COURT (UNITED STATES V. JAMES T. BOOTH, CRIM. NO. 19-CR-00699-JGK (S.D.N.Y.)). ON NOVEMBER 17, 2020, BOOTH WAS SENTENCED TO A 42-MONTH PRISON TERM. BOOTH'S CONDUCT ALSO INVOLVED GENERATING CONSOLIDATED CLIENT ACCOUNT STATEMENTS WITH FICTITIOUS INVESTMENTS AND SENDING THOSE STATEMENTS TO CLIENTS IN AN EFFORT TO DECEIVE CLIENTS ABOUT THE VALUE OF THEIR ACCOUNTS. BOOTH HAD BEEN THE SUBJECT OF A JUNE 18, 2020 ORDER ISSUED BY THE COMMISSIONER REVOKING BOOTH'S REGISTRATION AS A BROKER-DEALER AGENT AND INVESTMENT ADVISER AGENT AND FINING BOOTH $100,000, A PENALTY AMOUNT THAT REMAINS UNPAID. THE REVOCATION WAS UNCONTESTED. THE CONSENT ORDER ACKNOWLEDGED THAT LPL FINANCIAL LLC HAD ENTERED INTO SETTLEMENTS WITH THOSE FIRM CLIENTS WHO WERE AFFECTED BY BOOTH'S SCHEME, AND THAT THE FIRM HAD REPAID THOSE CLIENTS A TOTAL OF $1,636,347.07. CLASON PURPORTEDLY OPENED A JOINT BANK ACCOUNT WITH AN LPL FINANCIAL, LLC CUSTOMER WITHOUT THE FIRM'S KNOWLEDGE, THEN TRANSFERRED APPROXIMATELY $668,000 FROM THE CUSTOMER'S INVESTMENT ACCOUNTS (APPROX $365,000 FROM HER OUTSIDE RIA INVESTMENT ACCOUNT, AND $253,000 FROM HER BROKERAGE ANNUITY CONTRACTS) TO THE JOINT ACCOUNT. CLASON THEN PROCEEDED TO WITHDRAW AT LEAST $620,000 FROM THE JOINT ACCOUNT FOR HIS PERSONAL USE WITHOUT THE CUSTOMER'S KNOWLEDGE OR CONSENT. ON MAY 12, 2021, IN CONNECTION WITH THE FOREGOING CONDUCT, CLASON PLEAD GUILTY TO ONE COUNT OF WIRE FRAUD IN FEDERAL COURT (UNITED STATES V. MATTHEW O. CLASON, CRIM. NO. 3:21-CR-00066 (D. CONN)). CLASON WAS SENTENCED ON DECEMBER 6, 2021, TO 30 MONTHS IMPRISONMENT. THE LPL FINANCIAL LLC CUSTOMER AFFECTED BY CLASON'S CONDUCT HAS SINCE BEEN FULLY COMPENSATED THROUGH A FEBRUARY 25, 2021 SETTLEMENT INVOLVING THE FIRM AND OTHER PARTIES. LPL FINANCIAL, LLC CONTRIBUTED $500,000 TO THAT SETTLEMENT. Status: Final Sanction Detail: $350,000 PAID PRIOR TO COMMISSIONER'S EXECUTION OF CONSENT ORDER ON DECEMBER 3, 2021. ADDITIONAL $150,000 DUE WITHIN 30 DAYS OF DECEMBER 3, 2021 (SEE ITEM 13.B.).
Regulatory
as of Nov 08, 2024
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST LPL FINANCIAL LLC ("LPL" OR "RESPONDENT"). IN ANTICIPATION OF THE INSTITUTIONOF THESE PROCEEDINGS, RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT ("OFFER") THAT THE COMMISSION HAS DETERMINED TO ACCEPT. THE COMMISSION FINDS THAT FROM AT LEAST JUNE 2019 (THE"RELEVANT PERIOD"), LPL PERSONNEL SENT AND RECEIVED OFF-CHANNEL COMMUNICATIONS THAT WERE RECORDS REQUIRED TO BE MAINTAINED UNDER EXCHANGE ACT RULE 17A-4(B)(4) AND/OR ADVISERS ACTRULE 204-2(A)(7). RESPONDENT DID NOT MAINTAIN OR PRESERVE THE SUBSTANTIAL MAJORITY OF THESE WRITTEN COMMUNICATIONS. RESPONDENT'S FAILURES WERE FIRM-WIDE, INCLUDING FINANCIAL ADVISORS WHO, TOGETHER WITH OTHER PERSONNEL THEY SUPERVISED, WERE RESPONSIBLE FOR GENERATING SOME OF THE HIGHEST LEVELS OF REVENUE FOR LPL DURING A TIME PERIOD WITHIN THE RELEVANT PERIOD. LPL'SWIDESPREAD FAILURE TO IMPLEMENT A SYSTEM REASONABLY EXPECTED TO DETERMINE WHETHER PERSONNEL WERE FOLLOWING ITS POLICIES AND PROCEDURES THAT PROHIBIT OFF-CHANNEL COMMUNICATIONS LED TO ITS FAILURE TO REASONABLY SUPERVISE ITS PERSONNEL. DURING THE RELEVANT PERIOD, LPL RECEIVED AND RESPONDED TO COMMISSION SUBPOENAS FOR DOCUMENTS AND/OR RECORDS REQUESTS IN A NUMBER OF COMMISSION INVESTIGATIONS. AS A RESULT, LPL'S RECORDKEEPING FAILURES LIKELY IMPACTED THE COMMISSION'S ABILITY TO CARRY OUT ITS REGULATORY FUNCTIONS AND INVESTIGATE VIOLATIONS OF THE FEDERAL SECURITIES LAWS ACROSS THESE INVESTIGATIONS. COMMISSION STAFF FOUND LPL'S MISCONDUCT AFTER COMMENCING A RISK-BASED INITIATIVE TO INVESTIGATE THE USE OF OFF-CHANNEL AND UNPRESERVED COMMUNICATIONS AT INVESTMENT ADVISERS. LPL HAS INITIATED A REVIEW OF ITS RECORDKEEPING FAILURES AND BEGUN A PROGRAM OF REMEDIATION. AS A RESULT OF ITS CONDUCT, THE FIRM WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER; FAILED REASONABLY TO SUPERVISE ITS PERSONNEL, WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS SUPERVISED PERSONS'AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT; AND FAILED REASONABLY TO SUPERVISE ITS PERSONNEL, WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS SUPERVISED PERSONS' AIDING AND ABETTING VIOLATIONS OF SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER, WITHIN THE MEANING OF SECTION 203(E)(6) OF THE ADVISERS ACT. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $50,000,000, REQUIRED TO COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER, AND ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER. THE FIRM PAID THE FINE IN FULL ON 08/27/2024. Summary: AS A RESULT OF ITS CONDUCT, THE FIRM WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7)THERE UNDER; FAILED REASONABLY TO SUPERVISE ITS PERSONNEL, WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS SUPERVISED PERSONS' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT; AND FAILED REASONABLY TO SUPERVISE ITS PERSONNEL, WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS SUPERVISED PERSONS' AIDING AND ABETTING VIOLATIONS OF SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER, WITHIN THE MEANING OF SECTION 203(E)(6) OF THE ADVISERS ACT. ACCORDINGLY, IT IS HEREBY ORDERED THAT THE FIRM CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER; IS CENSURED; SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER; AND SHALL PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $50,000,000 TO THE SEC. THE FIRM PAID THE FINE IN FULL ON 08/27/2024.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Educational seminars/workshops
- • Other services
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 23, 2026.
View current Form ADV (SEC/IAPD) ↗